Talent Recruitment Programs, Export Controls & IRB

Malign Foreign Talent Recruitment Programs

A Foreign Talent Recruitment Program (FTRP) is an effort organized, managed, or funded by a foreign government or entity to recruit science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position). FTPRs generally involve two elements: 1) compensation from a foreign country or entity to the researcher in exchange for 2) specific research activities, opportunities, or obligations that may create a risk of conflict of interest, conflict of commitment, loss of IP, or other risks. Compensation need not be cash but could include in-kind contributions, access to resources, research funding, titles, travel, or items of non-de minimis value. FTRPs are not limited to programs with an explicit purpose of recruiting personnel but may have broader goals (e.g.: to recruit the targeted individual to support the foreign country’s research and development initiatives in exchanges for benefits to the individual being recruited).

The Chips & Science Act of 2022 prohibits participation in a Malign Foreign Talent Recruitment Programs (MFTRP) by individuals involved with federal research and development awards. MFTRPs most often involve China, Iran, North Korea, or Russia, or entities in those countries, and must meet certain other criteria. Federally funded researchers are required to certify that they are not participating in MFTRPs. NSF requires certification effective March 20, 2024, and the DOD will require certification starting August 2024. Other federal agencies have not published timelines for this certification. The certification has been added to the US Government’s common disclosure forms for Current and Pending (Other) Support and the Biographical Sketch.

Participation in a Malign FTRPs by federally-funded researchers is prohibited under federal law and University policy.

FTRPs raise research security concerns. If you believe you have been contacted by an FTRP, or have any other questions, please reach out to OSP.

Related Resources & References

• The DOD has published a list institutions of concern (page 18)
• White House has published guidelines for federal agencies regarding FTRPs
• The NSF has revised the PAPPG (24-1) with new language and certification requirements for addressing MFTRPs

Export Controls

For reasons of national security and trade protection, the United States has enacted export control laws to govern the transfer of certain information, items, or technologies to foreign countries and foreign persons.  These laws apply to items that have a military application, as well as to commercial items that may have a potential military application or pose a foreign policy or national security concern.  Yeshiva University is committed to complying with applicable U.S. laws and regulations pertaining to export of items, services and technology on behalf of the University.

For universities, the most pertinent export control regulation is the Fundamental Research Exclusion (FRE) as identified in the National Security Decision Directive (NSDD) 189.  This directive defines fundamental research and declares that federally sponsored university research should be unimpeded by export controls unless there are legitimate national security concerns at stake.

Activities Export Control Regulations Generally Apply

• The export from the United States to a foreign country of certain items, information, or software;
• Verbal, written, electronic, or visual disclosures or transfer of scientific and technical information related to controlled items to foreign persons (“deemed exports”) or entities inside or outside the United States;
• Transactions with, or travel to, certain sanctioned or embargoed countries for the conduct of activities such as teaching or research, or attending conferences; and
• Financial transactions, exports, re-exports, and deemed exports of items and information to Restricted Parties or End Users, or for Restricted End Uses.

The list of controlled items and information is in the U.S. Munitions List or Consolidated Screening List.

Activities Export Control Regulations Generally Do Not Apply

Three types of activity are generally not subject to export control regulations:

• Fundamental Research: basic and applied research of which the results are published and shared broadly with no access restrictions (Electronic Code of Federal Regulations 15 CFR§734.8)
• Educational Information: general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities (Electronic Code of Federal Regulations 15 CFR§734.3(b)(iii)
• Public Domain Information: information which is published and which is generally accessible or available to the public (Electronic Code of Federal Regulations 15 CFR§734.7 and Electronic Code of Federal Regulations 15 CFR§734.11)

Most research at Yeshiva University is excluded from the export control laws via the “fundamental research” exclusion, which includes “basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community.” However, research work that is not excluded must assess possible conflicts.  It is the responsibility of each YU employee to assess their research work to determine how export controls might apply to their activities. 

Violations of export regulations can result in extremely high fines for both the individual and the institution involved. Criminal violations can result in imprisonment. University personnel should familiarize themselves with export regulations minimizing and identify when their activities may trigger export controls. If you think an activity may be subject to export control regulations, please escalate the question to the Director of the Office of Sponsored Programs and Research Policy & Integrity.

Institutional Review Boards (IRB)

The IRB process is utilized to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. Yeshiva University partners with WCG IRB on all IRB applications.

For multi-site NIH research, please review policy expectations for the use of single IRB (sIRB) on NIH’s Policy & Compliance website.

The Office of the Dean of Science Management handles IRB oversight for YU. Please contact Ed Berliner, Dean of Science Management, for any information and inquiries at eberline@yu.edu.