Foreign Collaborations

Definitions

Covered Individual

A “covered individual” is defined as all senior key personnel identified by the small business in the application (i.e., individuals who contribute to the scientific development or execution of a project in a substantive, measurable way).

Foreign Talent Recruitment Program

The Office of Science and Technology Police defines a Foreign Talent Recruitment Program 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.”

Malign Foreign Talent Recruitment Program

Many countries sponsor talent recruitment programs for legitimate purposes and that follow U.S. research integrity principles. However, some programs circumvent these principles and require unethical or illegal behaviors or contain requirements that conflict with the terms of federal research or development (R&D) awards such as:

Engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a U.S. entity or developed with a federal R&D award to a foreign government or entity.
Recruiting trainees or researchers to enroll in the program.
Establishing a laboratory or company or accept a faculty position or other employment in a foreign country in violation of the terms and conditions of a Federal research award.
Preventing an individual to terminate the foreign talent recruitment program contract except in extraordinary circumstances.
Limiting the capacity of an individual to carry out a research or development award or requiring work that would result in substantial overlap or duplication with a Federal R&D award.
Requiring the individual to apply for and receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient.
Requiring the individual to omit acknowledgement of CNE or the federal agency sponsoring the R&D award.
Requiring the non-disclosure to federal funders and CNE participation in the talent recruitment program.
Requiring the individual to maintain a conflict of interest or conflict of commitment contrary to the standard terms and conditions of a federal R&D award.

AND a program that is sponsored by:

a foreign country of concern or an entity based in a foreign country of concern (i.e. China, Russia, North Korea, Iran, or any other country identified by the Secretary of State),
an academic institution on the NDAA 2019 Section 1286(c)(8) List, p.18-20; or
a foreign talent recruitment program on the NDAA 2019 Section 1286(c)(9) List, p.9.

Activities Not Considered Part of Malign Foreign Talent Programs

The federal government has recognized many activities that federally funded researchers may conduct. These are not considered a malign foreign talent program so long as the activity is not funded, organized, or managed by an academic institution or foreign talent recruitment program identified by the U.S. government. These activities include:

Making scholarly presentations and publishing written materials regarding scientific information that is 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 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.

Malign Foreign Talent Recruitment Programs

Disclosure and Certification

The CHIPS and Science Act prohibits participation in Malign foreign talent recruitment programs and federal funding agencies require that every “covered individual” disclose whether they are part of any foreign talent recruitment programs at the time of application, regardless of country involved. Disclosure may look different depending on the sponsoring agency, so be sure to understand the requirements prior to application. Consult with your SPRA pre-award specialist or department manager for additional assistance.

In addition to prohibiting participation, the CHIPS and Science Act also requires certification that “covered individuals” are not participating in malign foreign talent recruitment programs. Individuals must certify they are not part of a prohibited program at the application stage and CNE also certifies when submitting the application. Because of this, we ask that all covered individuals fill out the CNE Malign Foreign Talent Recruitment Program certification and disclose any foreign talent recruitment programs they are a part of.

Consequences of Not Disclosing

The CHIPS and Science Act prohibits covered individuals from participating in Malign Foreign Talent Recruitment Programs and to disclose any participation in any foreign talent recruitment program. Recent guidance includes the following statement: “Section 10633 provides that federal research agencies may request supporting documentation from applicants and take a range of funding related actions if warranted.”

Failure to disclose participation could result in:

Removal from federal R&D awards
Civil and criminal penalties
Fines to the covered individual and/or their home institution

What it Means for Me

Covered Individuals should remember:

Participation in a malign foreign talent recruitment program is prohibited by the CHIPS and Science act and by federal funding agencies
Participation in any foreign talent recruitment program must be disclosed to federal funders at the application stage. This could happen on a biosketch, other support, etc.
Failure to disclose can lead to a number of “funding related actions”, including removal from awards, civil and criminal penalties, and fines.

International Travel

Coming Soon

Foreign Influence