Policy on Malign Foreign Talent Recruitment Programs

Effective Date: May 20, 2024

Purpose/Background

  • This policy applies to proposers and recipients of funding from the National Science Foundation and the National Institutes of Health.
  • This policy outlines Bates College’s compliance with the requirements of the NSF Proposal and Awards Policies and Procedures Guide (PAPPG) and NIH Notice NOT-OD-25-154 regarding participation in Malign Foreign Talent Recruitment programs.

The National Science Foundation (NSF) and the National Institutes of Health (NIH) prohibit Individuals who are a current party to a Malign Foreign Talent Recruitment Program (MFTRP) from serving as a senior/key person on a proposal or on any award made after the effective date of each funder’s respective policy (May 20, 2024 for NSF or September 11, 2025 for NIH).  NSF and NIH require that: 

  1. At the proposal stage senior personnel certify that they are not party to a MFTRP, 
  2. An Authorized Organizational Representative certify that senior personnel have been made aware of their responsibilities to this effect, and 
  3. Individuals serving as a Principal Investigator (PI) or co-PI on an active award made on or after the effective date of the funders’ policies certify annually to their participation or non-participation in an MFTRP.  

Policy Statement

  • Pursuant to Section 10632 (42 U.S.C. § 19232), each individual identified as senior/key person on an NSF or NIH grant must certify prior to proposal submission and annually thereafter for the duration of the award that they are not a party to a malign foreign talent recruitment program. False representations regarding this certification may be subject to prosecution and liability pursuant to, but not limited to, 18 U.S.C. §§.287, 1001, 1031 and 31 U.S.C. §§ 3729-3733 and 3802.

Definitions

The NSF Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 24-1) defines a Malign 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 the targeted individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue, in exchange for the individual

  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;
  2. being required to recruit trainees or researchers to enroll in such program, position, or activity;
  3. establishing a laboratory or company, 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;
  4. being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
  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;
  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;
  7. being required to omit acknowledgment of the recipient organization 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;
  8. being required to not disclose to the Federal research agency or employing organization, the participation of such individual in such program, position, or activity; or
  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
  10. A program that is sponsored by—
    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;
    2. an academic institution on the list developed under § 1286(c)(8) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. § 2358 note; Public Law 115–232); or
    3. a foreign talent recruitment program on the list developed under § 1286(c)(9) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. § 2358 note; Public Law 115–232 ).

The following are not considered malign foreign talent recruitment programs unless such activities are funded, organized, or managed by an academic institution or a foreign talent recruitment program on the lists developed under paragraphs (8) and (9) of section 1286(c) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115–232):

  1. making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
  2. participation in international conferences or other inter- national 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; and
  3. advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request.

Process/Responsibilities

  1. The Office of Sponsored Programs and Research Compliance will make all individuals identified as senior/key personnel on an NSF or NIH proposal aware of this policy and their responsibility to comply.
  2. Senior/key personnel will certify compliance with this policy when downloading their biosketch from SciENcv.
  3. Individuals serving as a Principal Investigator (PI) or co-PI on an active NSF or NIH award made on or after the effective date of the funders’ policies must certify annually to their participation or non-participation in a MFTRP.
    1. NSF investigators certify in Research.gov
    2. NIH investigators upload a certification statement in Section G.1, Special Notice of Award and Funding Opportunity Announcement Reporting Requirements as a flattened PDF file. The file for each senior/key person must be named ‘ResearchSecurities_[Name].pdf’ without quotations, where ‘[Name]’ is the name of the senior/key person. 

Policy owner

  • Office of the Vice President for Academic Affairs and the Dean of the Faculty

Contact