Foreign Talent Recruitment Programs (FTRP)

Introduction

For several years, the federal government has directed the university community to exercise extreme caution related to involvement with Foreign Talent Recruitment Programs (FTRP) due to the concern they may be used by foreign governments to acquire United States (U.S.) government-funded scientific research and valuable intellectual property. The CHIPS and Science Act of 2022 (external link) (CHIPS Act) directs federal research sponsors to maintain policies which:

require covered individuals to disclose all participation in FTRPs, and
prohibit recipients of federal support from participating in any Malign FTRPs (MFTRPs).

The National Science Foundation (NSF), National Institutes of Health (NIH), Department of Defense (DoD), and other agencies have started implementing these policies, and researchers may start to see sponsor-specific certifications and/or disclosure requirements when submitting proposals.

This guidance, adapted with permission from the University of Minnesota, has been established as a resource to help inform the research community about FTRPs and MFTRPs. Federal definitions of FTRP and MFTRP are below. If you are unsure whether your program/activity meets the definition of an FTRP or MFTRP, contact the export compliance team in the Office of Research Compliance at um.export@maine.edu for assistance.

Foreign Talent Recruitment Program (FTRP) Definition

The White House Office for Science and Technology Policy (OSTP) defines FTRP in their memo Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs (PDF) (external link) as:

“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.”

Some activities which do not constitute a FTRP, detailed more fully in the OSTP memo linked above, include making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under U.S. law, and participating in international conferences and research projects or other programs that involve open and reciprocal exchanges of scientific information.

Malign Foreign Talent Recruitment Program (MFTRP) Definition

The CHIPS Act (external link) provides a definition of MFTRP – essentially an FTRP requiring one or more problematic actions and having problematic sponsorship. See full CHIPS Act definition of MFTRP.

Required Disclosure to Sponsors of Participation in FTRPs

The CHIPS Act requires OSTP and federal research agencies to implement policies requiring all Principal Investigators (PIs) and senior/key personnel to disclose FTRP participation in the appropriate federal forms (Current and Pending/Other Support, Biosketches, etc.). In practice, this means that foreign appointments are required to be included in Biosketches, and any form of compensation, in-kind or funded research support, or resource provided by the foreign entity must be included in the Current and Pending/Other Support form. Many agencies already have this requirement, or something very similar, so the impact on researchers should be minimal, provided that they are already aware of and complying with the requirements. It is critical that personnel provide complete and accurate information about involvement in any FTRPs, per agency rules.

Prohibition on Participation in MFTRPs

PIs and key research personnel are prohibited from participating in an MFTRP by the CHIPS Act and federal agency implementing rules; the prohibition is codified at 42 USC 19232 (external link). Grant and contract proposals to federal sponsors will generally need to include individual certifications that covered personnel are not involved in MFTRPs, as well as institutional certifications that covered personnel have been made aware of the MFTRP prohibition.

Additional University Expectations and Local Disclosures

Faculty and staff should also familiarize themselves with the University of Maine System (UMS) and UMaine policies applicable to Conflict of Interest and outside employment, and be fully transparent in disclosing outside interests and commitments. These policies include:

The University of Maine System Conflict of Interest Policy
UMaine Policies and Procedures for Financial Disclosures and Conflicts of Interest in Extramurally Sponsored Activities (PDF)
Outside Employment Article(s) in applicable bargaining unit contract (UMS Labor Relations)

Additionally, the University will be implementing a new FTRP and MFTRP disclosure in PARS for Investigators and Senior Personnel to complete during the proposal stage and annually thereafter.

Federal Agency Policies

Department of Defense (DoD)

Effective August 9, 2024, the Department of Defense (DoD) 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 (MFTRP) or to a proposing institution that does not have a policy addressing MFTRPs pursuant to Section 10632 of the CHIPS and Science Act of 2022. More information about this requirement can be found in the DoD publication Countering Unwanted Influence in Department-Funded Research at Institutions of Higher Education (PDF) (external link).

National Science Foundation (NSF) Prohibition on Participation in Malign Foreign Talent Recruitment Programs (MFTRPs)

The NSF Proposal and Award Policies and Procedures Guide (external link) (PAPPG), effective May 20, 2024, includes the definition of Malign Foreign Talent Recruitment Programs (MFTRPs) and explicitly prohibits 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 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 an MFTRP.

Department of Energy (DOE)

In June 2019, the DOE issued the DOE Order 486.1 (external link) (updated in 2020), which prohibits DOE employees, contractors, and certain subcontractors from participating in “Foreign Government-Sponsored Talent Recruitment Program (FGTRP) of a Foreign Country of Risk” (currently Iran, North Korea, Russia, and China). Note: Some DOE awards contain DOE Order 486.1, while some include this prohibition as a clause in Special Terms and Conditions.

The DOE prohibition applies to all participants on the project; all personnel on DOE awards subject to the prohibition will need to complete the DOE FGTRP Certification prior to being involved with the project.