Research Security

BPPM 95.53 (International Travel), along with additional WSU policies, outlines the criteria that must be met for foreign travel to ensure WSU is compliant with state, federal, or sponsored foreign travel security and requirements. The following communicates the specific NSPM-33 requirements related to travel activities that would put a person at risk:

• WSU’s Spend Authorization requests for travel in Workday in part reads:
  • “Note: This notice is to ensure travelers are aware of federal resources provided by the State Department Travel.State.Gov, which describes travel advisories and alerts, safety and security information, and other important travel regulations and guidelines, which may be important for your foreign travel plans.”
  • This Spend Authorization needs to be filled out and approved prior to any tickets for travel being purchased; this is approved by the employee, the employee’s supervisor and a Program Manager. In addition, the Spend Authorization requires international travelers to list:
    • Each country to which they are traveling,
    • The dates of the travel, and
    • The general purpose of the travel.
  • WSU employees and official volunteers may register their travel (see BPPM 95.53  for Employee Registration of International Travel) and receive information about international travel insurance from WSU Risk Management and Insurance Services. The offices of Risk Management and International Programs have the ability, via WorkDay, to create reports on employees who are planning to travel internationally and where they are planning to travel.
  • It is also recommended that individuals register their travel with the Consular Section of the U.S. Embassy through the State Department’s travel registration website and enroll in the Smart Traveler Enrollment Program (STEP). 

• To meet the requirements for data and device security, measures have been put into place to increase visibility of foreign travel and foreign travel disclosures, including BPPM 95.01 Travel Management, where the roles and responsibilities of both departments and the traveler are clearly outlined.
  • The Office of Research Support and Operations ‘Considerations for international travel‘ has additional information, including guidance for traveling with technology and required pre-approvals.
• All WSU employees are expected to comply with export controls and restrictions on travel to Office of Foreign Assets Control (OFAC) sanctioned countries or countries identified in 22 CFR 126.1 (Prohibited exports, imports, and sales to or from certain countries).
• WSU provides additional guidance on travel, travel expenses, travel precautions, and foreign travel requirements in BPPM Chapter 95: Travel.

WSU adheres to state, federal, and sponsored foreign travel security and requirements as outlined in BPPM 95.53 (international travel) and other WSU policies. To ensure compliance with NSPM-33 requirements related to travel activities that could pose a risk to individuals, WSU has established measures to increase visibility of foreign travel and foreign travel disclosures. Please see the WSU Travel Services page for details on requirements for all University travel.

WSU maintains a close relationship with the Spokane Regional Office of the Federal Bureau of Investigation (FBI). Senior University officials also have strong working relationships with additional regional FBI Field Offices, including with the Special Agents based out of the Tri-Cities. The University and the FBI regularly meet regarding emerging threats (e.g., failures to disclose external appointments and support (paid and non-paid), diversion of intellectual property, peer review violations, or theft or diversion of materials and intellectual capital by foreign entities, etc.), persons of interest, and shared understanding of our respective operations among other research security topics.

WSU utilizes industry leading third party software and services to support and enhance our export compliance program. The software and service are used to access and interpret the EAR, ITAR, & OFAC export control regulations. WSU also uses the software to aid in the classification of items/technologies and perform restricted party screenings.

The Office of Research Assurances (ORA) publishes comprehensive guidelines regarding export controls, including an export control decision tree to help WSU employees determine whether and to what extent export controls apply. Federally funded researchers are required to contact ORA for a mandatory security briefing prior to traveling to countries identified in Section 6.0 of BPPM 95.53 (International Travel).

Washington State University provides the following CITI training for Export Controls:

• Basic Module:
  • Introduction to Export Compliance (EC) (ID16800)
  • Read more about logging into CITI with WSU credentials.
• Tailored Optional Modules:
  • EC and Distance Education
  • EC When Using Technology in Research
  • EC for Researchers Part 1 & Part 2
  • EC for Research Administrators
  • EC and Biosafety
  • EC for International Shipping
  • EC for Purchasing
  • EC & Collaborations

At WSU, Compensated Outside Service and Extended Professional Activities are disclosed via the PIs disclosures in MyResearch and via BPPM 60.44 (for faculty). We are also adjusting our faculty Annual Review System, called Activity Insight, to better track non-paid affiliations.

Faculty and researchers are required to complete an electronic routing form for extramural research (eREX) as a first step in the sponsored project review and approval process for proposal submissions. The form requires individuals to disclose various aspects of the project including, but not limited to, export control requirements, significant financial or business interests, and foreign support and affiliations. Additional information is gathered by the form, and it is regularly updated to reflect changing compliance requirements. Faculty and researchers are contacted prior to proposal submission by appropriate Office of Research staff to address any issues with the form or its contents.

The eREX also provides the Office of Research Support and Operations team the ability to review elevated risk concerns if a project contemplates work with a ‘country of particular concern’ or a ‘special watch list country’ as noted by the U.S. Department of State.

WSU adheres to all federal sponsoring agency disclosure requirements, including items related to significant financial interests, foreign affiliations, and foreign support. These disclosures may be submitted to sponsoring agencies and tracked using WSU’s MyResearch online system. 

Outside work must not interfere with a faculty member’s normal official University duties, including those non-classroom responsibilities, expected of all faculty members. Each employee is required to disclose their outside activities as noted by the following policies in the Faculty Manual:

• Faculty Manual – IV D. Policy On Compensated Outside Service By Faculty Members—Consulting
• Faculty Manual – IV E. Extended Professional Activities
• Executive Policy 45 – University Ethics Policy

Support and Operations Guideline 8 “Research Compliance Training Required for WSU Researchers” provides general direction on RCR.  All faculty, staff, professional, graduate, and undergraduate students involved in the design, conduct, oversight, or reporting of applicable creative activities, research, and scholarship are required to take RCR training, provided by Collaborative Institutional Training Initiative (CITI). Read more about logging into CITI with WSU credentials. Projects funded by NIH grants that are subject to NOT‐OD‐10‐019, or similar requirements, require face‐to‐face mentoring or instruction in addition to the CITI training. The face‐to‐face component must include at least eight substantive contact hours either through a course or seminar, PI‐led class time or lab instruction focused on RCR, and/or small group discussions. RCR Training for PI’s is to be completed every four years or at least once during each career stage.   

WSU regularly checks PI’s and faculty on Conflict of Interest (COI) issues. Investigators typically disclose their Significant Financial Interests (SFI’s) when submitting proposals to specific federal sponsors or when the COI section of the eREX Form is completed. They also need to report when a new SFI is discovered or when travel is reimbursed or sponsored (i.e., travel expense paid on behalf of the investigator and not reimbursed to the investigator so that the exact monetary value may not be readily available), related to the Investigator’s WSU responsibilities. The University’s Financial COI Committee and staff will review the SFI’s and contact the Investigators if necessary. When a COI is disclosed and meets the threshold of significantly or directly affecting the design, conduct or reporting of the research, a COI Management Plan articulating how to mitigate the risks of impaired objectivity will be created. These plans are developed by the disclosing employee in close collaboration and under the guidance of the unit head and the Associate Dean for Research, Vice Chancellor for Research, or comparable official within the campus, college, or unit.  Executive Policy 27 is the official guidance for COI (and ethics and technology transfer) at WSU, and we offer training on COI via CITI module “Conflicts of Interest (COI)” that is completed every four years for applicable employees.

The National Science Foundation (effective May 20, 2024) requires that covered individuals certify that they are not a party to an MFTRP at the time of proposal submission. In addition, institutions must certify that they have confirmed that the senior personnel associated with a proposal are not part of an MFTRP. Certification of non-participation in a MFTRP can be performed within WSU’s MyResearch platform in accordance with institutional disclosure requirements described in BPPM 60.44, Executive Policy 27, and Executive Policy 45.

In addition to certification through the MyResearch disclosures process, NSF requires certification as described:

• Who Must Certify: Only PIs and co-PIs on qualifying NSF awards made on or after May 20, 2024. 
• How to Certify: Log in to Research.gov. Impacted individuals will be prompted to complete the certification. 
• Frequency: Required once per year, regardless of the number of awards. 
• Where to Find Your Certification: Available under “Academic/Professional Information” in your Research.gov profile. 
• Eligibility: Anyone currently involved in a MFTRP is not eligible to serve as senior/key personnel on proposals or awards issued after May 20, 2024. 

As noted in the NSF Proposal and Award Policies and Procedures Guide (PAPPG), Chapter II.D.1.e(ii), this requirement will initially apply only to PIs and co-PIs. However, NSF has indicated plans to expand it to all senior/key personnel in the future. NSF is also working to provide institutions with access to submitted certifications to support compliance. 

Beginning August 9, 2024, the Department of Defense (DoD) is prohibited from providing funding to or making an award in which a covered individual is participating in a MFTRP or to a proposing institution that does not have a policy addressing malign foreign talent programs pursuant to Section 10632 of the CHIPS and Science Act of 2022. In addition, DoD conducts risk-based security reviews of proposals. The risk matrix documents the factors that DoD takes into account when proposing risk mitigation measures for research projects.

The Department of Energy (DOE) has tightly restricted talent program participation since 2019 under DOE Order 486.1A.

A Covered Individual is a researcher who contributes, in a substantive, meaningful way, to the scientific development or execution of a research and development project proposed to be carried out with a research and development award. This includes Senior and Key Personnel. Federal funding agencies have latitude in identifying other research participants as “Covered Individuals,” so it is important to check sponsor requirements carefully.

Federal funding agencies require that every “Covered Individual” disclose whether they are a party to an FTRP when submitting a funding proposal to the funding agency. How this is disclosed, as well as what information is to be disclosed, may vary by federal funding agency. It is important that researchers consult with their departmental grant manager and OR grant coordinator to ensure proper disclosure.

As noted above, many countries encourage the growth of their local research talent through programs designed to attract talented researchers to their institutions. These programs often involve grants or fellowships to promising research candidates.

However, some countries utilize MFTRPs which may incentivize criminal or unethical behavior on the part of the researcher. The definition of MFTRP (listed above) provides characteristics that may indicate that an FTRP is in fact an MFTRP.

Of particular importance is the sponsorship of the program. An FTRP may be an MFTRP if the program is sponsored by a foreign country of concern or an entity based in a foreign country of concern (currently China, Iran, North Korea or Russia), or any other foreign sponsor identified in the National Defense Authorization Act of 2019 Section 1286(c)(8) or 1286(c)(9).

Participation is defined by the CHIPS and Science Act of 2022 in section 10632 as:

1. any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual—
   1. engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a United States entity or developed with a Federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products
   2. being required to recruit trainees or researchers to enroll in such program, position, or activity;
   3. establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a Federal research and development award;
   4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
   5. through funding or effort related to the foreign talent recruitment program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a Federal research and development award;
   6. being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
   7. being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the Federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the Federal research and development award;
   8. being required to not disclose to the Federal research agency or employing institution the participation of such individual in such program, position, or activity; or
   9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
2. A program that is sponsored by—
   1. a foreign country of concern or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern; or
   2. an academic institution on the list developed under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358 note; Public Law 115– 232 ); or
   3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 ( 10 U.S.C. 2358 note; 1 Public Law 115–232 ).

The following are not considered malign foreign talent recruitment programs:

1. making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
2. participation in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under current law;
3. advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request.

Please note that note that individual federal funding agencies may have their own definitions of these and other terms. It is recommended that you refer to the specific agency for further information on these terms.

The U.S. government has determined that participation in FTRPs raises the risk that federally funded research may be inappropriately obtained by foreign governments. “Covered Individuals” must disclose participation in an FTRP as part of the proposal submission process.

In addition, the CHIPS & Science Act prohibits a “Covered Individual” from participating in an MFTRP. Failure to disclose or making a false certification may result in civil or criminal penalties.

It is also important to recognize that many MFTRP requirements may also violate Washington State University policy.

The definition of FTRP and MFTRP is provided on this webpage. Individuals with foreign engagements should review the definitions and characteristics of FTRP and MFTRP. Questions regarding the definitions may be directed to or.researchsecurity@wsu.edu.

The federal government has defined many activities that federally funded researchers conduct with international colleagues. These activities typically do not present a research security risk:

• Making scholarly presentations and publishing written materials regarding scientific information that is not otherwise controlled under export control laws, regulations pertaining to controlled unclassified information, or other legal obligations.
• Participation in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under law.
• Advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request.

If a collaborator is considered a senior/key personnel on a proposal then they should provide their certification as do all other “Covered Individuals” on the proposal.

Federal agencies have clarified that the prohibition on participation in an MFTRP is not retroactive. Proposers must certify that they are not an active participant in an MFTRP at the time of proposal submission. Note that the DoD Decision Matrix indicates that “Covered Individuals” with past MFTRP participation (up to August 9, 2022) may warrant additional mitigation measures.

Washington State University’s research security program is overseen by the Office of Research. Please contact or.researchsecurity@wsu.edu with any questions.

The Office of Commercialization (OC) is responsible for the evaluation, protection, and commercialization of innovations and discoveries for the expansion of WSU’s public impact. The OC helps to further enhance these research innovations and discoveries by bridging the gap between WSU researchers, their discoveries, and introductions into industry relationships.

The OC follows the standard technology transfer office procedures and processes for invention disclosures, proper assignment of intellectual property (IP), IP protection, licensing, agreement monitoring, software and services screening tools for export control clearance, as well as training and outreach for all WSU employees engaged in IP activities.  The OC also assists in securing IP rights resulting from visitors through proactive assignment of rights using our IP assignment form, as well as including and conforming to, ITAR language in agreements restricting export.

For purposes of foreign influence concerns, OC personnel are trained to distinguish among the different types of IP, as well as to distinguish between formal IP, subject to statutory protections, and the broader category of “intellectual capital” that does not fall into a formal IP class.

The University’s Vice President for Research is the senior University official responsible for the development, administration, and enforcement of policies and directives governing research. Business Policies and Procedures Manual (BPPM) 45.25, “Responding to Alleged violations of University Policies,” sets forth the procedures for responding to allegations of noncompliance with the laws, regulations, and policies applicable to the design, conduct, or reporting of research when there is no other established University compliance process that applies and/or when integration of multiple concurrent processes are necessary. This policy provides the VPR authority to respond to allegations of deviations associated with the policies supporting this research security program.

WSU’s administrative structure to manage research security is distributed to the various areas of compliance, human resources, sponsored projects, intellectual property, information technology and security, international programs, and conflict of interest and commitment. WSU works collaboratively across units as needs arise. In addition, the AVP’s for International Programs, Finance and Administration, Compliance and Risk, and the Office of Research constitute an Executive Committee oversight function in order to respond effectively to the various requirements and concerns of research security. The International Risk Management Committee, chaired by International Programs, seeks to proactively manage international risk. Future plans include the creation of an international compliance subcommittee of the University’s Compliance Committee.

International Student, Scholar, and Faculty Services is responsible for assisting foreign visiting scholars, students, and faculty with complex immigration regulations that can arise when visiting the U.S., and works with the hosting academic departments to help foster the relationships between WSU and foreign visitors. The Department of Global Services ensures the University is in compliance with all federal reporting requirements for foreign nationals at WSU, as eligibility for federal grants is dependent on said compliance, including SEVIS (Student and Exchange Visitor Information System).

WSU reports contracts with and gifts from a foreign source that, alone or combined, are valued at $250,000 or more in a calendar year to the U.S. Department of Education as part of Section 117 of the Higher Education Act of 1965. This includes regular (every six months) review and reporting of foreign contract information from many offices at WSU, including grants, gifts, international programs, and other units across the WSU system.

WSU has updated important policies related to the following:

• Updated Authorship guidelines and added foreign affiliation and foreign support items (9/23/20)
• Updated “Outside Consulting Agreements: “Things to Consider” (Provides Faculty Guidance) | Updated December 2020, added foreign affiliation and foreign support.