Foreign Talent Recruitment Programs

According to the U.S. government, a Foreign Talent Recruitment Program (FTRP) is an initiative organized, managed, or funded by a foreign government (at any level—national, provincial, or local) or a foreign entity (such as a foreign university, a foreign research foundation or funder, or a foreign company with ties to a foreign government) to recruit science and technology professionals or students, regardless of the researcher’s or student’s citizenship or national origin.

FTRPs usually involve compensation from the foreign government or foreign entity to an individual researcher (rather than to Penn itself), in exchange for an understanding by the individual researcher to take an action or undertake an obligation that the U.S. government believes may create research security risks or conflict with the federal funding of the Penn research activities, such as risks involving conflict of interest, conflict of commitment, and/or loss of intellectual property.  The action or obligation that the foreign government or foreign entity might request from the individual researcher might include, as examples only:  recruiting students or researchers for the foreign program, rather than a U.S. research program; establishing a lab at a foreign university; accepting a faculty position at a foreign university that creates a conflict of commitment or conflict of interest; agreeing not to conduct certain research in the United States; agreeing to apply for research funding to be awarded to the foreign entity or government; or agreeing not to identify Penn and/or the U.S. funding agency when publishing research results. The compensation to the individual researcher may be direct (i.e., to the individual researcher) or indirect (i.e., to a family member or a colleague in the researcher’s lab). The compensation to the individual researcher may be in the form of cash, but can also include in-kind compensation, such as research funding for the individual’s lab or researchers; complimentary foreign travel; promised future compensation; granting an honorary title (including but not limited to an honorary faculty title at a foreign university); granting early access to non-public research; or making a gift to the individual researcher or his/her family.

This is a summary of the federal definition of a FTRP. To read the complete definition, please see the Office of Science and Technology Policy's memo regarding FTRPs.

The U.S. government requires that every “Covered Individual” must disclose whether they are a party to a Foreign Talent Recruitment Program when submitting a funding proposal to the funding agency, and annually thereafter for the duration of any award.  Each funding agency may have slightly different requirements, but in general, this should be disclosed as part of “Other Support” or “Current and Pending Support.”  If you are a Covered Individual, please work with your Business Administrator on how to disclose your participation in an FTRP.

A Covered Individual is defined as an individual who contributes in a substantial and meaningful way to the scientific development or execution of a research and development project proposed to a federal agency, and who is designated as a covered individual by that federal agency.  This includes Senior and Key Personnel.  Each funding agency is allowed to define other individuals as included within the definition of “Covered Individual,” so you should check each funding proposal carefully and be familiar with the specific definition from each agency.

Many countries, or entities within countries, sponsor foreign talent recruitment programs for legitimate purposes, and offer financial incentives to relocate to the host country. Unfortunately, some programs encourage, or even require, unethical or criminal behavior or include requirements that may conflict with the terms of a federal research or development award or Penn policy. For example, some FTRPs require that individuals keep their participation secret from their U.S. employers and funding agencies or require them to file patents in the foreign country rather than, or before filing, in the United States. These types of foreign talent recruitment programs may be considered “malign,” and are of the most concern to the U.S. government. To review the complete definition of an MFTRP, please link here.

The primary distinction between a MFTRP and an FTRP is the foreign government or foreign entity that is involved. An FTRP may be a MFTRP if the program is sponsored by a foreign country of concern or an entity based in a foreign country of concern (currently, China, Iran, North Korea, or Russia), or any other foreign sponsor identified on the NDAA 2019 Section 1286(c)(8) or 1286(c)(9) Lists.

If the program sponsor is a government agency or entity (including a university) affiliated with China, Iran, North Korea or Russia, and includes one or more of the following conditions, please seek advice from the Penn's Research Security Program Director or the Office of the General Counsel:

• a requirement to transfer intellectual property, materials, data products, or nonpublic information to the foreign government or foreign entity;
• a requirement to recruit trainees or researchers to enroll in a foreign research program or foreign university, rather than a U.S. research program or U.S. university;
• a requirement to establish a research laboratory or company in a foreign country;
• accepting a faculty position with a foreign university that violates a Penn policy on conflict of commitment (“1 day in 7”), conflict of interest, extramural engagements, or other Penn policy, or violates a federal funding agency’s award terms and conditions;
• the Penn researcher generally is unable to terminate his/her individual FTRP agreement with the foreign government or foreign entity;
• a limitation on research the Covered Individual may conduct at Penn using federal funds;
• being required to conduct research for the foreign government or foreign entity that has the capacity to substantially overlap or duplicate federally funded research;
• being required to apply for foreign government research funding awarded to a foreign university or foreign entity;
• being required to omit your affiliation with Penn or your funding by a U.S. government agency; or
• any other obligation that conflicts with a term or condition in the federal funding award (or proposed award if at the proposal stage) or with a Penn policy.

The CHIPS Act prohibits a “Covered Individual” (see discussion above) from being a party to a MFTRP.

In addition, federal law requires each Covered Individual to certify, as part of each funding proposal submitted to a funding agency and annually for the duration of the award, that they are not a party to a MFTRP.  (There are potential civil as well as criminal penalties for making a false disclosure or a false certification to a federal agency.) Further, Penn also must certify to the funding agency that each Covered Individual has complied with their certification obligations.

See Sponsored Programs Policy 2145 for Penn's MFTRP policy.

The U.S. Government has determined that participating in certain FTRPs raises research security concerns. As a result of these concerns:

• The CHIPS Act prohibits federally funded researchers from participating in MFTRPs.
• Each “Covered Individual” applying for federal funds, or whose research has been federally funded, must disclose any participation in a FTRP, and certify the accuracy of the disclosure to the funding agency.
• Each “Covered Individual” applying for federal funds, or whose research has been federally funded, must certify that they are not participating in a MFTRP, and certify the accuracy of the disclosure to the funding agency.
• Federal funding agencies also may determine that previous as well as current participation in certain FTRPs and other risk factors require risk mitigation steps prior to award, and may not fund the project if they determine that the risk is unmanageable.

There are many international collaboration activities that a federally funded researcher may undertake with international colleagues that the U.S. government does not believe present a research security risk (unless undertaken with funding from, or organized or managed by, an academic institution or entity affiliated with, China, Iran, North Korea, Russia, or one of the other foreign entities on the NDAA 2019 Section 1286(c)(8) or 1286(c)(9) Lists).  Those international collaboration activities generally include the following:

• Making scholarly presentations and publishing written materials regarding scientific information (consistent with export control laws, laws regarding confidential or controlled unclassified information, and other legal obligations and Penn policies regarding awards and research);
• Participating in international conferences or other international exchanges and research projects that involve open and reciprocal scientific information exchange (consistent with export control laws, laws regarding confidential or controlled unclassified information, and other legal obligations and Penn policies regarding awards and research);
• Advising a foreign student enrolled at a foreign university or writing a recommendation for such student at the student’s request (consistent with export control laws, laws regarding confidential or controlled unclassified information, and other legal obligations and Penn policies regarding awards and research).  For example, advising a foreign student studying in Iran may involve compliance with export control laws and sanctions regulations before undertaking the advising.
• 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).

NSF

Beginning May 2024, covered individuals must certify that they are not a party to a MFTRP, and institutions must certify that they have confirmed that the senior personnel are not part of a MFTRP. Annual certification will be individual, not institutional.

DoD

Beginning 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 FTRP or to a proposing institution that does not have a policy addressing malign foreign talent programs pursuant to Section 10632 of the CHIPS and Science Act of 2022.

In addition to this prohibition, the DoD issued a policy for risk-based security reviews of fundamental research, documenting how DoD components evaluate undue foreign influence risk factors when reviewing proposals for fundamental research. The risk matrix outlines certain indicators, such as participation in certain “non-malign” FTRPs and/or association with institutions on a restricted party list, that require risk mitigation and, if no mitigation is possible, rejection of the proposal. The risk matrix can be found here.

(See Penn Policy 2145 for Penn’s sponsored programs policy on MFTRPs.)