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Research Security: Malign Foreign Talent Recruitment Programs

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Malign Foreign Talent Recruitment Programs

Many countries sponsor talent recruitment programs for legitimate purposes of attracting researchers in targeted fields, and many programs utilize legitimate means of attracting talent, including offering research fellowships and grants to incentivize researchers to physically relocate. 

However, some programs fall into the category of a Malign Foreign Talent Recruitment Program (FTRP). Please see the procedure on Recognizing a Malign Foreign Talent Recruitment Program.

The CHIPS & Science Act of 2022 (“CHIPS Act”) prohibits federally-funded researchers from participating in any Malign FTRPs.  By definition, Malign FTRPs must involve China, Iran, North Korea, or Russia, or entities in those countries, and must meet certain other criteria as discussed below.  Federally-funded researchers will be required to certify that they are not participating in Malign FTRPs.

Foreign Influence Consultation

 If you suspect you have been contacted about an opportunity to join or become associated with a FTRP, request a consult with the Office of Foreign Influence.

Guidance

The CHIPS Act defines a Malign Foreign Talent Recruitment Program as follows:

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—

and has at least one of the following factors

B. Problematic Obligations/Activities

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 is sponsored/funded from a source in Box C

C. Problematic Sponsorship

A program sponsored by—

(1) a foreign country of concern (FCOC) or an entity based in a FCOC whether or not directly sponsored by the FCOC. FCOCs  are China, Iran, North Korea, and Russia;

(2) an academic institution on the NDAA 2019 Section 1286(c)(8) List; or

(3) a foreign talent recruitment program on the NDAA 2019 Section 1286(c)(9) List

Participating in a malign foreign talent recruitment program could affect your eligibility for federal research funding. Participation is specifically prohibited by certain U.S. government research agencies.

This section is designed to help you assess whether a program you may have been approached by is ok or has the characteristics of a ‘malign’ or predatory talent recruitment program.

In general

Talent recruitment programs, such as NIH or NSF internships and fellowships, can advance your academic career. Acceptable talent programs are fully transparent and encourage collaboration and novel research. Any talent program you consider should:

  • Place no restrictions on publications
  • Grant IP and other proprietary rights in accordance with US laws
  • Engage with you through an agreement or contract with the University of Utah

The Office of Science and Technology Policy defines an FTRP as follows:

“Effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position). Some foreign government-sponsored talent recruitment programs operate with the intent to import or otherwise acquire from abroad, sometimes through illicit means, proprietary technology or software, unpublished data and methods, and intellectual property to further the military modernization goals and/or economic goals of a foreign government. Many, but not all, programs aim to incentivize the targeted individual to relocate physically to the foreign state for the above purpose. Some programs allow for or encourage continued employment at United States research facilities or receipt of Federal research funds while concurrently working at and/or receiving compensation from a foreign institution, and some direct participants not to disclose their participation to United States entities. Compensation could take many forms including cash, research funding, complimentary foreign travel, honorific titles, career advancement opportunities, promised future compensation, or other types of remuneration or consideration, including in-kind compensation.”

Federal research agencies prohibit funds going to individuals in talent recruitment programs operated by any government-identified Countries of Concern. For example, the 2022 CHIPS and Science Act prohibits you from receiving federal research grants if you participate in a malign foreign talent recruitment program. These programs are designed to unethically or unlawfully acquire U.S. scientific-funded research or technology and are not focused on collaboration on novel, publishable research.

  Red flags:

  • Focused on replicating your U.S. funded research programs
  • Entering into a contract with you, not the University
  • Asking you not to disclose the engagement to the University or your U.S. research sponsors 
  • Originate in a foreign country of concern:
    • China
    • Iran 
    • North Korea
    • Russia

Association with a malign foreign talent program can lead to ineligibility to receive federal funding for your research.

Currently there is no due process to challenge such a determination or a limit to the time interval imposed.

Past associations may also be concerning to the U.S. government, and participation in some foreign talent recruitment programs has led to criminal investigation and/or loss of employment. 

See the current guidance re: the new NSF 24-1 requirements

The PAPPG 24-1 is effective May 20, 2024

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.

Recently, the Department of Defense (DOD) issued a document describing 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 CHIPS Act definition of “malign foreign talent recruitment program” (see Malign FTRP Definition, above) requires mitigation and, if no mitigation is possible, rejection of the proposal.  DOD’s Risk Matrix is available here.

Other agencies may also consider participation in an FTRP to be a research security risk factor.  However, without further guidance from these agencies, it is unclear the extent to which participation in FTRPs could impact future funding decisions.

If you are considering an invitation to participate in a foreign talent recruitment program, please request a foreign influence consultation.

 

foreign talent recruitment program ftrp

Compliance Café : Federal Research and Foreign Talent Recruitment Programs 

OSP and the Office of Foreign Influence discussed the Federal Research Compliance and Certification Requirements Regarding Foreign Talent Recruitment Programs at an upcoming Compliance Café, hosted by the Research Quality Compliance Network (RQCN).
Watching the recording here

 

 

 

Asssessing and Mitigating Risk

As part of normal scholarly activities, University researchers engage in many informal collaborations and communications with colleagues around the world, resulting from meeting colleagues at conferences or meetings.

Exchanging discussions and ideas over email is an example of an informal collaboration. Informal collaborations have no formal written agreement or contract, required deliverables, or funds exchanged. 

Collaborating with researchers at organizations on government watch lists can expose the investigator to risks.

In general

The University values academic communication and cooperation with international colleagues. However, even informal collaborations need to follow research security, export control and other laws. Request a restricted party screening to help assess the risk of a potential informal collaboration regardless of who the collaboration may be with.

Informal collaborations on sensitive technologies or with someone on a government watch list could expose you and your research to risks.

An increasing number of Chinese institutions with strong ties to the People’s Liberation Army and institutions from other Countries of Concern are being identified on watch lists, which increases the risk of these collaborations. As a result, you may not be able to transfer certain items to restricted parties, making the collaboration impractical. Collaborating with parties looked at suspiciously by the U.S. government may also impact applications for federal funding. 

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose remuneration of at least US $5,000 that you receive in a 12 month period directly from the entity (i.e. the University is not a party to any agreement with the entity and the University is not administering the funding).
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures: Disclose your participation in any foreign talent recruitment program, even if through an agreement with the University, to federal sponsors. 

Additional resources

Knowing who we are inviting to our campus and into our labs helps protect our students, researchers, research results, access to labs, and intellectual property against improper exposure and use. Lab staff should feel comfortable in the lab as they perform their research or other duties and not feel wary of unknown people in their lab space.

In general

Researchers are free to invite their professional colleagues to visit the University campus. Increasingly, that freedom must be balanced with knowing whether the person we are inviting comes from a high risk country or is a restricted party.

It is advisable to consult with the Office of Foreign Influence before considering appointing, as postdocs or visiting researchers, individuals who are known to be members of China’s armed forces, employed by Chinese military and security institutions, or employed by China’s national defense universities.

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose remuneration of at least US $5,000 that you receive in a 12 month period directly from the entity (i.e. the University is not a party to any agreement with the entity and the University is not administering the funding).
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures: If your visitor is contributing to your research, and you haven't already disclosed thier involvement, contact your Sponsored Projects Officer if you need help determining what (if any) disclosures are required based on the sponsor and agreement terms.

Additional resources

All gifts to individual researchers and to the University must comply with the University's general policies, principles, and processes for soliciting and accepting gifts. Notify Todd Nilsen, Associate Director & Export Control Officer, before accepting any gifts from restricted parties.

In general

Per § 67-16-1 et seq., University employees may not solicit or accept gifts, that is "intended to, or could, improperly influence a public employee in the performance of his/her public duties." 

Gifts (including in-kind) may be acceptable for use in research if they are not from an entity in which an Investigator has a significant financial interest as long as it complies with the University's general policies, principles, and processes for soliciting and accepting gifts. 

Per Policy 7-006, University Officials may not accept personal gifts from sponsors of Research with Human Subjects in violation of the Utah Public Officers' and Employees' Ethics Act. 

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose remuneration of at least US $5,000 that you receive in a 12 month period directly from the entity (i.e. the University is not a party to any agreement with the entity and the University is not administering the funding).
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures: Contact your Sponsored Projects Officer if you need help determining what (if any) disclosures are required based on the sponsor and agreement terms.

In general

All Univesrity policies apply when traveling abroad.

When planning your travel:

  • Obtain approvals from your department, lab, or center prior to booking a trip.
  • Contact Travel Services to discuss your travel plans.

Traveling to elevated-risk countries can raise issues related to protection of electronic devices and data, as well as export control, customs and visa considerations.   

Additional resources

Before giving lectures in executive and professional education programs, determine whether the organization or (if the lecture is not open to the public) the participating individuals are considered a restricted party.

Executive and professional education programs generally do not raise the kind of concerns that might arise in research engagements with countries of concern. Knowledge and information provided in an educational setting, including classes and lectures that are open to a general audience, are not subject to U.S. export control restrictions, but faculty should only present information that is already available in the public domain. 

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose remuneration, in accordance with COI Policies.
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures

A central component of graduate education is the opportunity for students to learn from faculty. Faculty should not hesitate to mentor students or postdocs or to recommend them for positions. 

In general

Any recommendation should conform to MIT values and contain a truthful and complete accounting of how the faculty member knows the candidate, as well as an assessment of the candidate’s abilities. 

Faculty should not write letters of recommendation for non-MIT students in programs (such as tutoring programs) in which they have been paid to teach with a quid pro quo that they write such letters. 

Though faculty can recommend candidates for positions in countries of concern, if they are known to them and have engaged sufficiently to support their candidacy for a position, they should not play an organizational or administrative role in programs that seek to channel graduates into non-academic jobs in those countries.

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose if you received payment for these activities, in accordance with COI policies.
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures

In general

While on leave or sabbatical, you may have increased opportunities to engage with outside entities . However, accepting compensation from or devoting significant time to these entities can create a conflict of interest or commitment.

Even while on leave or sabbatical, you still have access to University resources. Request a restricted party screening before engaging with any foreign entities.

Required disclosures

Individuals are required to completely and accurately disclosure all foreign relationships in the University Business Relationship Reporting (BRR) system. These disclosures should match what is being reported to sponsors.

Disclosing conflicts of interest (COI) or outside professional activities (OPA) to the University is not a disclosure to the sponsor. It is the responsibility of the individual researcher to provide details of such engagements to the sponsor.

  • COI: Disclose if you gained a new significant financial interest during your sabbatical, in accordance with COI policies.
  • Disclose any professional relationships with foreign entities and/or foreign individuals.
  • Sponsor disclosures: If disengaging from one or more sponsored projects for a period exceeding three months, contact your Sponsored Projects Officer to discuss arrangements for oversight and sponsor notification and approval.

Additional resources

 

Last Updated: 7/2/24