1. RESEARCH Carl A. Pinkert, Ph.D. Assoc VP for Research Professor of Pathobiology

2. An overview of the research enterprise at Auburn University Understand the basic research framework, and the rules and regulations which exist to assess ethical issues arising in research. Acquire a set of basic resources to apply to your research. Objectives

3. Vice President for Research, Associate Provost and President ARTF John M. Mason Jr., PhD, PE Vice President for Research, Associate Provost and President ARTF John M. Mason Jr., PhD, PE Interface w/ ADR's and AU Academic Affairs Strategic Planning/Budgets Interdisciplinary Research Univ. Core Facilities Interface w/ ADR's and AU Academic Affairs Strategic Planning/Budgets Interdisciplinary Research Univ. Core Facilities Business Manager Giovana Brannan University Veterinarian Laura Tambrallo, DVM Assistant VPR Administration Martha Taylor Assistant VPR (acting) Exec. Director, ARTF John Weete, PhD Sponsored Programs Compliance University Research Council Sponsored Programs Compliance University Research Council Auburn Research & Technology Foundation (ARTF) Office of Technology Transfer (OTT) Auburn Research & Technology Foundation (ARTF) Office of Technology Transfer (OTT) Natural Resources Management & Development Institute (NRMDI) Communications Development Research Advisory Board Natural Resources Management & Development Institute (NRMDI) Communications Development Research Advisory Board Executive Director, Governmental Affairs Sherri Fulford Director of Public Affairs Brian Keeter Executive Director, Governmental Affairs Sherri Fulford Director of Public Affairs Brian Keeter Alabama Agricultural Experiment Station Alabama Cooperative Extension System Federal Relations State Relations Legal Counsel Economic Development Alabama Agricultural Experiment Station Alabama Cooperative Extension System Federal Relations State Relations Legal Counsel Economic Development Associate VPR Carl A. Pinkert, PhD Research Advisory Board Executive Director Program Development Larry Fillmer Executive Director Huntsville Research Center Rodney L. Robertson, PhD

4. Vision/Direction for Research  Enhance disciplinary scholarly efforts  Interdisciplinary and collaborative Linking disciplines across campus Assist in transforming industries and creating economic opportunities for communities across the state, the region and the nation  Align AU expertise with long-term national priorities Energy and Environment Food Safety Health Sciences Transportation Cyber-security Science, Technology, Engineering and Mathematics (STEM)

5. All Sponsored Awards FISCAL YEAR

6. Research Funding Opportunity  Auburn University Internal Grants Program (IGP) Administered through the OVPR Comprehensive, coordinated, and comprehensive grants program initiated in 2010 60 proposals received in the inaugural year; all 60 were funded. OVPR will provide in excess of 1.6 M Matching support from departments, schools and colleges will provide faculty with in excess of $3M in its inaugural year. Program description can be found at: https://fp.auburn.edu/vpr/iga/igp/default.aspx https://fp.auburn.edu/vpr/iga/igp/default.aspx

7. Four levels of competition (OVPR contribution): Level 1 Level 1 – Seed Research/Scholarship Proposals ($2000) Individual investigator driven projects working on a new research program or scholarly initiative. Level 2 Level 2 – Exploratory Interdisciplinary Research/Scholarship Proposals ($3000) Faculty from at least two departments/schools/ colleges working on a new research program or scholarly initiative. Level 3 Level 3 – Developmental Interdisciplinary Research/Scholarship Proposals ($25,000-$100,000) Faculty from at least two schools/colleges working on a new research program or scholarly initiative. Level 4 Level 4 – Interdisciplinary Equipment Proposals ($25,000- $100,000) Faculty from at least two schools/colleges must demonstrate need. Auburn University Intramural Grants Program

8.  Ensure that university-generated and owned inventions are made available for the public benefit assess, protect, market, and license intellectual properties promote business development form start-up companies  Generate revenues for the inventor and university through commercialization consistent with federal law (Bayh-Dole Act)  Ensure that the university interests are protected in agreements and federal laws are followed Office of Technology Transfer Managing the intellectual property portfolio for Auburn University

9. Auburn Research and Technology Foundation (ARTF)

10. ARTF  What is it? Non-profit (501c3) foundation formed to support the missions of Auburn University  What does it do? Develops and operates the Auburn Research Park (RP) Facilitates greater resources and research opportunities for faculty Provides job opportunities for Auburn students, graduates, and others  Future Plans Develop and manage a business incubator Manage leasing arrangements for tenants in AU buildings in the RP Accepts grants and contracts on behalf of AU Conduit for classified research Establishes/manages the intellectual property portfolio for AU  Expected Outcomes Provides more operational flexibility to the research enterprise Higher funding for research; increased industry collaborative opportunities Increased innovation and technology development; technology transfer Provides ‘arms length’ protection to the university

11. AuburnUniversity Strategic Interdisciplinary Activities Advanced science innovation and commerce laboratories (CASIC/NIST) Advanced science innovation and commerce laboratories (CASIC/NIST)  Ecosystem health  Marine fisheries & aquaculture  Predictive biology & informatics forecasting  Water, food & biofuel quality labs Energy and Environment  Renewable energy & biofuels  Water resources management  Advanced semiconductor materials  Nuclear waste storage, stability and re-use  sustainability Energy and Environment  Renewable energy & biofuels  Water resources management  Advanced semiconductor materials  Nuclear waste storage, stability and re-use  sustainability transportation  NCAT  Wireless technology  Robotics  Engine & vehicle testing & research transportation  NCAT  Wireless technology  Robotics  Engine & vehicle testing & research AU Health Sciences Initiative (AUHSI)  Patient health safety  Environmental health concerns  Health care related policy development  Patient treatment and wellness  Military demography AU Health Sciences Initiative (AUHSI)  Patient health safety  Environmental health concerns  Health care related policy development  Patient treatment and wellness  Military demography Auburn Research and Technology Foundation (ARTF)  Research park  Collaboration with industry  Technology transfer  Classified research opportunities Auburn Research and Technology Foundation (ARTF)  Research park  Collaboration with industry  Technology transfer  Classified research opportunities MRI  Engineering and multi-disciplinary college research  Outpatient facility (eamc)  Private sector tenants MRI  Engineering and multi-disciplinary college research  Outpatient facility (eamc)  Private sector tenants AU Food Systems Initiative (AUFSI)  Best Management Practices (BMP)  Testing & detection  Research & technology development  Training AU Food Systems Initiative (AUFSI)  Best Management Practices (BMP)  Testing & detection  Research & technology development  Training Science, technology, engineering & math (STEM)  Multidisciplinary & interdisciplinary programs programs  Develop student critical thinking skills and interests skills and interests  Create educational research tools to enhance education to enhance education Science, technology, engineering & math (STEM)  Multidisciplinary & interdisciplinary programs programs  Develop student critical thinking skills and interests skills and interests  Create educational research tools to enhance education to enhance education Auburn University Huntsville Research Center  Government program interface  Research contracts & grants  Technology interface  Cyber-security  Commerce Auburn University Huntsville Research Center  Government program interface  Research contracts & grants  Technology interface  Cyber-security  Commerce pharma  Research & development  Commercial production  Pharmaceutical engineering pharma  Research & development  Commercial production  Pharmaceutical engineering

12. Summary  Near-term objective – Grow Auburn University’s research portfolio and increase funding through contracts, grants, investments and contributions  Long-term objective – Measurably increase Auburn University’s reputation as a premier land-grant, research institution

13. RESEARCH WEEK 2012 RESEARCH WEEK 2012 April 2 nd – 5 th, 2012 Dr. Paula Bobrowski, Associate Dean for Research, College of Liberal Arts and Chair of the Research Week 2012 Organizing Committee

14. Research Misconduct and Plagiarism Conflict of Interest, Responsibilities of Authorship, Data Management Scholarly Communication: Copyright and Fair Use, Print and Digital Dissemination Human/Clinical Experimentation Animal Experimentation Intellectual Property, Ownership & Patenting Ethics Topics for Consideration

15. Research Misconduct WHAT IS MISCONDUCT?

16. Federal policy on misconduct in science defines research misconduct as “fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.” http://www.ostp.gov/html/001207_3.html Research Misconduct

17. Fabrication is making up data or results and recording or reporting them. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit. www.ostp.gov/html/001207_3.html How is Misconduct Defined?

18. Copying and pasting text from websites, or transcribing text from printed material is plagiarism. Translation of text from one language to another is plagiarism. Unpermitted or unacknowledged use of videos, photos, slides or images is plagiarism. Unacknowledged modification of text is plagiarism. (e.g., replacing a few words using a thesaurus or rearranging text slightly is not original scholarship). Common Types of Plagiarism www.ehhs.cmich.edu/~mspears/whatis.html uwf.edu/dupserv/plagbroch.pdf

19. Buying an essay from commercial sources is unethical and can be viewed as plagiarism. So is using another student’s work and claiming it as one’s own (this is collusion). Using an essay that you wrote for another class or purpose without getting permission from the teacher/professor of both the current class and the class for which the original work was used is self- plagiarism. Common Types of Plagiarism www.ehhs.cmich.edu/~mspears/whatis.html uwf.edu/dupserv/plagbroch.pdf

20. Common Types of Plagiarism put in one’s own words The majority of plagiarism is a result of text manipulation A HUGE and pervasive misconception is that rewriting something is not plagiarism, because something is put in one’s own words. If the source is not officially acknowledged, IT IS PLAGIARISM. Copying and pasting actually accounts for only a small percentage of plagiarism. The majority of plagiarism is a result of text manipulation. http://www.chsbs.cmich.edu/Ronnie_ Apter/234plagiarism.htm

21. Research Misconduct Statistics and Photoshop Two key sources of potential data misrepresentation (either deliberate or inadvertent) are statistical analyses and image manipulation. The most common errors illustrated that authors misunderstood the meaning of P values Examples included over-precise P values (e.g., P = 0.002387) Inaccurate rounding P values listed with statistical tests not identified Not labeling statistical method used ( Editorial, Nature Medicine 11:1, 2005; Garcia- Berthou, E & Alcaraz C. BMC Medical Research Methodology 4:13, 2004). 38% of papers in Nature in 2001 contained at least one statistical error

22. Research Misconduct "No specific feature within an image may be enhanced, obscured, moved, removed, or introduced. The grouping of images…or exposures must be made explicit by the arrangement of the figure (e.g., using dividing lines) and in the text of the figure legend. Adjustments of brightness, contrast, or color balance are acceptable if they are applied to the whole image and as long as they do not obscure or eliminate any information present in the original. Nonlinear adjustments (e.g., changes to gamma settings) must be disclosed in the figure legend." Journal of Cell Biology

23. Penalties at Auburn include Penalties at Auburn include: Possible Penalties www.auburn.edu/tigercub/files/sect ion3_2008.pdf A.Informal Reprimand A.Informal Reprimand – an oral expression of disapproval B.Formal Reprimand B.Formal Reprimand – a written expression of disapproval C.Probation C.Probation – Probation is for a stated period of time D.Suspension D.Suspension – Suspension excludes the student from the University for a stated period (during this suspension the student shall not be allowed to take any courses at this institution either in residence or by correspondence, nor shall credit be given for work taken at other institutions) E.Expulsion from the University F.Restitution

24. Conflict of Interest Conflicts of interest can arise in research when a researcher has a financial or other personal consideration that ultimately interferes with their ability to conduct research objectively. Issues related to proper conduct and the integrity of the scientific process overlap naturally with the concept of conflict of interest. Conflicts do exist – when they arise, disclosure and proper management are the keys.

25. Conflict of Interest Examples: Grant support from a corporate foundation. Consulting agreement related to ongoing research. Your panel review of a research grant gives you a great project idea…what next? Questions: When do you declare a conflict of interest? What do you do about a conflict? What can happen to Auburn, your department…?

26. Conflict of Interest and Responsibilities of Authorship Who should be an author on a manuscript or grant? How is the order of authorship determined? What responsibilities does an author have? What steps should you follow if authorship problems arise?

27. Granted, there are vague and sometimes informal criteria for determining who should be an author (and who should be acknowledged). An author MUST make a significant contribution to the work in question (experimental, technical and intellectual contributions taken into consideration). Publish or perish conundrum... Not surprisingly, many journals now require declaration/ documentation of the role of each author on a manuscript. Conflict of Interest and Responsibilities of Authorship

28. Copyright and Fair Use: Print and Digital Media What is a copyright? What is fair use of copyrighted materials? Are there differences between copyright principles for print and digital works? There are relevant federal guidelines/pending legislation Copyright transfer options in publishing important... Crews, Kenneth D., Copyright Law and Graduate Research: New Media, New Rights, and Your New Dissertation, http://en.wikipedia.org/wiki/Copyri ght

29. Copyright and Fair Use Copyright does not cover ideas and information themselves, only the form or manner in which they are expressed. Copyright law covers the creative or artistic expression of an idea. Patent law covers inventions. Trademark law covers distinctive terms/marks/names that are used in relation to products or services. http://en.wikipedia.org/wiki/Copyright

30. Copyright and Fair Use An employer may be the copyright holder, if the work is considered a "work for hire". Generally, as at Auburn, if a copyrighted work is made by an employee in the course of that employment, the copyright is automatically owned by the employer as a "Work for Hire." In most of the world, the default length of copyright is the life of the author plus 50 or 70 years. In the US, the term for most existing works is life of the author plus 70 years (“corporate authorship” for 120 years after creation or 95 years after publication) If published before 1978, protection is 95 years from publication. http://en.wikipedia.org/wiki/Copyright 1998 Copyright Term Extension Act

31. Copyright and Fair Use In 17 U.S.C. § 107 The fair use of a copyrighted work... for purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research, is not an infringement of copyright. In determining whether the use made of a work in any particular case is a fair use the factors to be considered shall include: 1.Purpose and character of the use, 2.Nature of the copyrighted work, 3. Amount and substantiality of the portion used, and 4.Effect of the use upon the potential market for/value of copyrighted work.

32. COPYRIGHT AND FAIR USE The Digital Millennium Copyright Act (1998) prohibits the manufacture, importation, or distribution of devices intended to circumvent rights/access to copyrighted works. Educational use is generally regarded as "fair use,” but international restrictions vary. Current legislation appears to allow the following under classroom situations: Copy and distribution of articles for use in class Podcasts or other audio in a classroom situation However, You cannot cite/place works in a textbook without permission, as this would not be "fair practice". Similarly, one does not have the right to photocopy textbooks or copy course CDs. http://en.wikipedia.org/wiki/Copyright

33. Data Management Research recordkeeping (NIH view) 1. Good record keeping is necessary for data analysis, publication, collaboration, peer review, and other research activities. 2. Good record keeping is required to meet the accepted policies and standards for the conduct of good science. 3. Good record keeping is necessary to support intellectual property claims. 4. Good record keeping can help defend you against false allegations of research misconduct. 5. Good record keeping is important in the care of human subjects. www1.od.nih.gov/oir/sourcebook/ethic -conduct/RECORDKEEPING.pdf

34. Research/Scholarship experience Research/Scholarship interest What else has been done Who do you know Research/Scholarship experience Research/Scholarship interest What else has been done Who do you know Starting Your Graduate Research and Scholarship Efforts

35. Federally Mandated Concerns –IACUC (vertebrate animals, assurances, etc) –IRB (are human subjects involved) –Institutional Biosafety (IBC) –Risk Management and Safety –Radiation Safety Consortium agreements, proprietary information, select agents, resource sharing, etc. Compliance

36. Peers, colleagues Professors Departmental administrators/mentors/ graduate committees Your Associate Dean for Research and/or Graduate Studies Your Dean, the Graduate School and central administration Peers, colleagues Professors Departmental administrators/mentors/ graduate committees Your Associate Dean for Research and/or Graduate Studies Your Dean, the Graduate School and central administration Need Assistance?

37. THANK YOU!

38. Acknowledgements Portions of this presentation were adapted from a course outline “Ethics and Professional Integrity in Research in Biomedical Sciences (IND501)” team taught at the University of Rochester between 2001 and 2008 and “Introduction to Research” (VBMS7010) at Auburn University since 2006. I thank D.A. Pearce, M.M. Taylor and F.F. Bartol for their assistance, consideration and permissions where appropriate – in preparing material for AU graduate students. A primary reference for further background: Scientific Integrity: An Introductory Text with Cases, 3rd ed. F. Macrina, 2005. Scientific Integrity: An Introductory Text with Cases, 3rd ed. ASM Press.