Policy on External International Engagements

Policy Number: 112

Governance and Legal

The permanent link for this policy is: https://policies.northeastern.edu/policy112/

I. Purpose and Scope

Northeastern University is committed to supporting its faculty’s external activities and collaborations in keeping with its core mission as a global, academic research institution that is dedicated to applying use-inspired research to areas of critical global need. The university is equally committed to sound stewardship of the private and governmental resources supporting its research and other endeavors, and to conducting its activities with high standards of excellence, transparency, and adherence to regulatory requirements.

This policy recognizes the potential for conflicts of interest or commitment, as well as national security and compliance concerns related to certain international engagements.

The policy applies to faculty members with primary commitments to the university and research staff responsible for the design or conduct or extramurally funded research.

II. Definitions

For the purposes of this policy:

A. External Engagement

External engagement means regardless of title or remuneration, an obligation that requires a faculty member directly or indirectly to make a commitment to, or perform work for, an unaffiliated, international entity whether for academic, research or other business purposes. This definition is inclusive of consulting arrangements (e.g., acting as a scientific reviewer or on a scientific advisory board or as a business consultant). This term does NOT include the following external international engagements to lecture/present/visit/collaborate for a period of less than 14 days:

International travel to conferences; or
International travel related to approved visiting researcher/scholar appointments; or
Sabbaticals.

B. Foreign Talent Recruitment Program (FTRP)

Foreign talent recruitment program (FTRP) means 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 providing the recruited individual a full-time or part-time position)

C. International

Means any country, region or territory beyond the United States of America and its recognized territories.

D. Malign Foreign Talent Recruitment Program (MFTRP)

As defined in Section 10638(4) of the CHIPS and Science Act of 2022 (Public Law 117-167), malign foreign talent recruitment program (MFTRP) means:

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 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 nonpublic information owned by a United States entity or development 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, position, or activity;

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 or duplication with 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 acknowledgement 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

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)(9) of the John S. McCain NDAA for FY 2019 (10 U.S.C. 2358 note; Public Law 115-232).

E. Primary Commitment

Means the faculty member has an appointment to Northeastern University as documented in an appointment letter and is subject to the Personnel Policies on Faculty Outside Professional Activities.

F. Secondary Commitment

Means an honorary, visiting, adjunct, part-time or any other title or appointment at any international entities, directly or indirectly.

III. Policy

A. General Requirements

The university requires all faculty with primary appointments at Northeastern to seek prior approval, including but not limited to the Provost Office (NU-RES), Department Chair, or the Dean of the college, of any external international engagement prior to the commencement of the planned engagement. This requirement recognizes that certain types of external international engagements can be potentially problematic, especially when such commitments include or require extensive leaves of absence, significant investment of university resources, the operation and oversight of a separate research lab, the promise to exchange data, the establishment of a joint venture / institute, the assignment of intellectual property, or a pledge to engage in the supervision and/or mentoring of non-Northeastern students and research fellows, among other obligations. Secondary or honorary appointments / engagements / positions at external international institutions must be disclosed to the university and also to any of its federal sponsors of research, in accordance with applicable sponsor policy.

To obtain approval, the faculty member must submit a copy of any contract or agreement defining the parameters of the international engagement, as well as the questionnaire available at NU-RES Research Compliance’s International Engagements Compliance website. If no contract or agreement is available, the faculty member is expected to provide sufficient detail to clarify the scope, duration and location of the international engagement in the intake form.

The Office of the Provost has the authority to determine if an FTRP meets the definition of an MFRTP per the CHIPS & Science Act of 2022. If a faculty member is a participant in a FTP that meets the definition of a MFRTP, that faculty member will be restricted from participating in any current research efforts that are federally funded and/or applying for any federally funded research grants.

If the relevant contract or agreement is only available in a language other than English, NU-RES will procure an accurate translation.

Notwithstanding the above, the faculty member is encouraged to consult the Chief Research Compliance Officer as a resource as early as possible as the engagement is being contemplated.

B. Non-Research Related

If the pending external international engagement involves faculty without any current/pending research funding (I.e., the faculty member does not have any active externally funded research projects and/or recent research proposals) or if the faculty member submitting the request is not engaged in research, Research Compliance will provide the information to the appropriate college dean or designee and the final approval will rest with the college, provided it otherwise aligns with all applicable university policies.

C. Research Related

Research Related: If the scope of the pending external international engagement includes research or the faculty member has active externally funded research projects and/or recent research proposals or seeking funding for research projects, then prior approval of both the college dean’s office and the Office of the Provost are required to accept the engagement.

Additionally, investigators applying for research funds on behalf of the university are expected to verify the accuracy and validity of all administrative, fiscal, and programmatic information appearing in research funding proposals and reports, as mandated by funding agency regulations and university policy and guidance.

Affiliation with or membership in a Foreign Talent Recruitment Program (FTRP), including a contractual or other binding agreement between an individual and a FTRP must be disclosed to the university. Participation may be required to be reported in a research proposal, curriculum vitae, or resume, or an individual’s identification in a publication listing the individual and a FTRP.

D. Appeals

In very limited circumstances, the external international engagement may pose a risk to the institution. In such circumstances, the college dean or the Office of the Provost may ask the faculty member to decline the engagement. Should the faculty member wish to appeal the decision, they may work with Research Compliance to submit an appeal to the Provost.

IV. Additional Information

The obligation set forth in this policy is distinct from and in addition to faculty and employee obligations described related policies, including but not limited to, Financial Conflicts of Interest in Research (FCOI) Policy and the Conflict of Interests and Commitment Policy (COIC). FCOI/COIC policies both require retrospective and on-going reporting of both international and domestic engagements.

Some engagements and agreements may have a negative impact on federal funding decisions for individual researchers. In addition, failure to disclose secondary or honorary appointments / engagements / positions at external international institutions to federal research sponsors can result in significant civil and criminal liability to individual researchers and their respective primary research institutions.

Additional guidance and information are available at NU-RES Research Compliance’s Research Security and Transparency website.