Foreign Talent Recruitment Programs
In alignment with National Security Presidential Memorandum 33 (NSPM-33), issued January 14, 2021, and the Memorandum for the Heads of Research Agencies, issued February 14, 2024, researchers must declare participation in Foreign Talent Recruitment Programs (FTRPs) and Malign Foreign Talent Recruitment Programs (MFTRPs).
Davidson College collects this information before submission of grants, at the time of an award, and annually thereafter through our Research Security Disclosure form (formerly Financial Conflict of Interest Disclosure). All faculty, staff, and students participating in federally funded research must review the definitions of FTRP and MFTRP and disclose participation in any such program using this form. Definitions of FTRP and MFTRP are provided below. These definitions are taken from NSPM-33 and NSF guidance on NSPM-33.
The guidelines state:
Section 10631(d) of the Act requires federal research agencies to issue a policy on foreign talent recruitment programs. Section 10632(a) of the Act further requires them to issue a specific policy on malign foreign talent recruitment programs, which must include provisions that, as part of a proposal for a research and development award from the agency:
“(1) each covered individual listed in such proposal certify that each such individual is not a party to a malign foreign talent recruitment program … and annually [certify] thereafter for the duration of the award; and 1 Public Law 117-167.
(2) each institution of higher education or other organization applying for such an award certify that each covered individual who is employed by such institution of higher education or other organization has … complied with the requirement under paragraph (1) [above].”
OSTP definition from the White House dated 14 February 2024
A foreign talent recruitment program is 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.
Consistent with Section 10632(d) of the Act, 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):
- Making scholarly presentations and publishing written materials 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, and which are aimed at advancing international scientific understanding and not otherwise controlled under current 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; and 4. Engaging in the following international activities:
- 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.
- 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).
- 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.
- Receiving awards for research and development which serve to enhance the prestige of the federal research agency (e.g., the Nobel Prize).
- Other international activities determined appropriate by the federal research agency head or designee.
OSTP definition from the White House dated 14 February 2024
(As defined by Section 10638(4) of the Act)
- 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
- 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 ).
The following are not considered malign foreign talent recruitment programs unless such activities are 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):
- making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
- 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;
- advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request.
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.
Do I need to disclose participation in an FTRP?
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 ORPA grant manager to ensure proper disclosure.
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).
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.
It is also important to recognize that many MFTRP requirements may also violate Princeton University policy.
How do I know if I am participating in an FTRP or MFTRP?
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 researchsec@princeton.edu.
What is not considered an FTRP?
The federal government has carved out 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 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.
I have foreign collaborators on my research project. Do they have to certify regarding participation in an FTRP or MFTRP?
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.
I ended my participation in a foreign program that contained characteristics of an MFTRP in 2020. Will I be prohibited from receiving an award from a federal funding agency due to my past participation?
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.
Who should I contact if I have questions?
Davidson College’s research security program is overseen by the Assistant Dean for Research Development and Director of Sponsored Programs, Peter Szanton. Please contact peszanton@davidson.edu with any questions.