FOREIGN TALENT RECRUITMENT PROGRAMS & MALIGN FOREIGN TALENT RECRUITMENT PROGRAMS - Office of Research Integrity and Compliance - Carnegie Mellon University
Carnegie Mellon University
Office of Research Integrity and Compliance  ›  FOREIGN TALENT RECRUITMENT PROGRAMS & MALIGN FOREIGN TALENT RECRUITMENT PROGRAMS

FOREIGN TALENT RECRUITMENT PROGRAMS & MALIGN FOREIGN TALENT RECRUITMENT PROGRAMS

The CHIPS and Science Act (the “C&S Act”) directs federal research sponsors to maintain policies that (i) require “covered individuals” to disclose all participation in Foreign Talent Recruitment Programs (“FTRP”); and (ii) and prohibit recipients of federal support from participating in any malign FTRPs (“MFTRPs”).  Likewise, during proposal evaluation, federal funding agencies may determine that participation in certain FTRPs is of sufficiently high risk as to require mitigation prior to award.

National Science Foundation will start requiring this certification in spring 2024, and the Department of Defense will require this certification starting in August, 2024. Other federal agencies have not yet published their timelines for this certification. This certification has been added to the U.S. Government’s common disclosure forms for “Current and Pending (Other) Support Information” and “Biographical Sketch.”’

If you are unsure whether your program meets the FTRP disclosure requirement and/or MFTRP prohibition, please contact Heather Bragg.

Department of Defense FTRP/MFTRP Policy Requirement:

Beginning August 9, 2024, the Department of Defense is prohibited from providing funding to or making an award of a fundamental research project proposal in which a covered individual is participating in a malign foreign talent recruitment program or to a proposing institution that does not have a policy addressing malign foreign talent programs pursuant to the C&S Act.

Please review the following Policy and related Definitions:

The Policy:

In compliance with the C&S Act and federal research sponsors’ policies, all Carnegie Mellon University “covered individuals” are required to certify whether they are participants in an FTRP.  

In addition, “covered individuals” participating in MFTRPs are prohibited from participating in a federally funded research and development project.

If you are unsure whether your program meets the FTRP disclosure requirement and/or MFTRP prohibition, please contact Heather Bragg.

Definitions:

Covered Individuals.  The C&S Act defines a “covered individual” as “an individual who (A) 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 from a Federal research agency; and (B) is designated as a covered individual by the Federal research agency concerned.” Agencies may also define other individuals as covered persons as appropriate and consistent with their mission.

Foreign Talent Recruitment Programs.  The White House Office for Science and Technology defines an FTRP as:  “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 an individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue.”

“A foreign talent recruitment program does not include the following international collaboration activities, so long as the activity is not funded, organized, or managed by an academic institution or a foreign talent recruitment program on the lists developed under paragraphs (8) and (9) of Section 1286(c) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232) (“Listed Academic Institutions”):

  1. Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
  2. Participating 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; and
  4. Engaging in the following international activities:
  5. Activities that are partly sponsored or otherwise supported by the United States such as serving as a government appointee to the board of a joint scientific fund (e.g., the U.S.- Israel Binational Industrial Research and Development Foundation); providing advice to or otherwise participating in international technical organizations, multilateral scientific organizations, and standards setting bodies (e.g., the International Telecommunications Union, Intergovernmental Panel on Climate Change, etc.); participating in a Fulbright Commission program funded in whole or in part by a host country government; or other routine international scientific exchanges and interactions such as providing invited lectures or participating in international peer review panels.
  6. Involvement in national or international academies or professional societies that produce publications in the open scientific literature that are not in conflict with the interests of the federal research agency (e.g., membership in the Pontifical Academy of Sciences or The Royal Society).
  7. Taking a sabbatical, serving as a visiting scholar, or engaging in continuing education activities such as receiving a doctorate or professional certification at an institution of higher education (e.g., the University of Oxford, McGill University) that are not in conflict with the interests of the federal research agency.
  8. Receiving awards for research and development which serve to enhance the prestige of the federal research agency (e.g., the Nobel Prize). e. Other international activities determined appropriate by the federal research agency head or designee.

Malign Foreign Talent Recruitment Programs.  The C&S Act defines an MFTRP as:

“(A) 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—

  • 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;
  • being required to recruit trainees or researchers to enroll in such program, position, or activity;
  • 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;
  • being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
  • 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;
  • 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;
  • 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;
  • 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
  • having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and

(B) a program that is sponsored by—

  • 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 (“FCOC”);
  • an academic institution on the list developed (“Listed Academic Institution”) under section 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232); or
  • a foreign talent recruitment program on the list developed (“Listed Academic Institution”) under section 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232).

Foreign Country of Concern.  The C&S Act currently defines a FCOC as: China, Iran, North Korea and Russia.

Listed Academic Institutions.  (1) an academic institution on the John S. McCain National Defense Authorization Act 2019 Section 1286(c)(8) List; or (2) a foreign talent recruitment program on the NDAA 2019 Section 1286(c)(9) List. 

 

Department of Defense FTRP Mitigation Requirements

Individual federal agencies conduct research security risk assessments when evaluating funding proposals and may determine that certain activities pose sufficiently high risks as to warrant mitigation prior to award.

For example, the Department of Defense (“DOD”) issued guidance on how it will evaluate “undue foreign influence” risk factors when reviewing proposals for fundamental research. Under DOD’s risk matrix, participation in an FTRP that meets one or more of the criteria in Part A of the C&S Act definition of “malign foreign talent recruitment program” (see MFTRP definition, above) requires mitigation and, if no mitigation is possible, rejection of the proposal.  DOD’s Risk Matrix is available here, beginning on page 8.

If you are considering an invitation to participate in a program that meets one or more criteria in Part A of the C&S Act definition of “malign foreign talent recruitment program”, please contact Heather Bragg for guidance.

 

Additional Resources about FTRPs/MFTRPs: