Foreign Talent Recruitment Programs (FTRPs) and Malign FTRPs

A Foreign Government Talent Recruitment Program (“FTRP”) is an effort organized, managed, or funded by a foreign government or foreign 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). FTRPs generally involve two elements: i) compensation from a foreign country or entity to the researcher in exchange for ii) specific research activities, opportunities, or obligations that may create a risk of conflict of interest, conflict of commitment, loss of IP, or other risks. Compensation need not be cash but could include in-kind contributions, access to resources, research funding, titles, travel, or items of non-de minimis value. FTRPs are not limited to programs with an explicit purpose of recruiting personnel but may have broader goals, e.g.,  to recruit the targeted individual to support the foreign country’s research and development initiatives in exchange for benefits to the individual being recruited.

Participation in FTRPs may constitute a conflict of commitment in violation of Columbia policy. Participation in a Malign FTRP by federally-funded researchers is prohibited under federal law and University policy. 

The U.S. government has determined that participation in certain FTRPs raises research security concerns. The U.S. government and federal funding agencies have taken the following actions to address these risks:

  • All federally funded researchers are prohibited from participating in Malign FTRPs (“MFTRPs”);
  • All federally funded researchers must disclose participation in any FTRP; and
  • 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.

These are discussed in more detail below.

 

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 (including Hong Kong), 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. NSF will start requiring this certification in spring 2024, and the DOD 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”

 

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

Part A.

Any program, position or activity compensated with cash or in-kind compensation such as complimentary foreign travel, honorific titles, career advancement opportunities, where the compensation is in exchange for one or more of the following:

  1. Unauthorized transfer of intellectual property, materials, data products, or other nonpublic information developed through U.S. federal funding to a foreign government or entity affiliated with a foreign country;

  2. Being required to recruit trainees or researchers to participate in the program or activity;

  3. Establishing a lab or company or accepting a faculty position or other employment if these activities are in violation of standard terms and conditions of a federal award;

  4. Being unable to terminate the contract except in extraordinary circumstances;

  5. Requiring commitments that limit the capacity to carry out a U.S. federal award or would result in substantial overlap or duplication;

  6. Being required to apply for or successfully receive funding from the sponsoring foreign government’s funding agencies, with the foreign organization as the recipient;

  7. Being required to omit acknowledgement of the recipient institution (i.e., Columbia University), or the U.S. federal research agency sponsor, contrary to institutional policies or standard award terms and conditions;

  8. Being required to withhold information about participation in the program and not to disclose it to the U.S. funding agency or to Columbia; OR

  9. Having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the award.

and

Part B.

  1. A foreign country of concern (“FCOC”) or an entity based in a FCOC, whether or not directly sponsored by the FCOC;

  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. 

Foreign Countries of Concern (FCOCs) are China (including Hong Kong), North Korea, Russia, and Iran.

If a program meets at least one criterion in Part A and B above, it is a Malign FTRP and federally-funded researchers are prohibited from participating in it under federal law and University policy. 

If you are considering an invitation that may meet any of the above criteria, please contact Michelle Avallone, Director of Export Controls and International Engagement, for guidance.

 

International Collaborations that are Not Prohibited Malign FTRPs

Under the CHIPS Act, certain activities associated with International Collaborations are not considered Malign FTRPs as long as these activities are not funded, organized, or managed by an academic institution or a foreign talent recruitment program on the 1286(c)(8) or 1286(c)(9) Lists, respectively. These activities include:

(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) other international activities determined appropriate by the Federal research agency head or designee.

If you are considering an invitation and have questions as to whether the activity meets one of the above International Collaboration categories or whether the activity involves a 1286 Listed entity or program, please contact Michelle Avallone, Director of Export Controls and International Engagement for guidance.

In addition to prohibiting participation in Malign FTRPs, the CHIPS Act requires that federally-funded researchers disclose participation in any FTRP, regardless of the country involved. 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.”

If you are considering an invitation that may meet the definition of a FGTRP, please contact Michelle Avallone, Director of Export Controls and International Engagement for guidance.

 

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 program that meets one or more criteria in Part A of the CHIPS Act definition of “malign foreign talent recruitment program”, please contact Michelle Avallone, Director of Export Controls and International Engagement for guidance.

U.S. Department of Energy (DOE) contracts require disclosure of investigators’ affiliations, if any, with “foreign government-sponsored talent recruitment programs” in certain countries. This requirement applies to subcontracts to the University that involve work by an investigator at a DOE or contractor facility.

Definition of “Foreign government-sponsored talent recruitment program” 

In general, such programs include any foreign-state-sponsored attempt to acquire U.S. scientific-funded research or technology through government-run or funded recruitment programs that target scientists, engineers, academics, researchers, and entrepreneurs of all nationalities working or educated in the U.S. These recruitment programs are often part of broader whole-of-government strategies to reduce costs associated with basic research while focusing investment on military development or dominance in emerging technology sectors.

Distinguishing features of a foreign government talent recruitment program covered by this Order include:

  1. Compensation provided by the foreign state to the targeted individual in exchange for the individual transferring their knowledge and expertise to the foreign country. The compensation can take several forms, such as cash, research funding, honorific titles, career advancement opportunities, promised future compensation, or other types of remuneration or other consideration.
  2. Recruitment in this context refers to the foreign-state-sponsor’s active engagement in attracting the targeted individual to join the foreign-sponsored program and transfer their knowledge and expertise to the foreign state. The targeted individual may be employed and located in the U.S., or in the foreign state. Recruitment would not necessarily include any invitation for engagement extended by the foreign state, for example, an invitation to attend or present work at an international conference.
  3. Many, but not all, programs aim to incentivize the targeted individual to physically relocate to the foreign state. Of particular concern are those programs that allow for continued employment at U.S. research facilities or receipt of DOE research funds while concurrently receiving compensation from the foreign state.

A copy of the DOE Order implementing this requirement can be reviewed at the following site: https://www.directives.doe.gov/directives-documents/400-series/0486.1-BOrder-a. 

The Center for Security and Emerging Technology (CSET) has created a tracker to catalog publicly available information about Chinese Talent Recruitment Programs. The Chinese Talent Program Tracker is a catalogue of Chinese Party-State-sponsored initiatives aimed at cultivating China’s domestic talent pool in support of China’s strategic civilian and military goals. To learn more, visit the CSET website.

For questions about the DOE Disclosure Requirement, contact your SPA project officer.

NIH has issued a decision matrix for assessing potential foreign interference as part of its ongoing efforts to be transparent about its policies and procedures. NIH has posted a detailed description regarding its approach to foreign interference compliance reviews. The Decision Matrix offers additional detail as to how NIH considers whether to contact institutions to request additional information. Review the Decision Matrix here. 

October 31st 2024 Town Hall - Everything You Wanted to Know about MFTRPs