Announcement: The Chips & Science Act of 2022 prohibits participation in any foreign talent recruitment program by personnel of Federal research agencies and prohibits participation in a malign foreign talent recruitment program (MFTRP) by covered individuals involved with research and development awards from those agencies. As a result, USC has revised the COI in Research policy to note that participation in MFTRPs is prohibited when required by a research sponsor. The definition of MFTRPs is below and can also be found in the COI in Research policy.
How Federal Agencies Are Implementing Policies to Comply with the Chips & Science Act
- Department of Defense: 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 Section 10632 of the CHIPS and Science Act of 2022. As part of the annual disclosure process and the disclosure process prior to accepting an award, covered individuals must now certify that they are not associated with a Malign Foreign Talent Recruitment Program.
- The National Science Foundation: The National Science Foundation (NSF) revised Proposal and Award Policies and Procedures Guide (PAPPG) went into effect on May 20, 2024. It includes the definition of Malign Foreign Talent Recruitment Programs and explicitly prohibits the participation of senior personnel in MFTRPs. All senior personnel will be required to certify prior to proposal submission that they are not party to an MFTRP. In addition, the Authorized Organization Representative (i.e., the person who submits your proposals) will need to certify that all senior personnel associated with the proposal have been made aware of and have complied with their responsibility under that section to certify that they are not a party to a malign foreign talent recruitment program.
- Department of Energy: In June 2019, the DOE issued the DOE Order 486.1 that prohibits DOE employees, contractors, and certain subcontractors from currently or in the future participating in foreign talent recruitment programs of countries determined sensitive by DOE, such as China’s Thousand Talents programs.
- Other Federal Agencies: As of August 9, 2024, all other federal agencies prohibited participation in a malign foreign talent recruitment program by covered individuals involved with research and development awards from those agencies.
What is the Definition of Malign Foreign Talent Recruitment Program (MFTR)?
Malign Foreign Talent Recruitment Programs are defined in the Chips & Science Act of 2022 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 –
- (i) 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;
- (ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;
- (iii) 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;
- (iv) being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
- (v) 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;
- (vi) 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;
- (vii) 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;
- (viii) 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
- (ix) having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award. And,
- (i) 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;
- (B) A program that is sponsored by –
- (i) 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;
- (ii) 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
- (iii) 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 ).
- (i) 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;
What is NOT Considered a Malign Foreign Talent Recruitment Program (MFTR)
The following are not considered malign foreign talent programs:
- Making scholarly presentations regarding scientific information not otherwise controlled under current law.
- Participating in international conferences or other international exchanges, research projects or programs that involve open and reciprocal exchange of scientific information not otherwise controlled under current law.
- 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 USC.
- 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 are not in conflict with USC.
- Receiving awards for research and development which serve to enhance the prestige of USC (e.g., the Nobel Prize).
- Academic collaborations with a foreign researcher where each side contributes to the project not otherwise controlled under current law.
Who Are “Covered Individuals”?
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.
How Does an FTRP Differ from an MFTRP?
As noted above, many countries encourage the growth of their local research talent through program 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).
Do I Need to Disclose Participation in an FTRP?
USC requires disclosure and prior approval for participation in a FTRP via diSClose. Federal funding agencies also 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 OCEC to ensure proper disclosure. Here is a link to our quick guide on how to handle Disclosing International Collaborations.
Is Participation in an MFTRP Permitted?
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.
Questions? If you have any questions, please feel free to reach out to Ben Bell in the Office of Culture, Ethics, and Compliance.