I. General Policy

This policy governs participation in Foreign Talent Recruitment Programs (FTRP) in furtherance of compliance with federal requirements.

In June 2019, the Department of Energy (DOE) issued DOE Order 486.1, which prohibits DOE employees, contractors, and specific subcontractors while employed with DOE or performing work under a DOE contract, from engaging in or participating in foreign talent recruitment programs of countries designated by DOE as a foreign country of risk.

The Creating Helpful Incentives to Produce Semiconductors (CHIPS) and Science Act of 2022 prohibits federal employees, contractors, and awardees, including institutions, individual investigators, and other key personnel, from participating in Malign Foreign Talent Recruitment Programs (MFTRPs). In alignment with that federal law, federal funding agencies have outlined certain requirements regarding participation in FTRPs, including prohibiting participation in MFTRPs.
This policy establishes standards and requirements regarding participation in a FTRP for all Rice University employees.

II. Roles and Responsibilities

The Office of Research Integrity (ORI) is responsible for administering the outside activities disclosure and training process, providing guidance to the research community, and supporting the Faculty Conflicts Committee’s (FCC) activities. ORI conducts an initial assessment of information provided by Scholars and works with the FCC and Office of Research Security (ORS) to determine if activities constitute participation in a FTRP or a MFTRP. The FCC and a Conflict Manager within the Scholar’s academic School are responsible for overseeing conflict of interest management plans. ORI coordinates the reporting process to oversight agencies, including federal and non-federal sponsors, as required.

The Office of Research Security (ORS) leads reviews of outside activities that include assessment of FTRP and MFTRP. ORS provides guidance and training to the Rice community, including distinguishing between allowable and prohibited foreign programs, positions, or activities. ORS leads the establishment of any mitigation strategies directly related to FTRP and MFTRP.

Scholars are responsible for ensuring compliance with this policy by consulting with the ORI and ORS regarding concerns or questions about FTRP and MFTRP, completing related training modules, providing accurate and complete disclosures, submitting updates on a routine basis, and following management plans, as applicable. Scholars are expected to provide information and disclosures to external parties as directed by this policy, contractual obligations, or Rice University.

III. Definitions

Covered Individual: an individual who (a) 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 a Federal research agency; and (b) is designated as a covered individual by the federal research agency concerned. Consistent with National Security Presidential Memorandum-33 (NSPM-33), this means principal investigators (PIs) and other senior/key personnel seeking or receiving federal research and development funding (i.e., extramural funding) and researchers at federal agency laboratories and facilities (i.e., intramural researchers, whether or not federally employed), including Government-owned, contractor-operated laboratories and facilities. See NSPM-33 Implementation Guidance.

Faculty Conflict Committee (FCC): is a committee composed of Faculty Members and staff appointed by the Executive Vice President for Research. The role of the FCC is to review, revise as needed, and manage any COI identified. The FCC also has responsibility for monitoring management plans and offering guidance to Scholars and Rice personnel.

Federal Research Agency: any federal department or agency with an annual extramural research expenditure of over $100,000,000. This term has the same meaning as “funding agency” in NSPM-33. See NSPM-33 Implementation Guidance.

Foreign Country of Concern: means the People’s Republic of China, the Democratic People’s Republic of Korea, the Russian Federation, and the Islamic Republic of Iran), or an entity based in a foreign country of concern, whether or not directly sponsored by the foreign country of concern, or any other country determined to be a country of concern by the Department of State. See NSPM-33 Implementation Guidance.

Foreign Country of Risk: Any foreign country determined to be of risk by the Office of Science in consultation with the Under Secretary for Science; the Under Secretary of Energy; the Under Secretary for Nuclear Security; and the Office of Intelligence and Counterintelligence. See DOE Order 486.1.

Foreign Talent Recruitment Program (FTRP): 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. See OSTP Guidelines for Federal Research Agencies Regarding Foreign Talent Recruitment Programs.

Malign Foreign Talent Recruitment Program (MFTRP): Any program, position, or activity that:

1. is sponsored by:
   1. a foreign country of concern;
   2. an academic institution on the list developed under section 1286(c)(8) of the 2019 National Defense Authorization Act; or
   3. a foreign talent recruitment program on the list developed under section 1286(c)(9) of the 2019 National Defense Authorization Act; and
2. 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 Scholar, 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 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;
   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
   9. having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the federal research and development award.

Senior Personnel: - Senior personnel include the individuals designated by the proposer/awardee organization and approved by all sponsors of research grants and other agreements, 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. See NSF 24-1 Proposal and Award Policies and Procedures Guide (PAPPG).

IV. Elaboration of Policy

1. Rice University requires covered individuals to disclose to Rice if they are a party to a Foreign Talent Recruitment Program contract.
2. Rice University prohibits any association of covered individuals with Malign Foreign Talent Recruitment Programs, as defined above.
3. As part of Rice University’s annual conflict of interest disclosure process and the funding sponsor’s reporting process, before accepting a research grant or contract, covered individuals must certify to Rice that they are not associated with a Malign Foreign Talent Recruitment Program.
4. Foreign talent recruitment program training and threat awareness and reporting requirements are a prerequisite to receiving federal grants and awards. Scholars must take FTRP and MTRP training before receiving a federal grant or award. Additionally, Scholars may have specific terms in their COI or COC Management Plan that require related training and reporting. The Office of Research Security is responsible for the foreign talent recruitment program training under this policy and the Office of Research Integrity is responsible for the COI/COC training program under policy 216.

V. Cross References to Related Policies

Rice Policy No. 216, Outside Activities, Conflicts of Interest, and Conflicts of Commitment in Research and Scholarship
Rice Policy No. 301, Policy for the Submission and Administration of Sponsored Projects
Rice Policy No. 404, Dual Employment and Multiple Jobs
Rice Policy No. 838, Conflict of Interest

VI. Responsible Official and Key Offices to Contact Regarding the Policy and its Implementation

Responsible Official: Executive Vice President for Research

Other Key Offices: Office of the Provost, Academic Departments, Office of Research Integrity, Office of Sponsored Programs, Office of Research Security

VII. Procedures and Forms

Research Conflict of Interest Disclosure FAQs
Rice Research Security Website
Rice Research Integrity Website

Signatures

Reginald DesRoches, President

Policy History

Issued

May 6, 2024