State and federal agencies continue to promulgate legislation and regulations in the area of research security, including related to talent recruitment programs. IU employees must comply with a number of rules related to talent recruitment programs. The IU Research Security Office stands ready to consult with IU employees regarding talent recruitment programs and provides this guidance as a tool for IU employees’ use in understanding these rules. If in doubt, please reach out to us at rsohelp@iu.edu to discuss.
Guidance on Talent Recruitment Programs
I. Prohibition on Participation in Malign Foreign Talent Recruitment Program (“MFTRP”)
Rule: IU policy BOT-34 prohibits participation in an MFTRP.
Scope of Rule: This prohibition applies to all (1) university faculty; (2) university staff; and (3) students and other individuals engaged in the performance of, or who will be engaged in the performance of, if awarded, sponsored research or activity.
Reason for Rule: This policy was originally required by the United States Department of Defense ("DoD") in its policy entitled, Countering Unwanted Foreign Influence in Department-Funded Research at Institutions of Higher Education. Federal funding agencies prohibit Sr./Key Personnel from participating in MFTRPs, as required by the CHIPS and Science Act.
What is an MFTRP?
An MFTRP is defined at §10638(4) of the CHIPS and Science Act.
An MFTRP is "a program, position, or activity" falling under all of Categories A, B, and C, i.e. meets one of the descriptors under Category A, Category B, and Category C.
Sponsored by a Foreign Country of Concern
Compensation or Remuneration
Problematic Obligations or Activities
Category A – Sponsored by a Foreign Country of Concern
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). Foreign Countries of Concern currently include:
- The People's Republic of China
- The Democratic People's Republic of Korea (North Korea)
- The Russian Federation
- The Islamic Republic of Iran
- an academic institution or foreign talent recruitment program on the list developed under §1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019
Category B – Compensation or Remuneration
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
Category C – Problematic Obligations or Activities
Compensation or remuneration is provided to the individual in exchange for:
- 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.
II. Prohibition on Participation in Foreign Recruitment Program by a Foreign Country of Concern
Rule: IU policy RP-11-012 prohibits IU employees from participating in a “foreign recruitment program by a Foreign Country of Concern.”
Scope of Rule: Applies to all IU employees.
Reason for Rule: Indiana Executive Order 25-64 requires that IU adopt a policy or manual prohibiting its employees from taking part in any “foreign recruitment program” that is “by a foreign adversary nation.” This would include, but is not limited to, China’s Thousand Talents Program.
What is a Foreign Recruitment Program?
EO 25-64 does not define the term “foreign recruitment program.” Instructive, however, is the National Institute of Standards and Technology definition of a similar term, “foreign talent recruitment program.” That definition is as follows:
A foreign talent recruitment program (“FTRP”) is an effort organized, managed, or funded by a foreign government, or a foreign government 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).
What is a Foreign Recruitment Program by a Foreign Country of Concern?
A Foreign Country of Concern is defined as currently including China, Russia, Iran, North Korea, Venezuela, and Cuba. For an activity to constitute a Foreign Recruitment Program by a Foreign Country of Concern, it must meet the descriptions of both Categories A and B, below.
Sponsorship
Purpose
Category A: Sponsorship
- Must be an effort organized, managed, or funded by:
- A foreign government, or
- A foreign government entity
- Of one of the following countries:
- China
- Russia
- Iran
- North Korea
- Venezuela
- Cuba
Category B: Purpose
- Recruitment of
- Science and Technology professionals or students (including full-time or part-time positions)
III. Federal Funding Agencies Require Disclosure and Certification re: MFTRPs and FTRPs
Rule(s): Senior/key personnel are now required to certify on their proposals to federal funding agencies that they do not have affiliations with MFTRPs. Additionally, the National Science Foundation now requires Principal Investigators and Co-Principal Investigators to certify annually in Research.gov that they are not a party to an MFTRP for all awards made on or after May 20, 2024.
Senior/key personnel are now also required to disclose in their Biographical Sketches and Current & Pending (Other) Support documentation and in annual reports/RPPRs that they participate in a FTRP, regardless of the country of sponsorship.