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Research Security

International engagement is a key priority for the University of Memphis as we continue to expand our global impact. This page is intended to help University of Memphis researchers navigate new research security rules that accompany international collaboration.

Research security covers a wide range of federal initiatives meant to protect academic research from being misappropriated to the detriment of national security. These initiatives have been enumerated in National Security Presidential Memorandum 33 (NSPM-33), subsequent guidance from the Office of Science and Technology Policy in 2022 and 2023, and the CHIPS and Science Act (also known as CHIPS). NSPM-33 and CHIPS require universities, including the University of Memphis, to take active measures to safeguard research. These initiatives have led to the creation of new rules and a closer review of international collaborations that may affect your work. 

The CITI Program offers Research Security courses that provide knowledge and tools to protect against risks in the global ecosystem and undue foreign influence. These courses are relevant for faculty, institutional officlas, research administrators, and other personnel involved in research. Below are the available courses:

Research Security Training: This course covers risks and threats to the global research ecosystem, emphasizing concepts like research security, disclosure, risk management, and international collaboration.

Research Security Advanced Refresher: This is an eight-module video-based course that delves into foundational research security information and explores advanced topics. It begins with an introduction to research security and covers risk mitigation, cybersecurity, international collaborations, and more.

 

Research Compliance Training

 

 

Foreign Talent Recruitment Programs

How Does the CHIPS and Science Act Affect Research and Research Security?

The CHIPS and Science Act prohibits federal employees, contractors, and awardees, including institutions, individual investigators, and other key personnel from participating in malign foreign talent recruitment programs(MFTRPs).  The CHIPS and Science Act also includes provisions requiring research security training for Federal research award personnel. It requires that Federal agencies establish a requirement that each covered individual listed on an award application completes research security training and that research institutions certify that this training has been provided.

 

What are Foreign Talent Recruitment Programs and Malign Foreign Talent Recruitment Programs?

A foreign talent recruitment program is an 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 part-time or full-time position). 

A malign foreign talent recruitment program is a talent program requiring one or more problematic actions and having problematic sponsorship. Not all talent recruitment programs are malign. 

 

How Do You Know if an Arrangement is a MFTRP?

 

A. If the arrangement is described in Box A below and has at least one factor from Box B and at least one factor from Box C, the arrangement falls within the Chips and Science Act's definition of a 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—

B. Problematic Obligations/Activities 

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 

C. Problematic Sponsorship

And is a program sponsored by— 

  1. a foreign country of concern (FCOC), currently defined as:
    • China,
    • Iran,
    • North Korea, and
    • Russia;
  2. an entity based in a FCOC, whether the program is directly sponsored by the government of the FCOC; or 
  3. an academic institution or a foreign talent recruitment program identified by the Department of Defense. 

 

Federal Government and University Expectations Regarding Disclosure and Reporting

Open scientific and scholarly collaboration between scholars from all over the world is one of the cornerstones of innovation and technological advancement, and University of Memphis remains committed to fostering such collaboration.  

However, disclosure and transparency regarding international collaborations and relationships are paramount not only to federal sponsors, but also to the University, via the University’s Conflict of Interest and Conflict of Commitment processes.   

Be sure to always: 

  • Obtain prior approval for any research engagements or appointments with foreign entities.   
  • Disclose travel, housing, gifts, or other types of compensation received from any foreign entities.   
  • Report any support or compensation to federal sponsors as Other Support/Current & Pending Support, if applicable.  
  • If you work with export-controlled technologies, also check with the Office of Export Control regarding your collaboration.   

 

DoD Requirements for Disclosure of FTRP Participation

Beginning August 9, 2024, the DoD is prohibited from providing funding to or making an award of a fundamental research project proposal in which a covered individual (senior/key personnel that contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with an R&D award from a federal agency) is participating in a malign foreign talent recruitment program or to a proposing institution that does not have a policy addressing malign foreign talent program pursuant to Section 10632 of the CHIPs and Science Act of 2022. 

The University of Memphis, in accordance with federal requirements, prohibits researchers from participating in malign foreign talent recruitment programs. Individuals listed on proposals are required to certify that they are not party to a malign foreign talent recruitment program: 

  1. Individuals conducting research on a federally funded award must certify annually for the duration of the award that they are not party to a malign foreign talent recruitment program. 
  2. Upon submission of a proposal to a federal funding agency, the University of Memphis must certify that individuals listed on the proposal have been made aware of the requirements regarding MFTRPs and have complied with the requirements. 
  3. The University of Memphis must certify annually for the duration of the award that individuals working on the award comply with the requirements regarding MFTRPs. 

It is UofM policy that researchers comply with the requirements of The CHIPS and Science Act and with all sponsor policies and certifications regarding foreign talent recruitment programs as they are developed and implemented, and that disclosures are true, complete, and accurate. 

The certifications do not apply retroactively to research and development awards made or applied for prior to the establishment of the policy by the Federal research agency. 

On June 30, 2023, DoD released Countering Unwanted Foreign Influence in Department-funded Research at Institutions of Higher Education, which includes a Policy on Risk-based Security Reviews of Fundamental Research, and a Decision Matrix with recommended factors to consider in a risk based security review of fundamental research projects for potential conflicts of interest and conflicts of commitment. 

The CHIPS and Science Act strongly encourages research institutions to seek out and collaborate with international partners. The Act expects researchers to continue to participate in the following activities without prejudice: 

  1. Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law; 
  2. Participation 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; and 
  4. Other international activities determined appropriate by the Federal research agency head or designee.

Please contact Research Compliances with any questions or if additional information is required. 

I Want to Collaborate with an International Entity. What Should I Do?

We are here to support and assist your international collaborations.  

Before entering into an agreement or engaging in an activity with a foreign entity (government or academic institution), or if you have already received compensation from a foreign entity, contact Research Compliance at researchcompliance@memphis.edu   

Our team can help you with a risk assessment by discussing potential conflicts of interest and conflicts of commitment, reviewing the proposed agreements to identify potentially problematic terms, determine if the activity falls under the U.S. federal government’s definition of MFTRP, and work with you on next steps as needed.