Continuous Improvement
Michigan Tech is well-situated to continue to accomplish its purposes with respect to research. Graduate programs, research faculty, and physical resources all continue to improve, and with them, research funding grows. We are close to meeting targets in the strategic plan, but a perception of slowing growth has prompted a re-examination of the administrative structure for research. Increasing cooperation with other institutions enhances opportunities to develop long-term relationships that will foster collaborative research and partnerships.
Strategic Planning
The Vice Provost for Research, with the advice of the Research Advisory Council, develops goals and strategies for research which enter into the annual University strategic planning process.
In 1984, a long-range plan, 2005, Two Decades into Michigan Technological University’s Second Century: A Long-range Plan [2.1B], established ten- and twenty-year goals that relate to graduate education and externally funded research. The plan recognized the mutually beneficial roles of undergraduate and graduate education and research and the benefits that increasing research and graduate education would have on undergraduate education. Accordingly, the plan established a general goal of increasing the proportion of graduate students within the overall student body, and simultaneously, increasing the amount of external research funds on which it depends. Subsequently, the 1994 Strategic Plan [2.1D2] established several ambitious goals related to research for 1998 and 2003—increases in graduate student enrollment, research faculty, and federally funded research. Academic departments and research institutes also developed goals for research activity and strategies to accomplish them. These goals are revised annually as part of the strategic planning and budgeting process.
Although we have met targets established in the 1984 long-range plan, we are falling short on goals established in the 1995 Strategic Plan. As discussed in Chapter 7, we have not met targets for graduate enrollment, although enrollment has doubled and enrollment in PhD programs is strong and growing. However, we have met targets to add faculty, and research funding has nearly doubled; this puts us on target to achieve $15 million in federally funded research in 1998. The Strategic Plan calls for Michigan Tech to double research funding again by 2003.
Although our success in approaching planned enhancements in research suggest that our policies and procedures are working, there is an increasing perception that growth is slowing despite the best efforts of faculty and staff. The Board of Control requested that the Vice Provost for Research develop a research prospectus; in that prospectus he identified some issues that concern the structure for research at Michigan Tech [7.4C]. As a result, the President appointed a Research Task Force in 1995, specifically to examine the University’s research structure and develop recommendations to allow further improvements in research activity and productivity. In March, 1996, the Task Force produced a report, Research at Michigan Technological University: New Culture, New Practices, New Organization [5.1B], which made several suggestions.
- Establish a Michigan Tech Research Foundation.
- Emphasize the symbiosis between undergraduate education, graduate education, and research.
- Promote interdisciplinary research.
- Enhance career opportunities for post-doctoral associates, research professors, and other research specialists and more fully integrate these personnel into the educational aspects of the University.
- Reward the combination of excellence in teaching and research.
These results were disseminated in a series of campus meetings (University Senate, Academic Forum, public meetings) to generate public awareness. Although the University Senate did not approve the recommendation for a research foundation, several other recommendations of the Task Force have been implemented. The organization and structure for research at Michigan Tech was discussed at the October 1997 Board of Control Retreat.
Resources
With the exception of those issues noted by the Research Task Force, administrative and physical resources are satisfactory to support continued improvement in research. The completion of the Dow Environmental Sciences and Engineering Building, the renovation of Dillman Hall, and the addition to the Forestry Building will provide significant usable space for research.
However, increased start-up funds for research and equipment will be needed to strengthen research and scholarly activities. The Consultant Report specifically noted the need for "seed" funds and the proposed 15% overhead incentive pool. The upcoming capital campaign presents opportunities to address these needs. Also, decentralized computing can hinder cross-departmental usage of equipment, applications, and even e-mail, which creates problems for interdisciplinary research groups on campus. As interdisciplinary research grows, this problem will need to be addressed.
Cooperation with Other Institutions
Faculty and researchers at the University are very active in cooperative research projects with colleagues at other institutions. These interactions include formal cooperation on grants with other institutions, through subcontracts for cooperating investigators; service as adjunct faculty at other institutions; and research conducted at other institutions while on sabbatical leave. The Sabbatical Leave Task Force [5.2B] found that our sabbatical rate was lower than peer institutions, which could negatively impact the development of new research programs. Recommendations are being reviewed by the administration (see Chapter 6 for a full discussion).
Another form of cooperation with other institutions is membership in consortia. In 1994, Michigan Tech became a Sponsoring Institution of the Oak Ridge Associated Universities (ORAU) which directly manages Department of Energy programs of interest to Michigan Tech researchers and fosters collaborative research and partnerships among member universities. Membership in ORAU should have a positive impact on research at Michigan Tech.
Integrity
As Michigan Tech has developed as a research institution over the past decade, it has implemented new policies and procedures for fairly and accurately representing itself as a research institution and for dealing with researchers fairly and equitably. These new policies and procedures have been developed collectively by the Vice Provost for Research, Executive Vice President and Provost, and various University Committees in accord with the principles of shared governance. In part, they have been a response to problems in the 1980s with the integrity of a research and technology transfer venture.
Educational Support Institute/Ventures
In the early to mid 1980s, the Michigan Tech Board of Control authorized the establishment of the Educational Support Institute (hereafter referred to as “ESI”) and Michigan Tech Ventures, Inc. (hereafter referred to as “Ventures”). ESI/Ventures had three purposes: to benefit Michigan Tech by facilitating “the transfer of technology from the laboratory to the business world” [5.6A, p.3]; to support the University’s research and development activities; and to facilitate regional economic development. Significant problems with Ventures and the activities of its personnel tarnished MTU’s reputation and impaired the University’s ability to engage in profitable technology transfer. It has also, perhaps, made us overly cautious about engaging in potential opportunities for research and technology transfer. A detailed discussion of ESI and Ventures is contained in the Lewiston Report [5.6A], and financial implications are discussed in Chapter 12.
Conflict of Interest
A Conflict of Interest policy statement and preliminary set of procedures in accord with NSF/NIH Guidelines was approved by the Board of Control in September 1995. A Conflict of Interest Coordinator was also appointed at that time to review all research contracts for potential conflict. The coordinator was also charged with developing a revised set of procedures.
Scientific Misconduct Procedures
The University is committed to use of the scientific method in the conduct of research. The Faculty Handbook [1.2A, section 3.3.5] contains a Scientific Misconduct Policy Statement and a set of Scientific Misconduct Procedures, which correspond to those used at the NIH with minor modifications made by the University Senate. Scientific misconduct is defined as that conduct by individuals which is inconsistent with the ethical conduct of research (according to the norms of the scientific method). These procedures protect the rights and reputation of both the individual(s) accused of misconduct and the individual(s) who alleged that misconduct has occurred.
Guidelines for Professional Ethics
The Faculty Handbook [1.2A, section 3.1.6] contains a "Statement on Professional Ethics," which spells out the responsibilities of faculty members to students, staff, colleagues, and the institution. As noted in Chapter 7, professional ethics also need to be understood by graduate students engaged in research and published in the Graduate School Bulletin [1.3B].
Safety
The Faculty Handbook [1.2A, section 3.1.4] lists committees and a review board, the Human Subjects - Internal Review Board, which protect the safety of researchers and their human or animal subjects.
Policies and Procedures Regarding Proprietary Research and Patent Procedures
Michigan Tech’s Patent, Research, and Proprietary Rights Policy, included in the Faculty Handbook [1.2A], is aligned with comparable statements from benchmark institutions such as Rensselaer Polytechnic Institute. The Intellectual Property Office (IPO) has been very aggressive in educating and updating the faculty on issues related to intellectual properties; this includes copyright information in the software industry, material transfer agreements, new patent practices, Small Business Innovative Research (SBIR), and other recent developments, through its quarterly newsletter, Intellectual Property News [7.4C]. In addition, IPO sponsors workshops and seminars. Three recent topics were "MTU ‘Spin-Off’ Businesses," "University Intellectual Property and Technology Transfer in Academe," and "New SBIR Programs." These workshops keep faculty and research associates abreast of current opportunities as well as provide a forum for on-going interaction between faculty and IPO staff.
Oversight Processes for Monitoring Contracts, Grants, and Relationships with Government, Industry, Foundations, and Other Organizations
Research Services’ proposal and award tracking system was converted in 1994 to be more comprehensive and efficient in data handling and retrieval. In addition, two staff members in Research Accounting monitor the allocation and expenditure of research funding and grants for compliance.
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