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Research Security Definitions

Research Security Definitions

§1286 List – A list of foreign institutions that have been confirmed as engaging in "problematic activity" as described in §1286(c)(8)(A) of the FY 2019 National Defense Authorization Act. The §1286 List is subject to change--the FY 2024 list can be found here. As noted by DoD, caution is advised for any researcher or institution engaging with institutions on this list.

BIS Entity List – Found at Supplement No. 4 to Part 744 of the Export Administration Regulations (EAR), the BIS Entity List contains names of certain foreign persons – including businesses, research institutions, universities, government and private organizations, individuals, and other types of legal persons – that are subject to specific license requirements for the export, reexport and/or transfer (in-country) of specified items. The sanctions imposed against most entities on this list are broad, covering almost any type of item or technology, including, but certainly not limited to, intangible technology (e.g., source code or proprietary information), software, equipment, office supplies, and gifts. While there are a few narrowly defined activities that may be conducted with an entity on the BIS Entity List without a license (e.g., sharing public domain information or results of Fundamental Research), nothing may be exported to that entity or its employees. BIS considers transactions of any nature with an entity on the BIS Entity List to be a "red flag" and recommends that U.S. institutions proceed with caution with respect to such transactions. Violations of the BIS Entity List sanctions carry severe (criminal and civil) penalties for IU and its faculty/staff. Any proposed activity with an entity on the BIS Entity List should be vetted by RSO prior to commencement.

Covered Individual – means 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. (See: 42 USC § 19237(1)).

Foreign Country of Concern – means the People's Republic of China, the Democratic People's Republic of Korea (North Korea), the Russian Federation, the Islamic Republic of Iran, or any other country determined to be a country of concern by the Secretary of State. (See: 42 USC § 19237(2)).

Malign Foreign Talent Recruitment Program – Below is the statutory definition of a “Malign Foreign Talent Recruitment Program” or “MFTRP” as defined in § 10638 (4) of the CHIPS and Science Act (42 USC § 19237 (4)).

The term "malign foreign talent recruitment program" means—

(A) 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—

(i) 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;

(ii) being required to recruit trainees or researchers to enroll in such program, position, or activity;

(iii) 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;

(iv) being unable to terminate the foreign talent recruitment program contract or agreement except in extraordinary circumstances;

(v) 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;

(vi) 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;

(vii) 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;

(viii) 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

(ix) having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the Federal research and development award; and

(B)a program that is sponsored by—

(i) 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;

(ii) 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; [1] Public Law 115–232); or

(iii) 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; ¹ Public Law 115–232).

Research Security Office

Research Security Definitions