Philip Morris
Independent Investigators and for-Profit Companies Guidelines for Biomedical Scientists Considering Funding by Industry
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SECTION EDITOR: FRANCFSJ. STORttS, MD
Independent Investigators and For-Profit Companies
Guidelines for Biomedical Scientists Considering Funding by Industry
Mary-Margaret Chren, MD
A s physician-scientists, we balance many obligations in our professional and personal
lives. Schooled in the tradition of patient care, teaching, and research, we learn to
juggle and choose among competing responsibilities, competing duties, competing
accountabilities.
Yet we value :adependence in our aca-
detnic lives.' We strive to be independatt
investigators, by which we mean free to
choose our own scientific goals and to set
our own course toward those goals, free
from reliance on others for scientific cre-
ativity. Much of our maturation as scien-
tists is directed toward asking questions,
designing studies, orchestrating experi-
ments, analyzing data, and publishing re-
sults as independently as possible. We do
not often think of competingacoounnbili-
ties as restricting the independence of an
investigator. Yet, in the sense that our lib-
erty to do our science to pursue truth is
restricted by those to whom we are an-
swerable, whether consciously or uncon-
sciously, our independence is jeopar-
dized.
In this essay, I propose ideal guide-
lines for physician-scientists.vho are con-
sidering funding by for-profit companies.
Much hasbeen written aboutpot,ential and
real conflicts of intrsest for academic sci-
entists in these interactions?'u and I will
not disctus the reasonfngtlutt jtistifies such
concern. Instead, beginning with the
premise that such interactions may cre-
ate situations that threaten our indcpen-
dence, I will present a stance with respect
to these companies that will serve as a foun-
dation for specific guidelines. I will oh-
Front the Depa.tmcnt of Dennatotogy, Cteveland (Ohio) Vetaans Affairs Medical
Center and University Hospitair of Ctcvdand, and Case Westem Reserve Universlty
School of Medicine, Clevdand
ARCH DEStMATO1NdL 130, APA 1944
432
serve that our accountabilitie.s, ie, the ob-
ligations.ve feel to concepts that motivate
us or to entities that support us, vary in
their importance. Using eaasting models
in business and publicly funded research,
I.vill suggest two changes Crom conven-
tion: first, that our accountabilitics to for-
profit companies should always be de-
fined by contracts, and second, that an
independent not-for-profit instltutional in-
termedixry should be responsible for all
interactions beaeeen physician-scientists
and companies, to ml nim z. the oppor-
wnities for noncontractual relationships
between the two. My aim is to clarify ac-
countabilities, with the goal of facilitat-
ing our quest to become independent in-
vestigators.
Physiciatts who are not primarily
scholars often perform studies paid for by
companies, and scientists occasionally
carry out discreet tasks on contract for in-
dustry. While the conceptual framework
I will develop applies most clearly to acn-
d:emic scientists performing independent
investiga,tinn, rnany of the advantages of
the resulting guidelines for ensuring the
interests of both physician and company
apply also in these different, but related,
situations.
ACCOUNTAB1LiTIES:
ESSENTIAL OR CONTEtACTUAL
i
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tan
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To whom are we answerable in our pro- V 0
fcssi.onal lives as physician-scienrisrs? I pro- 5 ~
NOTICE THS MATERA!- MAY BE
TED BY COPYR/GHT LAW W
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(TrLE 17 lf.S. CODE) N
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posc that we distinguish lxtween
accountabilities that are essential,
and those that are contractual
(FlIwm 1). By essential aceourtt-
abilities. I mean crucial, unavoid-
able responsibilities foreach of us by
our very existence as physician-
scientists, obligations that endure
and cannot be simply discharged
once and for all. For example, we feel
an essential accountability to seek
truth and avoid bias in our science,
to give excellent care to our pa-
ticnts while becoming expert teach-
ers and performing exemplary
rcsearch. Another essential account-
ability ariscs from our personal am-
bitions for academic success-
pressure to achieve exciting results
is compelling since our profes-
sional futures depend, in part, on
publici,y through publicatioa1° Fi-
nally, we feel compelling account-
ability to our patrons-the men-
tors, advisers, and other benefactors
who have supported us intellectu-
ally or financially. Satisfying these
various accountabilities by recog-
n izi ng and valu ing their goals is c hal-
lenging, precisely because what is re-
quired of us is often not clear, cannot
he written in a set of rules, and re-
quires continuous effort through-
out our professional lives.
ONTRACTUAL ac-
countabilities, on the
other hand, are
those in which our
responsibilities are
related to the situation in a con-
tract; theyare ckarty limited, and can
be satisfied once and for all by ful-
filling the contract. For example. a
contractual accountability exists
when a scientist receives funding,
from whatever source, to perform a
discreet task, even if the task is the
performance of experiments. Con-
tractual accountabilities arc impor-
tant and justice requires their dis-
charge, yet they are less compelling
than essential accountabilities in
which obligations are more perva-
sive and less easily satisfied.
uaie: 'i'u"iya uii".
WHEN ACCOIJNTABI[1TIES
CONFLICT
Serving multiple accountabilities
may be challenging enough from a
time management standpoint, but
more demanding is the fact that the
attendant obligations may conflict.
For example,, our personal dcsire to
succeed academically by publish-
ing exddna results may suvggl e wi th
our conviction that further experi-
ments are needed. Our commit-
ment to our patients may conflict
with otu need to devote energy and
time to teaching or research. Ac-
countability of a researcher to the
agency that funds his or her re-
search may also generate tensions be-
cause research sponsors have cer-
tain goals for the research they
support, and the researcher may feel
an implicit obligation to work to-
ward these goals. For federally
funded agencies, these goals may in-
clude congressional and public pri-
orities; for private not-for-profit
foundations, the goals are deter-
mined by boards that ensure that re-
sources are used to further the mis-
sion of the organization. For-profit
companies, while they may share
same altrttistic goals with other fund-
ingagencies, also have responsibili-
ties to ensure corporate iongeviryand
serve shareholders by maximizing
profits. A real concern is that medi-
cal scientists supported by for-
profit companies may be influ-
enced to feel accountable to those
companies and their goals, in ways
that conflict with other essential re-
sponsibilities, and that are not eas-
ily specified and fulfilled by contract-
A PROPOSED SOLUTION
In my stratification of accountabili-
ties, conflicts of interest are more
confusing if they involve essential
accountabilities because of their
power and lack of definition. Simi-
larly, structuring obligations, where
possibie, Into contractual account-
abilities may clarify or diffuse some
conflicts of interest, because
ARCH DERMAIOWOL 130, APR 1944
433
responsibilities and compensatloII
would then be explidt and open for
scrutiny, unacceptable obligations
would be clarified, and appropriate
disclosure would be cssicr.4 Given
concerns about conflicts of interest
if physician-scientists feei account-
able to obligations of for-profit com-
p.nies.2"24 I suggest that, where pos-
sible, we restrict our research
relationships with for-profit com-
panies to contractual accountabili-
ties. Interestingly, the use of con-
tracts to define the litnits of each
party's obligations is standard prac-
tice in corporate-corporate
interactions.
Besides composing the con-
tnct, how do we ensure that ourac-
countability to comp.nies is re-
stricted to thrt contract? The
perception of an essential account-
ability can be craited by the estab-
lishment of a rdationsltip bet*xeen
two parties-like that between a
tnentor and student, a physitian and
patient, or a patron and benefi-
dary, the alliance between the two
engenders a sense of respoasibility
with its attendant duties. In the
course of designing, planning, and
executing a research project with a
for-profit company, physician-
scientists have many opportunities
to develop significant personal re-
lationships with the cotnpany ard its
staff. Given the concerns I have out-
lined about essential-accountabtli-
ties of scientists to companies, it
makes sense to limit these relation-
ships as much as possible. like oth-
ers who have suggested that corpo-
rate research support be in the form
of gnnts to universities rather than
to individuals,16 i propose thatallne-
gotiations between scientist and
company be performed by an ind,e-
pendent third party, to minim.ize op-
portunities for the development of
noncontractual relationships with
the scientist.
Thus, I have constructeda oon-
ceptual framework for guidelines for
physician-scientists whose work is
funded by industry, to preserve thea
independence as investigators

., , ,.. ax i u. "o,._:_n m..eyw
tirrs 1. To wAoru aa pfty%kAarrac*tltrta.nrtwraW !n ttwb
ptaAmsioad /isw7 Acdrporineian of axainhfit7la of
pM'rhw"CArrthif.
(ftwe 2). In this scheme, the in-
dependent investigator is perceived
as serving many crucial and coat-
petirtg accountabilities. I have sug-
gested the advantages of preserving
his or her independence as much as
possible by diminishing the poten-
tial for conflict-diluting for-profit
motives from his or her essential ac-
countabilities by tttaking all fund-
ing relationships with companies
purely contractual, and lessening the
opportunities for noncontractual re-
lationships by having all interac-
tions between companies and sci-
entists through an independent
institutional intermediary.
The guidelines built on this
framework have two keystones
that derive directly from existing
models in business and publicly
funded research agencies-
contracts are standard practice in
corporate relationships, and the
iateratediary of the National Insti-
tutes of Health (NIH) functions
both to establish a uniform com-
petition for funds and to ensure
scientific quality by peer review.
GUIDELINES FOR
PHY S iC IAN-SC [E N T I S TS
FUNDED BY FOR-PROFIT
COMPANIES
All obligations of the scientist and
the company should be defined in
a detailed Contract (l4bf.). The
Fipn 2. A caeatplual ham.r»rk !ar pu+daYnas to prsswtv ft
ind.pwidana ot phyrlcirn-sdWlsts +Mtosa wwt /t (~ by Jndus?y.
written Contnct between funding
agency and researcher, to be com-
posed by an independent institu-
tional Intermediary (see below),
should be signed by both parties be-
fore any money is given. Although
not a panacea for conflicts of inter-
est,i0 explicit delineation of the re-
spective obligations of the scientist
and the funding agency probably
minimizes more powerful tacit ob-
ligations that arise from relation-
ships °-* The Contract should be a
standard form used for all compa-
nies,24 and should emphasize the in-
dependence of the investigator."
Specific topics to be covered in-
clude discreet statements about the
scientist's obligation to promote
health, to patients in the study (if ap-
plicable),4 or to other scientists (to
communicate findings). For ex-
araple, the Contract should state that
the investigator is obliged to ensure
that patients in a study are told about
the source and amount of funding
of studies in which they partici-
pateu and receiving results of the
study."Similariy, the obligations to
the company should be outlined, in-
cluding reference to its specific goals
for the study. Many of the guide-
lines that follow can be incorpo-
rated in the written Contract.
A not-for-proHt ir~stitutional In-
termediary should be responsible
for all communication between the
scientist and the company. This ar-
AACH DERMATOWOL 130. APR 1994
434
rangement ensures that, as much as
possible, the sciattfst is free from bal-
ancing ututecessary competing ob-
ligations that may arise from devel-
oping a relationship with a campeny
or its staff. Although it may be per-
ceived as a negative or restrictive
code, its primary purpose is posi-
tive, to preserve the independence
of the investigator. Modeled on the
NIH (which essentially functions
as an Intermediary between Con-
gress and the scientist), the Inter-
mediary would arrange all initiil
communications with the com-
pany about its desire to fund re-
search based at an academic site,
would publish a request for appli-
cations approved by the company,
and would organize scientific study
sections that would judge submis-
sions and award the support based
on academic merit. All funding
would be from the company to the
Intermediary; Zand through the In-
termediary to the scientist, and all
negotiations would be handled
through the intermediary, which
should be independent of both the
company and the scientist's aca-
demic site. The Interatedisuy would
also write the standard Conitact dc-
scribed above and would transmit
periodic communications from the
scientist about the progress of the
work. Investigators would be free
from receiving gratuities and spe-
cial favors Erom research sponsors,
SI
ir

I
... ~..,~c.......o,,...,
situ;itions recogni2ed to risk impart-
ing hias in research.'
The mandate of the Interrnedi-
an would come from the profes-
sian: its composition-largely ad-
ministrative personnel who would
orchestrate communication about
studies, cotnpetitive applications for
thcm, and dispersal of funding from
companies to scientists-would be
drtermined by representatives from
each specialty. The costs of the in-
termediary would be paid by pooled
funds from industries submitting re-
quests for applications.
Scientific freedom of the in-
dependent Investigator should be
preserved. The scientist will have
complete freedom to determine
study hypotheses, design, inclu-
sion ofcomparative entities, and data
interpretation. Many aspects of sci-
cntific analyses can be structured
tconsciously or subconsciously) to
produce favorable results.'6 These as-
pects of the scientific enterprise and
the challenges they present should,
as in publicly funded research, be the
responsibility of the scientist, whose
independence from competing ac-
countabilities has been preserved as
much as possible.
The scientist retains owner-
ship of data and publication rights.
Data generated in a study would be-
long to the investigator,u and the sci-
entistwill have publication rights to
these da ta?` including the timing and
site of publication. This stipulation
includes the publication of 'nega-
tive" results. The single restriction
of this aspect is the right of the com-
pany to file for patent rights'"-` as-
suming there is no compelling rea-
son to publicize results immediately,
a point that could be determined by
the Intermediary at the time of the
Contract or at any time during the
research. The Intermediary would
also be responsible forensuring that
any proprietary information of the
company is handled in a just man-
ner to ensure the company's rights.
The scientist controls the use
of his or her name in promotions.
Scientists have obligations to share
research information in an undis-
toned way to promote the public
good, which has implications for the
promotion of products' In general,
the participation of the scientist in
promotional activities for products
that may have resulted from the re-
search should be discouraged, and
the scientist controls the use of his
or her name and the data in all pro-
motions or other publications by the
company, except those which quote
the medical literature.
Funding for a project should
not be contingent on results. In gen-
eral, support should cover the
completion of a study or series of
studies so that funding cannot be
withdrawn if it appears that certain
hypotheses will be disproved./6
Reimbursement for a study
should equal the direct and indi-
rect costs of the work. Payment for
a studyshould approximate the costs
of the work, and detailed budgets
should be submitted to the Interme-
diary for review as part of the grant
application. Research that gener-
ates excessive profits for investiga-
tors, their departments, or their
medical centers is worrisome.1022
since, theoretically, this incentive
could exert undue pressure on the
scientist to generate provocative re-
sults, or to propose enrollment of pa-
tients in trials when it is not in their
best interests.2i
Certain relationships be-
tween scientists and for-profit com-
panies during the time of the re-
search should be lintited. A major
ARCH OERMATOLNOL 13o.APR 1094
435
goal of these guidelines is ensuring
the independence of investigat.ors by
limiting their relationships (and at-
tendant obligations) with for-profit
companies who may support their
research. While the ability of a sci-
entist to use proprietary informa-
tion to guide profitable purchases or
sale of securities ("insider trad-
ing") is prohibited by law, the Con-
tract should be more explicit about
other relationships between re-
searchers and companies. Liauted
model arrangements have already
been drafted's From the tune the re-
search is funded until the results are
disseminated to the public, investi-
gators and their immediate families
should not buy, sell, or hold stock
or stock options in the company
funding the research or companies
making related or competing prod-
ucts. In addition, other relation-
ships with these companies should
not occur during the study period,
including participating in educa-
tional symposia sponsored by the
companies, or serving as paid con-
sultants to" or on the board of the
cotnpanies.1
Specifie rules about disclo-
sure of relationships with for-
profit companies should be imple-
m.ented. Broad disclosure of financial
relationships with companies has
generally been regarded as a key fea-
ture of codes to prevent and resolve
conflicts of interest,' although its
function in this regard is limited.10
Furthermore, some believe disclo-
sure undermines scientific prin-

ciples of free exchange of informa-
tion because it biases listeners and
readers about the work" Nonethe-
less, most observers believe that the
relationship between the scientist
and for-profit companies is infor-
mation readers and others judging
the research need to know,lsand that
peer review alone may not be sen-
sitive to alterations in study design
or int:erpretation that may have been
under many influences_t'' I pro-
pose that detailed rules about dis-
closure be included in the Con-
tract, detailing what, when, and how
disclosure should occur_ Suchh dis-
closure should include sources of fi-
nancial support for research, speak-
ing, consulting (including serving as
expert witnesses), and personal eq-
uity or debt that are related to bio-
technology and health services (eg,
stocks and stock options). It is rea-
sonable to insist on disclosure to the
Intermediary (which will notify com-
panies funding relevant research).
and to the medical center at which
the scientist is based, in all publica-
tions, when speaking tn educa-
tional symposia, or research fo-
rums, and when applying for other
research funding, reviewing ar-
ticles, and consulting. Disclosure
should be in writing and, if the site
is an oral presentation, ac the begin-
ning of a lecture or presentation at
a symposium.
ADVANTAGES AND
DRAWBACKS OF THE
GUIDELINES
lnsisting on contracts and an inter-
mediary not only will help ensure the
independence of each investigator
butcan have advantages for the qual-
ity of science, for patients, and for
companies. Because research pro-
posals will be judged based on their
scientific merit, the present free-for-
all in which company money for
studies is actively solicited by inves-
tigators and departments (and may,
in fact, go for thebcst lobbying rather
than the best science) would be im-
proved. Patients would benefit be-
cause more explicit disclosure to
them.vouldbe possible of the exact
terms of agreement between doc-
ton and companies aboutstudies in
which they particip.te.'= Finally,
companies would benefit in rnany
ways. Their legitimatedaires to col-
labo rate w ith aaidernic sdentists will
be satlsfied more clearly by selec-
tion of researchers by peer re-
view.1° Furthermore, companies,
which are accustomed to compar-
ing the costs of services for which
they contract, would benefit from as-
surance that proposed budgets had
been reviewed and compared by the
Intermediary in its study sections.
D [SADVANIAGES Of
the guidelines will
undoubtedly be
raised by many.
Scientists who
have not regarded their indepen-
dence as threatened bydirect indus-
trial support rtutyviewcontracts and
an independent third party as para-
doxically resttictive. Concerns about
conflicts of interest raised by oth-
ers?'2' however, and the stratifica-
tion of accountabilities I have pre-
sented support efforts such as these
to protect investigatots indepen-
dence. Furthermore, scientists who
are accustomed to having their work
peer-reviewed in NIH or founda-
tion scientiflc studysectionswillwel-
come the chance to compete for
funds based on the quality of their
science rather than less explicit cri-
teria. Academic departments nwy re-
gret that budgets will be limited to
direct and indirect costs, or they may
fear an overall decrease in corpo-
rate money for academic research if
compa nies believe thetr interests will
be diluted. Like scientists, how-
ever, departments too can be un-
duly pressured by financial incen-
tives in research and need safeguards
against conflicts of interest. More-
over, institutional efforts presently
spent on soliciting company re-
search funds might be used instead
to shape the direction and priori-
ARCH OERMATOLNOL 130, APR 1944
436
ties of publicly supported agencies.
Itxt,ustsy may lament the added cost
of funding the InterraedUry: a cea-
tral agency to standardize the re-
search funding prncess and restric-
tion of study budgets to direct and
indirect costs only, however, will
probably offset this added cost. More
important, companies may fear that
their own interests will be lost in
what they may see as another bu-
reaucratic layer in the sdenti$c en-
terprise: If a company's pritaarygods
for funding a study involve market-
ing and promotion as well as re-
searchan.ddeveioptnetu, then the ar-
rangement proposed in these
guidelines may be unattractive. But
for legitimate company desires for
collabora,tion with academic sden-
tists to capitalize on respective
streagths and generate exemplary re-
search, the guidelines more closely
match standard procedures for fruit-
ful corporate collaboration: con-
tncts, eompetitivz "bidding" (or peer
review), and justified costs.
CONCLUSION
The research enterprise hinges on
trust,t' and codes of behavior for sci-
entists risk critidsm for ignoring this
trust. As with guidelines written for
otherpurposcs, some will undoubt-
edly find these overly restrictfve,"
or even scientifically unaccept-
able.r' My hope is that we will gain
a fresh perspective about what it
means to be an independent inves-
tigator; perhaps we will be more in-
clined to apply existing models for
ensuring fairness in corporate inter-
actions and publicly funded re-
search to academic research sup-
ported by companies,
Implementing these guide-
lines will require a major restruc-
turing of the way In which our pro-
fession regards and interacts with
industry. Regardless of whether or
when more specific codes are insti-
tuted by the profession or legisia-
tors, two introspective points may
help us in the meantime as indi-
vidual investigators faced with the
I
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cc
di
Ph
rai
ge
ca
sci
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f possibitity of having our research
1' funded by for-profit companies.
We should realize that our per-
sonal goals for the research and the
company's goal for the research are
different. For-profit companies and
physiciyn-scientists often collabo-
rate and achieve mutually advanta-
geous goals, but this fortuitous out-
came is serendipitous. While the
scientist ultirnately may be striving
tc+ answer an obscure seientific ques-
tion andfor publish the results, a
company always has the responsi-
bility not to waste its revenue in en-
deavors with little chance of mak
ing money. That laudable results czn
still be achieved despite these dif-
ferences does not lessen the fact that
it is prudent to keep them in mind.
When faced with any eon-
cetn that our sdentific freedom to
hypothesize, e.xperitltent, and in-
terpret is being affected by a com-
pany supporting our reseuch, we
should ask ourselves, "for w6otn
am I working?" This self-interro-
gation about accountability serves as
a litmus test for worrisome situa-
tions in which further input ofan im-
partial third party may be useful. We
must be sensitive to situations in
which we feel accountable to the
goals of a co mpany rather than more
essential, important aims.
Accepted for publication September 9,
2993.
This work was supportcd, in part,
by grants from the Nationai Instftute
ofAnhritis, Muscutoskeietal, and Skin
Diseases (P30AFt39750), National In-
stttutes of Health, Bethesda, Md, and
the US Public Health Service, and the
Skin Diseases Research Center, Uni-
versity Hospitats of Clevekurd (Ohio).
Dr Chren is a recipient of a eareer
development award fro>s+ the L.eaderx'
Society of the Dcrm.atoiogy Founda-
ttox, Evaruton, 111.
I thank C. Seth l.andefeld, MD,
and Franca j. Storrs, MD, for ideas
and advice for this work.
Reprint requests to 10701 East
Bivd, Clevelarxd, OH 44106 (Dr Chrcn).
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