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 UA-17 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 Adversary Country
Rule: IU policy RP-11-011 prohibits IU employees from participating in a "foreign recruitment program by a foreign adversary country."
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 White House Office of Science and Technology Policy definition of a similar term, "foreign talent recruitment program." That definition is as follows:
A foreign talent recruitment program ("FTRP") 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 CHIPS and Science 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
- 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.
What is a Foreign Recruitment Program "by a Foreign Adversary Country"?
Pursuant to Indiana Code § 1-1-16-9, the Executive Order defines "Foreign Adversary Countries" as currently including China, Russia, Iran, North Korea, Venezuela, and Cuba. The Executive Order does not elaborate on what it means for a "Foreign Recruitment Program" to be "by a Foreign Adversary Country." Instructive, however, is the language from the CHIPS and Science Act regarding MFTRPs, stating that the sponsorship element of the program is met if the program is sponsored by the country or by an entity based in the country.
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.