disclosure statement in research paper

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• AEA Journal Policies
• Disclosure Policy

Disclosure Examples

The aea believes that it is in the authors' best interest to disclose potential conflicts of interest. disclosure is author-, and paper-specific; a specific relationship may be relevant for one of an author’s papers, but not for another..

In cases of uncertainty regarding whether to disclose a particular relationship, a guiding principle should be the answer to the question: "Would I or my institution or a reasonable person be embarrassed if I had not disclosed this relationship and it was subsequently discovered by a journalist, colleague or university administrator?" If the answer to this question is "yes," the relationship should be disclosed.

In the following, we provide some examples to help clarify the policy. Some of these examples draw on the disclosure policy of the NBER, which is similar to the AEA’s. We encourage authors to visit the NBER website for a list of additional examples.

Nothing to Disclose

Q: I have nothing to disclose. Do I still need to include a disclosure statement?

A: YES. The AEA policy requires one to state explicitly that she or he does not have a conflict of interest. A disclosure statement in such a case might read:

“The author declares that (s)he has no relevant or material financial interests that relate to the research described in this paper”.

Proprietary Data

Q: The data used in my research are proprietary. They were obtained from an institution (firm, government, non-profit organization, etc.) that has requested to review the results of the study prior to their dissemination to ensure that the confidentiality of the data is not unintentionally compromised. Do I need to disclose this review requirement?

A: YES. Even if the purpose of the review is to ensure that the author does not disclose confidential information, the author should explicitly state in the disclosure statement that the data agreement involves a request for review of the findings prior to their release.

Prior Consulting

Q: The data used in my study are proprietary. They were obtained while I served as a consultant for a company four years ago. I have not consulted for this company since then. Do I need to disclose this consulting arrangement?

A: YES. Given that the consulting arrangement resulted in in-kind compensation, in the form of access to the data you are using in the current paper, you should disclose the consulting relationship in your statement.

Prior Industry Affiliation

Q: I have served as a consultant for the pharmaceutical industry on several occasions, but not within the past three years. The paper I submitted analyzes competition in the pharmaceuticals sector, but the project was not funded by a private firm, neither is it related to any consulting arrangements I currently have with firms in this industry. Should I disclose my consulting relationship with the industry?

A: Though formally you are not obliged to disclose relationships that ended more than three years ago, good judgment would suggest disclosing financial relationships that could be construed as affecting your objectivity. In this case, many readers would likely consider the information on your consulting relationships relevant, so we would encourage you to disclose it. Specific firm names are not necessary.

Prior Employment

Q: I used to be employed by an oil company 10 years ago, but I have had no relationship with this company since then. My paper concerns environmental issues. Shall I disclose my prior affiliation with the company?

A: Formally, the AEA policy does not require disclosure of relationships beyond the horizon of three years. However, good judgment would suggest disclosing your past employment in this company, especially if your paper concerns sensitive environmental issues.

Religious Beliefs

Q: I have submitted a paper on family planning. Do I need to disclose my religious beliefs?

A: NO. Personal beliefs do not need to be disclosed. The AEA policy is specifically focused on disclosure of “conflicts of interest” that arise because of potential financial/material gains for the researcher.

Foundation Funding

Q: During the past three years I have received funding from a foundation that has a pro-market ideology. My paper examines the effects of marginal tax rates on desirable outcomes, but was not funded by this foundation. Do I need to disclose the funding I have received from this foundation even though it is was not related to the current project?

A: YES. The foundation would constitute an “interested party”; you should disclose your relationship even if the funding was not for this specific paper.

Funding for Other Projects

Q. During the past three years, I have received funding from an aid agency or NGO or foundation that favors particular approaches to economic development over others. My paper is relevant to the effectiveness of one of these approaches, but was not funded by any of these institutions. Do I need to disclose the funding I have received for other projects?

A. YES. The aid agency, NGOs, and foundations would fall into the category of having “a financial, ideological, or political stake related to the article” (based on point (2) of the AEA policy) or having “policy positions, goals, or financial interests relate to the article” (based on point (3) of the AEA policy).

Stock Holdings

Q: I hold stock worth more than $10,000 in companies in a specific sector and my paper concerns issues specific to that sector. Shall I disclose my holding?

A: If the stock is held through a mutual fund or another diversified intermediary, there is no need to disclose the holding. However, if the stock is held directly or through a narrowly focused fund, we would encourage you to disclose it. Please consult the NBER website for additional examples.

Spouse Profession

Q: My spouse is a medical doctor and my paper is related to health care policy. Do I need to disclose my spouse’s profession?

A: If the study’s findings have no direct effect on your spouse’s earnings, there is no reason for disclosure. If your spouse would be directly affected by the policy you analyze or s/he is involved in health care reform, then disclosure is necessary.

Q: My spouse is a hedge fund manager and my paper examines high frequency trading. Do I need to disclose my spouse’s profession?

A: If your spouse’s fund is not involved in high frequency trading, there is no need for disclosure. If, on the other hand, the fund does high frequency trading and your study’s findings may generate financial benefits for those involved in high frequency trading, you should disclose your spouse’s affiliation.

Other Cases

Q: What should I do in a case that is not specifically covered or is ambiguous?

A: The AEA policy is still evolving and is likely to be reviewed in the future. When something is on the border, it would seem prudent to disclose it rather than not.

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Ethics menu, disclosure of financial interests in presentations/publications (for researchers).

When presenting their research, researchers are expected to disclose financial interests or relationships with outside entities that could bias – or appear to bias – the design, conduct or reporting of the research.  Disclosure provides transparency about any apparent, existing or potential financial conflicts of interest. 

Below are sample statements that may be used in presentations, publications or other media for disclosing financial interests that may create or appear to create a conflict of interest.  Sometimes, the financial interest is held by the researcher’s significant other and/or dependent children.  For all examples below, “researcher” may be replaced with a reference to the researcher’s significant other or dependent children, as appropriate.

Generally speaking, disclosure statements should identify the following:

• The individual with the financial interest;
• The financial interest and/or entity creating the actual or potential conflict; and
• The relationship between the financial interest and the research being presented.

As the examples below illustrate, disclosure may be prudent - or even required by the university - in cases where there is no current direct relationship between the financial interest and the research being presented. 

When a researcher and the university have approved a management plan or entered into other agreements to minimize or mitigate any real, apparent or potential financial conflicts, researchers may enhance their disclosure statement with a reference to the existence of the plan or agreement.  

The statements below do not reflect the universe of all types of outside financial interests or relationships that should be disclosed.  Contact Research Compliance Services with questions or concerns about requirements and standard practices regarding disclosing financial interests when presenting research.

Disclosing ownership/equity interest of an outside entity

When the researcher owns/is part owner of an entity – private or non-profit – that provides goods or services related to the researcher’s institutional responsibilities, the researcher should identify the company name, briefly explain what it does, and explain how the company is related to the research. 

Template: [Person with conflict] owns/is part owner of (company name).  (Company name, what it does, and description of how the company and research are/are not related.)

Example of potential conflict: Dr. Doe has an equity interest in ACME Inc.  ACME Inc. develops water purity testing devices.  ACME Inc. may potentially benefit financially from the research findings on filtration systems presented here. 

Example of no current relationship between the financial interest and the research: Dr. Doe has an equity interest in ACME Inc.  ACME Inc. develops water testing devices.  The research findings on filtration systems presented here are not related to any products or services currently provide by ACME Inc. 

Disclosing compensation from outside entity

When the researcher receives compensation from an entity – private or non-profit – for work related to the researcher’s institutional responsibilities, the researcher should identify the company name, briefly explain what it does, and explain how the company is related to the research. 

Template:  [Person with conflict] is a paid consultant for (entity name).  (Entity name, what it does, and description of how the entity and research are related.)

Example of existing or potential conflict: The author of this paper, Dr. Doe, has received compensation from ACME Inc. for consulting services related to the potential for scientific advancements to improve the durability of its products.  ACME Inc. develops and sells products that stand to be improved by the research results presented here.

Example of no current relationship between the financial interest and the research: The author of this paper, Dr. Doe, has received compensation from ACME Inc. for consulting services related to the potential for scientific advancements to improve the durability of its products. The research being reported here is unrelated to any of ACME Inc.’s current products or services.

Disclosing a management role

When the researcher serves in a paid or unpaid management role – e.g. member of advisory board, board of directors member, Chief Scientific Officer – for a private or non-profit entity related to the researcher’s institutional responsibilities, the researcher should disclose their role and the entity name, briefly explain what it does, and explain how the entity is related to the research.  

Template: [Person with conflict] has an affiliation with (explain affiliation, e.g. serve as an unpaid consultant for, am chief scientific officer for, volunteer on board of directors, etc.) (entity name).  (Description of what the entity does, how the entity and research are related.)

Example of existing or potential conflict:  Dr. Doe, the primary investigator of the assessment research being reported here, serves on the Board of Directors of Helping Services USA, a non-profit that advocates the use of and provides assessments for the detection and diagnosis of early learning disabilities.  Helping Services USA provides the assessment featured in the research here.

Example of no relationship between the financial interest and the research: Dr. Doe, the primary investigator of the assessment research being reported here, serves on the Board of Directors of Helping Services USA, a non-profit that advocates the use of and provides assessments for the detection and diagnosis of early learning disabilities.  Helping Services USA does not currently advocate for or provide the assessment featured in the research here.

Disclosing receipt of royalties or other income for intellectual property (IP)

When the researcher receives royalties or other income from intellectual property (IP) that is involved in or may otherwise be impacted by the research, the researcher should disclose the financial interest in the IP and its relationship to the research. 

Template:  [Person with conflict] receives royalties for intellectual property that is subject to evaluation or improvement through the research presented here.

Example of existing or potential conflict: The assessment that is the subject of this research is commercially available and published through Assessments, Inc. Dr. Doe receives royalties for sales of the assessment.

Example of no relationship between the financial interest and the research: The assessment that is the subject of this research is commercially available and published through Assessments, Inc. Dr. Doe does not receive any royalties for sales of the assessment.

Research is supported (financially or otherwise) by outside entity

When the research is funded or otherwise supported by an outside entity, the researcher should disclose the entity’s support of and relationship to the research.

Template:  The research findings (or, some or part of the research) discussed/presented were supported by (name of entity).  (Description of what the entity does, how the entity and research are related.)

Example: The research project findings discussed here were supported by funding from ACME Inc.  ACME Inc. sells products related to this research.

Disclosure of the University of Oregon’s financial interest in the research

When the University of Oregon has a financial interest in the research, the researcher should disclose the University’s financial relationship to the research.

Template:  The University of Oregon has (explain financial interest, e.g. ownership in, intellectual property rights, etc.) and may financially benefit from this research.

Example:  The University of Oregon owns the intellectually property rights in the assessment being evaluated in this research and may financially benefit from the outcome of the research.

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Q: How to write a financial disclosure for the journal?

How can I write a financial disclosure for the journal? Isn't it too simple to mention it as 'none'?

Asked by Editage Insights on 17 Jul, 2017

Usually, if you have no financial conflicts of interest, you can include a statement like "There are no financial conflicts of interest to disclose." This is the accepted convention, and while it is simple, the objective is to be clear and transparent. In case your journal has a form, it is okay to write "none" in the financial disclosure field.

However, before you make such a declaration, you must be very sure that you do not have any financial relationship which might be viewed as a potential conflict of interest. As the author, you will have to submit a statement ensuring that:

1. Any kind of financial support (funding, grants, sponsorship) that you have received has been acknowledged. 

2. Any commercial or financial relationship that might have the potential of being viewed as a conflict of interest has been disclosed in the cover letter.

3. You have not signed any agreement with the sponsor that will bias the results of your research in any way.

If you feel you do not have any potential conflict of interest, you can give a declaration stating that.

Related posts:

• Conflicts of interest and journal disclosure policies: what every author should know

Answered by Editage Insights on 25 Sep, 2017

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Disclosure in Publications, Presentations, etc.

UCI's standard practice requires researchers reviewed by the COIOC to disclose their financial interests in the publications and presentations related to that study to promote transparency. The Disclosing Individual is required to embed a financial interest disclosure in the text of the publication, either in the footnotes or in the acknowledgement section, whether or not such disclosure is or is not also required by the journal. Similarly, the COIOC will also require researchers to include a slide concerning the disclosure in all presentations of their research.

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

Example #1:

These studies were supported by 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. John Doe's relationship with XYZ, Inc. has been reviewed and approved by the University of California, Irvine in accordance with its conflict of interest policies.

Example #2:

Dr. John Doe receives research funding from XYZ, Inc., which is developing products related to the research described in this paper. In addition, the author serves as a consultant to XYZ, Inc., and receives compensation for these services. John Doe's relationship with XYZ, Inc. has been reviewed and approved by the University of California, Irvine in accordance with its conflict of interest policies.

Example #3:

The University of California, Irvine has a financial [ownership] interest in X Biotech, the company sponsoring this research. Jane Doe and the University of California, Irvine may potentially benefit from this research. Jane Doe has received honoraria from X Biotech.  Jane Doe's relationship with X Biotech has been reviewed and approved by the University of California, Irvine in accordance with its conflict of interest policies.

Example #4:

These studies were supported by a grant from the NSF (Grant #________________). Principal Investigator _______________ has an equity interest in XYZ, Inc. ____'s relationship with XYZ, Inc. has been reviewed and approved by the University of California, Irvine in accordance with its conflict of interest policies.

Please Note:  In addition to the guidelines stated above, journals have different standards about publishing financial relationships. For additional examples on how to incorporate such language, access guidance from the  International Committee of Medical Journals Editors  and the  American Chemical Society Publications .

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Disclosure in Publications, Presentations, and Grant Proposals

Demonstrating transparency and objectivity in research is important for higher education, academic journals, and professional organizations in order to maintain credibility and influence. When an RCOI Management Plan is in place, its purpose is to mitigate a potential or perceived research conflict of interest by describing a set of controls and transparency requirements, but it does not eliminate it. The potential research conflict of interest (real or perceived) exists for as long as the significant financial interests and/or outside activities generating it are in place. Therefore, it would be incorrect for an individual with an RCOI Management Plan to say or consider that they "do not have a conflict of interest" simply due to RCOI disclosure to the University or having an active RCOI Management Plan.

Sponsoring agencies, research journals, professional societies, and conference presentations may have general or specific rules for recognizing potential research conflicts of interest. These can be broadly based disclosure requirements or specific to the subject matter. In instances where a potential RCOI may impact (or be perceived to impact) an activity with these organizations or their processes, individuals must disclose their RCOI in accordance with the requirements of their approved Management Plan in addition to the requirements of these organizations.  Sometimes, disclosures require judgment on a case-by-case basis depending on the relationship between the activity (proposal submission, planned publications, etc.) contemplated and its relevance to the individual's RCOI. For example, in the case of submitting proposals to sponsoring agencies, since the RCOI Committee is not reviewing all proposals submitted by researchers with Management Plans, the initial assessment is the responsibility of the individual with the RCOI to consider the content, specific aims, and collaborators of the proposal in order to determine if an RCOI disclosure must be made to the granting agency according to their rules and requirements. This assessment must take place independently for each proposal since the determination is specific to the project and its subject matter. The RCOI Committee can provide assistance if the faculty member is unsure about the relatedness or need for disclosure. However, in this instance; judgment is based on the substance of the proposal and its potential relevance to the RCOI, and by no means is the potential conflict absolved or no longer in existence simply because a Management Plan is in place.

Therefore, it is important that authors, editors, and reviewers provide full disclosure to mitigate or eliminate perception of any financial or personal gain that may be obtained through research described in publications, presentations, or grant proposals. Many publications and organizations have specific requirements and standards for disclosure of related financial interests and board service relationships. 

When to Provide Disclosure

When a potential research conflict of interest exists and a disclosure is required in publications, presentations, and grant proposals, it must be provided in cases of real  and perceived RCOIs:

• Real Research Conflicts of Interest:  Real RCOIs include significant financial interest, IP, or other relationships that could potentially bias the research being reported in the publication/presentation. Service on a board such as CEO or President of a company is considered a financial interest. These RCOIs could be possible in cases of outside employment, being a consultant, ownership in a private company, income from intellectual property, board service, or similar relationships/interests of your spouse and/or dependents.
• Perceived Research Conflicts of Interest:  Any of the interests or relationships described above, if they could be perceived to be related to your UTA research or responsibilities. If the outside activities are focused on or working with an outside entity that focuses on products or research that could be perceived by a reasonable person to be related to what you do at UTA, then a disclosure should be provided in the publication/presentation to alleviate the potential RCOI and provide transparency. 

How to Provide Disclosure

• Publications:  In publications, you must comply with the RCOI disclosure policies of the publisher or journal. If the publisher/journal does not have an explicit policy on disclosing conflicts of interest, you should provide disclosure whenever possible in order to provide full transparency and protect the integrity of your work. See "Example Disclosure Statement" below for guidance; however, the statement may need to be altered in order to fit the context or guidelines of the particular journal. 
• Presentations:  In presentations, you must provide a disclosure statement in your presentation for any real or perceived RCOIs as defined above. See "Example Disclosure Statement" below for the minimum information to be included. You may add additional details as you deem necessary. 
• Grant Proposals: In grant proposals, you must disclose your RCOI in accordance with the requirements of your approved Management Plan in addition to the requirements of the granting agency. The RCOI Committee does not review proposals submitted by all researchers with Management Plans. The initial assessment is the responsibility of the individual with the RCOI to consider the content, specific aims, and collaborators of the proposal in order to determine if an RCOI disclosure must be made to the granting agency in accordance with their rules and regulations.

Example Disclosure Statement

[Dr. /Mr. /Ms. name] has a potential research conflict of interest due to a financial interest with company [name of entity]. A management plan has been created to preserve objectivity in research in accordance with UTA policy. 

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What are Conflict of Interest Statements, Funding Source Declarations, Author Agreements/Declarations and Permission Notes?

Many Journals request that the Author(s) supply them with one or more of these items at initial submission stage.

Please note:  Most journals require a formal format for these items. A generic form can be found further down this page.

To create one of these items, you're required to:

• Have located a journal to submit to.
• Have checked the Guide for Authors for that journal (sometimes a sample form is provided for you to download and complete).

If these are part of journal requirements, it'll be listed at the 'Attach File/Upload Files' step during the submission process.

Journals may request one or more of the following be uploaded as part of your submission:

An  Author Agreement  is a statement to certify that all authors have seen and approved the final version of the manuscript being submitted. They warrant that the article is the authors' original work, hasn't received prior publication and isn't under consideration for publication elsewhere.

A  Conflict of Interest or Competing Interest  is defined as a set of conditions in which professional judgment concerning a primary interest, such as the validity of research, may be influenced by a secondary interest, such as financial gain. See the  Competing Interests Factsheet  for more information.

A  Declaration of Interest  (sometimes called a Disclosure Statement) is a notification from the author that there's no financial/personal interest or belief that could affect their objectivity, or if there is, stating the source and nature of that potential conflict. To prevent ambiguity, authors must state explicitly whether potential competing interests do or don't exist, so you may be asked to provide one, even if no competing interests exist.

• Many Elsevier journals use our Declaration Tool helps authors step-by-step through the process of preparing well-considered and ICMJE-compliant Please watch this short video on  how to use the Declaration Tool in Editorial Manager .
• Many medical journals follow  ICMJE Recommendations . For these titles, you can download the  ICMJE COI form , complete it and save it on your computer, then submit the completed form to the journal along with your manuscript.

Please refer to each journal’s guide for authors for information on how to provide a Declaration of Interest statement for that journal.

A  Funding Source Declaration  contains a declaration of any funding or research grants (and their source) received in the course of study, research or assembly of the manuscript.

A  Permission Note  is a statement that permission has been received to use any material in the manuscript such as figures etc. which isn't original content. See Elsevier's  Permission Guidelines  for more information.

When in doubt, always consult with your professor, advisor, or someone in a position of authority who can guide you to the right course of action.

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