(Note: OLPM sections on this page may be cited following the format of, for example, "UNH.VIII.T.1.1". These policies may be amended at any time, do not constitute an employment contract, and are provided here only for ease of reference and without any warranty of accuracy. See OLPM Main Menu for details.)
1. Statement of Need and Purpose
1.1 The intent of this policy is to identify and eliminate or manage possible threats to the security of the University’s externally funded research posed by Malign Foreign Talent Recruitment Programs and to comply with federal laws and regulations. It is not meant to discourage, but rather to safeguard, the pursuit and dissemination of knowledge and collaborative, reciprocal international research.[See footnote #1]
1.2 Consistent with federal and state law, the university will ensure that this Policy is carried out in a manner that does not target, stigmatize, or discriminate against individuals on the basis of race, color, ethnicity, religion, sex (including pregnancy, sexual orientation, and gender identity or expression), national origin, age, disability, or genetic information.
2. Applicability
2.1 This policy applies to any University research activity funded or proposed for funding by an external sponsor.
3. Definitions
3.1 Covered Individual: An individual who:
3.1.1 Contributes, in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research award from any sponsor (Federally and non-Federally funded); or
3.1.2 Is designated as a Covered Individual by a federal research funding agency.
3.1.3 The definition of a Covered Individual is based on their contribution to the project as defined above (3.1.1) and is not related to the title of the individual. A Covered Individual could be a faculty member, research scientist, staff researcher, visiting scientist, student (undergraduate or graduate), post-doctoral fellow, etc., regardless of whether they are paid or unpaid. Similarly, legislation and sponsors may use different terms for individuals who would be Covered Individuals, such as “PI”, “Co-PI”, “Investigator”, “Project Director”, “Project Co-Director”, “Key Performer”, “Key personnel”, “Senior Personnel”, “Named Researcher”, “Named Individuals”, or “Sponsored Researcher”.
3.2 Foreign Country of Concern: As defined in Section 10638(2) of the CHIPS and Science Act of 2022 (CHIPS Act), [see footnote #2] and as of the adoption of this policy, Foreign Countries of Concern include the People's Republic of China, the Democratic People's Republic of Korea, the Russian Federation, and the Islamic Republic of Iran. The U.S. Secretary of State may designate other countries as such, and any country so designated is a Foreign Country of Concern for purposes of this Policy.
3.3 Foreign Talent Recruitment Program (FTRP): A foreign talent recruitment program is an effort organized, managed, or funded by a foreign country or government or their designee to recruit science and technology professionals or students. Individuals are recruited irrespective of citizenship or national origin or whether the role is full-time or part-time. Individuals may receive remuneration in the form of compensation, research funding, promised future compensation, complimentary or compensated foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration.
3.4 Malign Foreign Talent Recruitment Program (MFTRP): 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 the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual -
3.4.1 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;
3.4.2 Being required to recruit trainees or researchers to participate in such program, position or activity;
3.4.3 Establishing a laboratory or company, or 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;
3.4.4 Being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
3.4.5 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;
3.4.6 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;
3.4.7 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;
3.4.8 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
3.4.9 Having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; AND
3.4.10 Is a program sponsored by:
3.4.10.1 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;
3.4.10.2 An academic institution on the NDAA 2019 Section 1286(c)(8) List (see pp.18-20); or
3.4.10.3 A foreign talent recruitment program on the NDAA 2019 Section 1286(c)(9) List (see p.21).
3.5 Principal Investigator: The Principal Investigator (PI), program director, or other term used by the sponsor to denote the individual primarily responsible for the conduct and oversight of an externally funded research project.
4. Statement of the Policy
4.1 Covered Individuals who are participating in sponsored research at the University (federally and non-federally funded) must disclose if they are party to a Foreign Talent Recruitment Program (FTRP) and are prohibited from participating in a subset of these programs called Malign Foreign Talent Recruitment Programs (MFTRPs) as defined above.
4.2 All Covered Individuals are required to meet the initial and annual certification requirements regarding their non-participation in a MFTRP.
4.3 Collaborators, subcontractors, and subrecipients must either comply with this policy or provide a certification to the University Sponsored Programs Administration office that their institutions comply with pertinent sponsor policies and that they in turn comply with their own institutional policies.
4.4 Visiting scientists must comply with this policy via the visiting scholar agreement.
5. Disclosure and Certification
5.1 Covered Individuals must disclose participation in any FTRP through the USNH Cayuse Outside Interests system within 30 days of the participation and in the Biographical Sketch and Current and Pending (Other Support) disclosures for new proposal submission. Disclosures must be true, complete, and accurate to the best of the Covered Individual’s knowledge.
5.2 Covered Individuals listed on a proposal to a sponsor must certify at the time of the proposal submittal, and annually thereafter, that they are not participating in a MFTRP.
5.3 All Covered Individuals must comply with any sponsor policies and certifications regarding FTRP as they are developed and implemented, utilizing the format stipulated by the sponsor. The Science Experts Network Curriculum Vitae (SciENcv) - which is currently mandated by the National Science Foundation (NSF) and recommended for use by other funding agencies - uses the Biographical Sketch Common Form recommended by the Office of Science and Technology (OSTP) that includes the certification “I also certify that, at the time of submission, I am not a party to a malign foreign talent recruitment program”
5.4 If any Covered Individuals are affiliated with collaborating institutions, when issuing subawards under funded research awards the University requires that the subrecipients:
5.4.1 Either have policies that meet the requirements of the CHIPS Act related to MFTRP prohibition or agree to comply with this Policy for the duration of the award, including a requirement that all Covered Individuals participating on the federally funded subaward project must disclose any participation in a FTRP or a MFTRP to the responsible individual at their institution (e.g., their research administrators) for review; and
5.4.2 Require each collaborator qualifying as a Covered Individual to certify that they are not an active member of any MFTRP at the time of the award and annually thereafter for the duration of the award.
5.5 Principal Investigators are responsible to use best efforts to ensure that all Covered Individuals included on their applications and awards are aware of their responsibilities under this Policy, and that they timely submit required disclosures of participation in FTRPs and certifications that they do not participate in a MFTRP. Principal Investigators may not allow Covered Individuals who do not submit required disclosures and certifications to participate in the sponsored research.
6. Enforcement
6.1 The Senior Vice Provost for Research, Economic Engagement, and Outreach is responsible for the administration and enforcement of this policy and applicable University guidelines and procedures.
6.2 Failure to disclose truthfully, completely, and accurately (including intentional omissions) participation in a MFTRP or to adhere to sponsor policies and certifications regarding FTRP as they are developed and implemented will be considered a deviation from accepted standards of conducting research at the University.
6.3 Violations of this policy may result in criminal, civil, administrative, or University penalties.
6.4 This policy should not be construed to limit the rights of any member of the University community under applicable collective bargaining agreements and/or the University System of New Hampshire (USNH) Online Policy Manual.
[1] Under the CHIPS Act, Section 10632(d), participating in International Collaborations are not prohibited so long as the activity is not funded, organized, or managed by an entity on the NDAA FY2019 Section 1286(c)(8) List, pp. 18-20, or the NDAA FY2019 Section 1286(c)(9) List, p.21. The OSTP guidance states a FTRP does not include the following International Collaborations activities:
a) Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law.
b) 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.
c) 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
d) Engaging in the following international activities:
a. 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.
b. 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).
c. 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.
d. Receiving awards for research and development which serve to enhance the prestige of the federal research agency (e.g., the Nobel Prize).
e. Other international activities determined appropriate by the federal research agency head or designee.
[2] See 42 U.S. Code § 19237.
Policy Effective Date: May 20, 2024
