E130: Foreign Talent Recruitment Programs

Approved By: Faculty Senate and UNM President
Responsible Faculty Committee: Research Policy Committee
Office Responsible for Administration: Vice President for Research (VPR) and Health Sciences Vice President for Research (HSVPR)

Applicability

The Policy applies to all members of the University of New Mexico (UNM) community participating in research activities at or on behalf of UNM, who contribute 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 and development award, including but not limited to faculty, staff, students, visiting scholars, postdoctoral fellows. We refer to those individuals as ‘’covered individuals,” within this policy as defined by the CHIPS and Science Act 2022.

Policy Rationale

Many countries sponsor Foreign Talent Recruitment Programs (FTRPs) to attract researchers in targeted fields. Many programs utilize legitimate, transparent mechanisms of talent recruitment, including use of research fellowships, student and scholar exchanges, and grants. However, some programs, designated by the federal government as malign foreign talent recruitment programs (MFTRPs), provide direction or levy requirements, including through language in binding contracts, that create conflicts of interest and/or conflicts of commitment for people directly or indirectly involved in research activities; some have been shown to encourage or direct unethical and even criminal behaviors.

To ensure that federal funds are not used to support MFTRPs, federal regulations require covered individuals to disclose all participation in FTRPs and to certify at proposal, and annually for the duration of the award, that they are not a party to a MFTRP. Research Institutions applying for awards will need to certify that covered individuals have been made aware of this requirement.

UNM promotes and conducts research to advance knowledge, enhance student learning experiences, and build its reputation in the scientific community. While UNM endorses the principles of freedom of inquiry and open exchange of knowledge, it is the policy of UNM to comply with all federal laws and regulations, as well as other relevant sponsor requirements. It is UNM’s responsibility to safeguard information and technologies from exploitation. This Policy provides UNM faculty, staff, and students and any other persons participating in research activities at, or on behalf of, UNM, with information on applicable federal regulations and definitions pertaining to FTRPs; UNM’s requirements designed to ensure compliance with applicable laws, regulations and sponsor requirements; and prohibits participation in a MFTRP.

Policy Statement

Participation in FTRPs can involve risks that warrant careful consideration, mitigation, and in some cases complete avoidance. Therefore, all members of the UNM community who are designated as covered individuals by a federal agency:

• must disclose all participation in FTRP contracts, agreements, or other similar arrangements:
• are prohibited from participating in any MFTRP;
• comply with all sponsor policies and certifications regarding MFTRP as they are developed and implemented, and that disclosures are true, complete, and accurate to the best of the covered individual’s knowledge;
• certify at proposal submission stage, and annually for the duration of the award, that they are not a party to a MFRTP; and
• attend all training required by the Office of Research Integrity and Compliance (ORIC) or HSC Office of Research, only if those trainings are required by the Federal sponsors.

1. Violations

Any individual who suspects a violation of this Policy must report the suspected violation to the ORIC and/or the HSC Office of Research who will refer investigation of the matter to ISD. The investigation procedures in FH Policy C07: Faculty Disciplinary Policy may be used for guidance. Individuals who violate this Policy may be subject to an internal compliance review, which may include reporting to relevant federal agencies. False, fictitious, or fraudulent statements or claims (including omissions) in violation of this Policy may result in criminal, civil, and administrative penalties and/or UNM disciplinary action. Penalties for violations can be quite severe, potentially including large fines and imprisonment and could apply to both individuals and the institution.

Examples of violations include, but are not limited to:

• An employee or researcher failing to appropriately disclose participating in an FTRP or MFTRP to OSP or HSC-SPO;
• A researcher engaged in federally funded research failing to disclose participation in a MFTRP to the federal sponsor, per federal research agency requirements; or
• A researcher engaged in federally funded research participating in an MFTRP, in violation of federal sponsor requirements.

Comprehensive definitions of applicable federal terms are provided in the Definitions section below.

Procedures

These procedures pertaining to FTRPs and MFTRPs are to be used in conjunction with all sections of this document, including Definitions. It is the responsibility of members of the UNM community to safeguard information and technologies from exploitation as described below.

1. Covered Individuals’ Responsibilities

All UNM Covered Individuals are responsible for:

• seeking assistance from the Industrial Security Department (ISD) if a potential Malign Foreign Talent issue occurs,
• fully disclosing such participation in a FTRP to the Office of Sponsored Projects (OSP) or HSC Sponsored Projects Office (HSC-SPO); and
• complying with federal sponsor policies; and
• fulfilling training required by the federal sponsor and offered by the Office of Research Integrity and Compliance (ORIC) or HSC Office of Research; and
• refraining from engaging with parties on U.S. government restricted entity lists; and
• refraining from participating in MFTRPs.

1.1 Prohibition of Malign FTRP Participation

Participation in a MFTRP is a prohibiting factor for a researcher involved in certain federal funding. Personnel involved in a MFTRP may need to be replaced on projects, or a proposal may be rejected by the federal funding agency. Participation with a Foreign Entity of Concern may result in termination of support from the federal funding agency, and a prohibition from receiving or participating in covered support for a period of not less than one (1) year but not more than ten (10) years.

2. OSP/HSC-SPO Responsibilities

OSP/HSC-SPO is responsible for:

• requesting a FTRP review by the UNM Industrial Security Department (ISD) if a covered individual discloses participation in a FTRP; and
• certifying that covered individuals have been made aware of this Policy’s requirements.

3. ORIC/HSC Office of Research Responsibilities

ORIC/HSC Office of Research is responsible for:

• administering policies for Conflict of Interest and Conflict of Commitment related to UNM research;
• administering annual disclosure processes;
• including MFTRP as part of Responsible Conduct of Research training; and
• referring appropriate cases to the ISD.

4. UNM ISD Responsibilities

The ISD serves as the primary representative and point-of-contact for all UNM foreign related activities. Specifically, ISD is responsible for:

• conducting FTRP reviews and MFTRP control reviews;
• administering and monitoring the Research Security Program and serving as the central point-of-contact for procedures administered to mitigate risks;
• overseeing foreign participation activities to proactively manage compliance;
• raising awareness through communication and required trainings, so that faculty and other academic appointees, staff, students, and non-employee participants in UNM programs, especially those conducting work in high-risk areas, can identify activities that may have foreign influence implications and seek guidance from subject experts;
• investigating any known or suspected export control or foreign influence violations; and
• creating and implementing an MFRTP evaluation process according to federal guidelines to mitigate the severity of any fines or penalties that might be imposed.

4.1 UNM Research Security Program

The purpose of the Research Security Program, coordinated by ISD, is to provide oversight to help UNM research community understand their responsibility for compliance and to manage foreign influence-related decisions and transactions to ensure compliance with applicable laws and regulations. Key elements of the Research Security Program are:

1. cybersecurity;
2. foreign travel security;
3. research security training; and
4. export control training.

Some examples:

• Identification of research activities with the greatest risk;
• Risk assessment of employees who are participants in FRTPs;
• Documentation of risk assessment procedures and results;
• Foreign Influence training for individuals based on expected roles at UNM;
• Procedures for investigating and addressing a problem;
• Regular audits of research policies and procedures to ensure they are being followed and follow applicable laws and regulations; and
• Audits of selected research activities based on the sensitivity of the involved technology and existing government recommendations.

4.2. ISD Research Security Officer

Research Security Officer is responsible for analysis of foreign programs or sponsorship activities to ensure compliance with laws and regulations.

Definitions

Covered Individual. As defined in the CHIPS and Science Act.

The term “covered individual” means an individual (faculty, student, postdoctoral fellow, staff) who:

Export. The transfer of products, technology or services from the United States to another country or to foreign persons within the United States. This includes Deemed Exports which include the transfer of technology, including articles, information, data or use of equipment that has certain export restrictions, to a foreign national in the US.

Foreign Country of Concern. Any country determined to be a country of concern by the Department of State. For the most current list, refer to:
https://www.state.gov/countries-of-particular-concern-special-watch-list-countries-entities-of-particular-concern/

Foreign Entity of Concern. As defined in the CHIPS and Science Act.

Foreign Person. Any natural person who is not a lawful permanent resident of the United States, citizen of the United States, or any other protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means any corporation, business association, partnership, trust, society or any other entity or group that is not incorporated in the United States or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of a foreign government.

Foreign Talent Recruitment Program (FTRP). As defined by the CHIPS and Science Act.

Effort organized, managed, or funded by a foreign government, or a foreign government instrumentality or entity, to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position).

Malign Foreign Talent Recruitment Program (MFTRP). As defined by the CHIPS and Science Act.

A MFTRP exists if the arrangement is as described in Section A below, and has at least one factor from Section B below and at least one factor from Section C below.

Section A. Definition:

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.

Section B Problematic Obligations/Activities

In exchange for the individual—

Section C Problematic Sponsorship

A program that is sponsored by—

Acronyms

FTRP - Foreign Talent Recruitment Programs

MFTRP - Malign Foreign Talent Recruitment Programs

COI - Conflict of Interests

COC - Conflict of Commitments

ISD - Industrial Security Department

OSP - Office of Sponsor Research

HSC - Health Science Center

SPO - Sponsor Project Office

ORIC - Office of Research & Compliance

Contacts

Direct any questions about this policy to the UNM Industrial Security Department.

Who Should Read This Policy

Faculty, postdoctoral fellows, students and staff conducting research.

Members of the Faculty Senate and the Research Policy Committees.

Academic deans or other executives, department chairs, directors, and managers.

Administrative staff responsible for research management.

Any other persons participating in research activities at or on behalf of UNM

Related Documents

UNM Regents’ Policy Manual

• RPM 5.9: Sponsored Research
• RPM 5.11: Classified Research
• RPM 5.10: Conflicts of Interest in Research
• RPM 5.17: Conflict of Interest Waiver Policy for Technology Transfer

Faculty Handbook

• FH Policy C07: Faculty Disciplinary Policy
• FH Policy C130: Outside Employment and Conflicts of Commitment
• FH Policy E10: Classified Research Policy
• FH Policy E60: Sponsored Research
• FH Policy E90: Human Beings as Subjects in Research
• FH Policy E50: Export Control
• FH Policy E80: Conflict of Interest Waiver Policy for Technology Transfer
• FH Policy E110: Conflict of Interest in Research

University Administrative Policies

• UAP 3720: Employee Code of Conduct and Conflicts of Interest

Federal Regulations

• National Security Presidential Memorandum (NSPM)-33
• Creating Helpful Incentives to Produce Semiconductors (CHIPS) and Science Act of 2022
• Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs
• Countering Unwanted Foreign Influence in Department-funded Research at Institutions of Higher Education