Research Security and Compliance

At the University of Michigan, security, safety, and compliance are foundational to our research mission. We have comprehensive policies and procedures in place to ensure that all research activities uphold the highest standards of integrity, accountability, and ethical standards. Our safeguards meet, and often go beyond, federal requirements to ensure public safety, scientific integrity, and national security.

Image of maintaining safety in research labs

Compliance with federal regulations and university policies is an institutional mandate. This mandate includes requiring formal training, maintaining rigorous oversight, and implementing robust technical and physical safeguards across data, personnel, materials, facilities, and IT systems. 

The information below outlines the key practices that protect the university’s research enterprise and ensure that all U-M research activities are responsible, ethical, and secure. 

Research Security

Safe Computing Resources

U-M’s Information and Technology Services provides “Safe Computing” resources to protect research data. The security toolkit helps U-M researchers navigate IT security compliance and protect their research data.

Export Control Compliance

U-M adheres to multiple federal export control regulations. Export control regulations govern the movement of controlled items, software, technology, and services out of the U.S. We use several measures to secure compliance with these regulations: 

  • Research proposals that have potential export control concerns are screened for export control and security risks.
  • Projects with export control technology require a plan outlining who can access information and materials, and how those items are stored and protected, along with other security measures.
  • U-M screens international collaborators and destinations against U.S. government watchlists to prevent unauthorized partnerships or exports.
  • U-M uses a university travel registry to identify potential travel to sanctioned countries. Researchers receive information and guidance required to ensure legal compliance.
  • If export regulations are breached, incident reporting is mandatory. There are no exceptions to this rule, which helps the university respond quickly and transparently to potential threats.
Foreign Engagement Policies

U-M provides guidance and resources to help researchers establish safe parameters for foreign engagement. Policy is also in place, in accordance with federal requirements, to prohibit participation in malign foreign talent recruitment programs, which are efforts sponsored by foreign governments to recruit scientists or researchers in ways that encourage unethical or illegal conduct, create conflicts of interest, or risk the loss of intellectual property from U.S. institutions.

Research Security Information

The Research Information Security Oversight Program (RISO) at U-M reviews research contracts for federal information security requirements when controlled unclassified information or related security standards apply.

Controlled Substances

Researchers must obtain a license to use controlled substances. These licenses limit handling to only authorized users, maintain logs, screen personnel, and secure storage per federal regulations. The Controlled Substances in Research Monitoring Program provides required in-person training to researchers and authorized personnel using controlled substances in research.

Outside Activity Disclosure

Researchers must submit an outside activity disclosure form at the time of hire, annually, and within 30 days of any changes or new activities. A conflict of interest office ensures that certain outside international engagements (e.g., research, in-kind resources) are appropriately disclosed to federal sponsors. The office also conducts reviews and implements management for identified conflicts.

Employee Training

Research Security Training

U-M faculty, students, staff, and others (e.g., contractors, visitors, external collaborators) must complete a research security training course if they are identified as a “covered individual” (typically senior or key personnel) on a sponsored grant where the sponsor requires it or identified by the university as requiring the training, per sponsor guidelines.

The training covers:

  • Federal research security guidelines. 
  • Core values and practices that support research security.
  • Identifying situations where undue foreign influence threatens the research enterprise.
Safety Training

Environment, Health & Safety (EHS) has several training courses to ensure compliance, including ones focused on working with biologics, chemicals, and radioactive materials.

Export Control Training

U-M offers online training for export control compliance to faculty, staff, and students. The training topics include identifying when export controls may apply to research activity and the consequences of violating export control regulations.

Transportation and Importation Training

Personnel who prepare biological materials for shipment must be trained by the university’s EHS department. EHS also provides guidance on the importation and transportation of infectious agents and biological materials.

Research Safety

Biosafety Use Approval
  • The university’s Institutional Biosafety Committee (IBC) works to ensure the safety of faculty, staff, and students involved in biological research. The IBC reviews and oversees research with biohazardous materials to ensure proper containment, maintain compliance with federal regulations, and protect researchers, the public, and the environment.
  • EHS oversees the safety and health aspects of biosafety and compliance through issuance of the University of Michigan Biosafety Manual, which is a resource for information, guidelines, policies, and procedures that will encourage safe research and eliminate or reduce the potential for exposure to biohazards. 
Visitor and Volunteer Protocols

University policy on visitors and volunteers outlines a process for when a university employee wants to invite individuals not affiliated with the university to visit or work in a research or academic space. Departmental approvals are necessary, as well as waivers that should be documented and centrally managed. Individuals should also have appropriate training and personal protective equipment based on hazards present.

Other Health and Safety Oversight and Compliance

EHS provides guidance, training, and oversight for those using the following hazards as part of their work: 

Reporting Noncompliance

Compliance Hotline

Concerns with safety, security, and other compliance issues can be reported confidentially to (866) 990-0111 or online via the Compliance Hotline. The Ethics, Integrity, and Compliance team is also available to discuss compliance-related questions.

Safety Incident Reporting

Safety incidents can be reported to EHS online or by calling (734) 647-1143.