Chapter 5.4: Conflicts of interest. National Statement on Ethical Conduct in Human Research (2007) - Updated 2018

Introduction – Chapter 5.4

A conflict of interest in the context of research exists where:

• a person's individual interests or responsibilities have the potential to influence the carrying out of his or her institutional role or professional obligations in research, or
• an institution's interests or responsibilities have the potential to influence the carrying out of its research obligations.

While a conflict may relate to financial interests, it can also relate to other private, professional or institutional benefits or advantages that depend significantly on the research outcomes.

A conflict of interest may compromise the research process itself and/or the institutional processes governing research, and may lead researchers or institutions to base decisions about the research on factors outside the research requirements.

A perception that a conflict of interest exists can be as serious as an actual conflict, raising concerns about an individual's integrity or an institution's management practices.

Guidelines – Chapter 5.4

5.4.1 Institutions should establish transparent processes to identify and manage actual and potential conflicts of interest involving:

1. (a) the institution itself
2. (b) researchers, or
3. (c) ethical review bodies, their members or advisors.

5.4.2 An institution with a conflict of interest bearing on research should inform relevant ethical review bodies about the conflict.

5.4.3 Ethical review bodies should see that measures are adopted to manage conflicts of interest involving researchers (see paragraph 5.2.10). These measures may include requiring that:

1. (a) the information be disclosed to research participants
2. (b) a person other than the researcher make the initial approach to participants
3. (c) the information be disclosed in any report of the research
4. (d) the research be conducted by another researcher, or
5. (e) the research not be conducted.

5.4.4 Where an ethical review body becomes aware that there may be a conflict of interest involving the institution, the review body should notify the institution.

5.4.5 An ethical review body should require its members, and also any experts whose advice it seeks, to disclose any actual or potential conflict of interest in research to be reviewed, including any:

1. (a) personal involvement or participation in the research
2. (b) financial or other interest or affiliation, or
3. (c) involvement in competing research.

The review body should adopt measures to manage such conflicts. In the case of members these measures may include exclusion from a meeting, or from some or all of the body's deliberations, or in the case of expert advisors, requesting only written advice from them.

5.4.6 Sometimes a researcher who discloses the fact that he or she has a conflict of interest may have an ethically acceptable reason for not disclosing what the conflict is, for example, that this might breach another person's privacy. The researcher may then remain involved in the research only if the review body is satisfied that the conflict can be managed without its nature being disclosed.

Authors of this National Statement

This National Statement has been jointly developed by the National Health and Medical Research Council (NHMRC), the Australian Research Council (ARC) and Universities Australia (UA). This joint undertaking reflects a widely shared conviction that there is a need for ethical guidelines that are genuinely applicable to all human research and it gives expression to the shared responsibility for ethically good research described above.