University of Michigan: A Member of the International Research Community

One of the University of Michigan’s missions is to generate and disseminate knowledge in the public interest. Occasionally questions arise regarding classified and other restricted research at U-M. Below are answers to some of the most frequently asked questions.

How much U-M research is sponsored and paid for by the federal government?

In FY 2007, U-M research expenditures totaled $822,967,675, and 72.4 percent of the expenditures were sponsored by the federal government. The $595, 551,058 in federally funded research was awarded as follows: the National Institutes of Health, 47.1 percent; National Science Foundation, 7.9 percent; Department of Defense, 6.2 percent; Energy, 2 percent; National Aeronautical and Space Administration, 1.9 percent; Transportation, 1.9 percent; and Commerce, 0.8 percent.

What other sources fund U-M research?

Non-federal sponsors in FY 2007 provided $96,726,492 or 11.8 percent of U-M’s total research expenditures. Non-federal sponsors included industry, $38,594,118; foundations, $18,689,966; and the State of Michigan, counties and cities, $7,003,489. U-M contributed $130,690,125, or 15.9 percent.

Do foreign governments fund U-M research?

Yes. Foreign national governments sponsored $180,940 in research expenditures in FY 2007. The largest grants came from the Canadian Institute of Health Research and the German Science Ministry.

International organizations funded $438,841 in U-M research expenditures in FY 2007. The Commission of European Communities, Great Lakes Fishery Commission, Human Frontier Science Program Organization and the Inter-American Development Bank awarded the largest grants.

What does the term “classified” mean when talking about U.S. government-sponsored research?

”Classified” means information or material (regardless of form) that is owned by, produced by or for, or under control of the U.S. government that requires protection under Executive Order 12958 “Classified National Security Information” for purposes of national defense or foreign relations. Classified information is marked and identified as such. Classified information or material may only be released pursuant to a government contract to a person with a valid security clearance and a need-to-know. Unauthorized disclosure of this information could cause harm to the national defense of the United States or its foreign relations.

How much U-M research is classified?

None currently. In fact, the University has not reviewed any requests to conduct classified research since FY 2003.

What is the University’s policy regarding classified research?

In April 1987, the Regents approved the Policy on Openness in Research Grants, Contracts, and Agreements and repealed previous policies on classified research enacted in March 1972 and October 1976.

As part of the policy, the vice president for research provides an annual report to the Regents identifying the number of contracts with non-standard restrictions and classified research contracts.

The Policy on Openness in Research Grants, Contracts, and Agreements reads:

The mission of the University is to generate and disseminate knowledge in the public interest. Essential to this mission are two fundamental principles: open scholarly exchange and academic freedom. Normally, these principles are mutually supportive. On those rare occasions when they conflict, they must be balanced, taking into account the University’s mission and the public interest. The University also has had a long standing tradition of conducting research aimed at enhancing human life and the human condition. Given these principles and continuing tradition, the following guidelines govern the acceptance of research grants, contracts, or agreements by the University:

  1. The University will not enter into or renew any grant, contract, or agreement, that would restrain its freedom to disclose the existence of the document, the identify of any sponsor of the proposed research, or the purpose and scope of the proposed research.
  2. The University normally does not accept grants, contracts, or agreements for research which unreasonably restrict its faculty, staff, or students from publishing or otherwise disseminating the results of the research.
  3. The University will accept a classified research grant, contract, or agreement if it can be accommodated without compromising the University’s pursuit of its educational mission and if its purpose is clearly in the public interest.
  4. Nothing in these provisions shall prohibit grants, contracts, or agreements that restrict publication or other public dissemination of classified or proprietary information supplied to the investigator by the sponsor, as distinguished from information generated in the course of research performed by members of the university community.
  5. Where the sponsor supplies classified or proprietary information to the investigator, the grant, contract, or agreement may include reasonable provisions for submission of manuscripts arising from the sponsored research to the sponsor for review prior to publication or other public dissemination so that the sponsor may verify that no such classified or proprietary informed is disclosed.
  6. The responsibility for compliance with these policies rests with the principal investigators, the department chairs, the deans of the schools and colleges, and the directors of the institutes and centers, and the Vice President for Research, in the regular channels for review and authorization of such research grants, contracts, and agreements.
  7. Periodic assessment and review of the impact of these policies are appropriate and necessary. The Vice President for Research shall provide to the Regents, after consultation with the Senate Assembly Research Policies Committee, an annual report on the implementation of this policy.
What is U-M’s policy regarding the presentation and publication of research conducted by faculty, staff and students?

As one of the nation’s largest research universities, U-M disseminates research findings as widely as possible to stimulate scientific inquiry and progress for the good of society. The University has a long-standing policy that researchers regularly present or publish their findings in journals and online. The rigorous review process required to present and publish is one reason U-M scholars enjoy an international reputation for conducting high-quality research.

What is U-M’s attitude toward visitors, students and scholars from other countries?

International cultural awareness is critical to a world-class education. Our students must be prepared to function in a global economy. Many U.S. firms have foreign operations; our graduates must be able to operate successfully here and around the world.

The University welcomes guests from all over the world. They contribute to our campus’s rich diversity, a key component of an exceptional education. They also bring with them valuable knowledge and experience, which help improve our teaching and research.

These contacts often lead to cooperative ventures, including student exchanges. Our faculty, staff and students also benefit from working with scholars in other countries. U-M students are encouraged to work or study abroad. For example, the College of Engineering has set a goal that 50 percent of its undergraduates work or study abroad before they graduate.

How many U-M students are foreign nationals?

U-M’s foreign student enrollment was 4,909 or 12 percent of the total enrollment of 41,042 in fall 2007, according to the Office of Budget and Planning. The largest populations of foreign students were from the People’s Republic of China (974), Republic of Korea (South) (825), India (803), Taiwan (270), and Canada (247), with 1,790 coming from other countries. This pattern is consistent with other major universities in the United States.

What is U-M’s relationship with countries like China, India and Korea, which send so many international students to U-M?

U-M has had long and cordial relationships with all three countries. Our relationship with China began under the leadership of U-M President James Angell. Early in 1880, U.S. President Rutherford Hayes appointed President Angell minister to China to negotiate a treaty with the Chinese government focusing on the immigration of Chinese laborers.

Scholarly research brings people together and breaks down walls of mistrust based on ignorance. This is one reason that U-M in 2007 organized a yearlong exploration of the culture and society of contemporary China. “China Now: A Contemporary Exploration” brought together the resources of the Center for Chinese Studies, University Musical Society and other parts of U-M to explore China through courses, lectures, a film festival and concert series.

U-M’s Center for Korean Studies (CKS), founded in 1995 and a unit of the International Institute, provides funding for public programs (art exhibitions, film festivals, lectures and conferences), faculty research, development of new courses and expansion of the Asia Library's Korea collection. It maintains an active colloquium series, bringing Korean Studies scholars from around the world to lecture on a diverse set of issues.

Each year, the CKS welcomes scholars, intellectuals and artists for one or two years of study and research on topics related to Korea.

U-M scholars also visit Korea. In summer 2008, 10 student interns from the U-M Naval Architecture and Marine Engineering department traveled to Ulsan, Korea, to participate in research projects at Hongik University. The students were featured prominently on Korean television and in several newspapers under the headline: "HHI Accepts Ten Interns from the University of Michigan, the Best Naval Architecture and Marine Engineering School in the US."

Many U-M faculty members have strong research ties to India. For example, the Center for Global Resource Leverage: India, a research satellite of the Stephen M. Ross School of Business, opened in Bangalore in 2004. There, scholars study how managers leverage global resources and access new markets, the interface between global firms and Indian firms, and issues associated with maximizing the talent pool and knowledge infrastructure in India.

What is the process for admitting visiting scholars to the U-M research community?

A visiting scholar must be hosted by a U-M faculty member. Visiting scholars work at U-M for a short period of time and are compensated by the University. Host faculty members help arrange housing and orient visiting scholars and their families to the community. A number of U-M faculty members were once visiting scholars. The University also welcomes visitors for brief visits. Unlike visiting scholars, they do not have work-related obligations.

How are members of the campus community informed about export regulations such as the International Traffic in Arms Regulations (ITAR) and Export Administration Regulations (EAR)? Who enforces compliance?

”Export controls” is a broad general term used to describe the many complex statutes and regulations controlling items and information. The main export regulations are the Export Administration Regulations (EAR), the International Traffic in Arms Regulations (ITAR) and the regulations under the Office of Foreign Assets Control (OFAC), administered respectively by the Commerce Department, the State Department and the Treasury Department. These regulations are intended to serve national security, foreign policy and other interests of the United States, and, in some cases, help the country carry out its international obligations.

The Division of Research Development and Administration (DRDA) and Office of the Vice President for Research review all agreements related to research that may impose export controls and help prepare Technology Control Plans to ensure compliance. Responsibility for compliance rests with the principal investigators, the department chairs, the deans and the Vice President for Research through regular channels for review and authorization of such research grants, contracts and agreements. Ultimate responsibility rests with the person in control of the export controlled information. An attorney with the Office of the Vice President and General Counsel provides legal assistance with those research related issues as well as export issues that arise elsewhere within the University community.

Faculty, staff and students are informed of export control regulations related to research activities through discussions with the sponsor and DRDA.

DRDA and the Office of General Counsel provide training and have a Web site about the topic.

How do foreign nationals contribute to the nation’s economy?

Foreign national students and researchers who remain in the United States and become permanent residents and citizens fuel innovation and generate economic activity. The areas of the country that attract international students in large numbers, the San Francisco Bay area and Boston, also are the among the nation’s most entrepreneurial regions.

Historically, the ingenuity and intelligence of immigrants and an abundance of natural resources have driven growth in the United States. Bright and innovative people who come to the United States for an education, stay and contribute to new technologies that create more opportunities and jobs.

Even foreign nationals who do not remain in the United States often contribute to our country through inventions they make during research projects at U-M, which are licensed for use to government sponsors and may be licensed by the U-M to industry.

For more information, contact Marvin Parnes, associate vice president for research and executive director, Division of Research Development and Administration, at 734-764-7230 or mgparnes@umich.edu.

09/24/2008