Academic Affairs Policies

III- 11.00

UMB Policy Prohibiting Participation in Malign Foreign Talent Recruitment Programs and Requiring Disclosure of Participation in Foreign Talent Recruitment Programs

Academic Affairs   |   Approved September 23, 2024

Responsible VP/AVP

James L. Hughes, MBA

Applies to Faculty, Staff, Students

Purpose

The University of Maryland, Baltimore (UMB) adopts this Policy as required to implement and to comply with the Creating Helpful Incentives to Produce Semiconductors and Science Act of 2022 (also known as the CHIPS and Science Act), the National Security Presidential Memorandum 33 (NSPM-33), and relevant sponsor requirements.

Foreign influence involves foreign government exploitation tactics that intentionally target U.S. and allied partner research and intellectual capital which in turn threatens the integrity of U.S. research. Recipients of federal funding have a responsibility to protect U.S. interests, and the U.S. research community should be actively engaged in protecting those interests.

Policy Statement

Participation in a Malign Foreign Talent Recruitment Program (MFTRP) is strictly prohibited under University of Maryland, Baltimore (UMB) policy. Covered Individuals are required to certify their compliance with this prohibition. Covered Individuals are required to disclose all participation in foreign talent recruitment programs (FTRP). Sponsored Programs Administration (SPA) within the Office of Research and Development is responsible for the development and dissemination of information regarding UMB procedures for compliance with certifications and disclosure requirements.

UMB encourages international collaborations with other entities and has long-standing collaborations with international academic and research institutions. Federal agencies have defined concerns about inappropriate foreign interference by foreign governments over federally funded research. Such interference is not consistent with the core principles of the U.S. scientific research enterprise, which include transparency, integrity, and fair competition.

The CHIPS and Science Act directs federal research funding agencies to establish policies that require Covered Individuals to certify, at proposal and annually for the duration of the award, that they are not a party to a MFTRP. UMB authorized officials must certify that such Covered Individuals have been made aware of this regulatory requirement.

The CHIPS and Science Act and NSPM-33 require Covered Individuals to disclose participation in an FTRP contract, agreement, or other arrangement. Federal research agencies have the authority to require the submission of supporting documentation, including copies of contracts, grants, or any other agreement specific to participation in an FTRP.

Violations of this policy may result in disciplinary action, including termination of employment, dismissal from academic programs, removal from sponsored research activities, and (for non-employees) suspension or termination of a relationship with UMB. Violations of related federal law may be subject to federal enforcement actions, such as criminal prosecution and civil and administrative fines and penalties.

Definitions

Covered Individual: an individual who:

  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 and development award from any sponsor (Federally and non-Federally funded); and
  2. Is designated as a Covered Individual by a Federal research funding agency.

Foreign Country of Concern: Refer to the CHIPS and Science Act, Section 10638(2)(Definitions). The current list of countries will be maintained on the SPA Research Security Program website.

Foreign talent recruitment program: 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.

A foreign talent recruitment program does not include the following international collaboration activities, as long as the activity is not 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), as amended:

  1. Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law.
  2. 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.
  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.
  4. Engaging in the following international activities:
    1. 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; providing advice to or otherwise participating in international technical organizations, multilateral scientific organizations, and standards setting; 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.
    2. 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.
    3. 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 that are not in conflict with the interests of the federal research agency.
    4. Receiving awards for research and development that serve to enhance the prestige of the federal research agency.
    5. Other international activities determined appropriate by the federal research agency head or designee.

Malign Foreign Talent Recruitment Program: means  

  1. 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:
    • engaging in the unauthorized transfer of intellectual property, materials, data products, or other non-public 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;
    • being required to recruit trainees or researchers to enroll in such program, position, or activity;
    • 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;
    • being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;
    • 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 with or duplication of a Federal research and development award;
    • 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;
    • 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;
    • 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
    • having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and
  2. A program that is sponsored by —
    • 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;
    • an academic institution on the list developed under section 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
    • a foreign talent recruitment program on the list developed under section 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).
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