OFAC regulations are specific to countries and regions. Among the most comprehensive controls are those that apply to Cuba, Iran, North Korea, Syria and the Crimea, Donetsk and Luhansk regions of Ukraine. These regulations, and other recent updates, are outlined below for your convenience. In all cases, contact the Export Control team in Brown’s Office of Research Integrity for further guidance.
Division of Research
U.S. Embargoes and Sanction Programs
Categories of Sanction
OFAC sanction programs can be generalized into three categories: comprehensive, limited and regime or list-based.
Comprehensive Sanctions
In general, under comprehensive sanctions programs, all interactions and activities are prohibited, including exporting to, importing from, financial transactions of any kind, and/or providing services of any kind. While essentially all interactions with comprehensively sanctioned countries are prohibited, there is an exception for informational materials that allows certain transactions to occur.
Limited Sanctions
Under limited sanctions programs only some activities (e.g., importation of items) are prohibited.
Regime or List-Based Sanctions
Regime or list-based sanctions are targeted against specific individuals identified by the Treasury Department and referred to as Specially Designated Nationals (SDNs) or are targeted against specific groups of people usually associated with a governmental body or regime.
Remote and Online Teaching/Massive Open Online Courses (MOOCs)
OFAC regulates instruction delivered online, including via MOOCs, to individuals who are residents in, or ordinarily resident to, comprehensively sanctioned and embargoed countries in instances when such instruction is considered a “service.”
For example, OFAC permits participants from Cuba to engage in an online course, including a MOOC provided the course content is at the undergraduate level or below [in accordance with the Cuban Assets Control Regulations, CACR 31 CFR §515.565(a)(10)]. Similarly, OFAC also permits participants from Iran to engage in an online course, including a MOOC, “provided that the courses are the equivalent of courses ordinarily required for the completion of undergraduate degree programs in the humanities, social sciences, law, or business, or are introductory undergraduate level science, technology, engineering, or math courses ordinarily required for the completion of undergraduate degree programs in the humanities, social sciences, law, or business” [in accordance with General License G(b)(1)(iii) under the Iranian Trade Sanctions Regulations ITSR, 31 CFR § 560].
If you are intending to provide online instruction, including instructions via MOOCs, to:
• graduate students in any field; or
• undergraduate students in engineering, math or other STEM fields or a field related to defense technology, including weapons and space systems;
such course instruction may require authorization or a license. You must coordinate with Brown’s Export Control Team before launching any such course.
Cuba
Contrary to widespread belief, the U.S. embargo against Cuba remains largely in effect and still prohibits tourist travel and commercial trade in most goods and services, under most circumstances, as outlined in the Cuban Assets Control Regulations. Please contact Export Control as soon as possible if you intend to travel to Cuba for academic purposes, including research, to ensure that your academic purpose is permitted. OFAC authorizes activities subject to Cuba regulations via two types of licenses: general and specific licenses. If the proposed activity is not permitted under a general license then a specific license must be obtained from OFAC prior to engaging in the activity. Export Control can facilitate the application process.
Restricted Cuban Entities
If the proposed activity is permitted under either a general or specific license, you may still be required to carry a letter from Brown University confirming your enrollment or employment at Brown and your travel purpose. Additionally, the regulations require you to retain copies of all records (tickets, receipts, etc.) for a minimum of five years.
Unless explicitly authorized in your license, you are prohibited from doing business with specific entities tied to the Cuban military, including hotels, stores and tourist agencies, which are listed on the U.S. State Department’s Restricted Cuban Entities list.
Commonly Used General Licenses for Cuba
There are currently 12 general licenses under Cuban Assets Control Regulations. The following are most relevant to the academic community.
The general license under section 31 CFR § 515.545 authorizes certain activities relating to the creation, editing and distribution of informational materials, including printed publications, films, music and other media.
The general license under section 31 CFR § 515.564 permits travel to Cuba (and related transactions) for the purpose of conducting full-time, bona fide research that relates to the traveler’s professional area of expertise (including graduate-level studies). Additionally, this section authorizes travel to Cuba (and related transactions) for attendance at, or organization of, professional meetings or conferences that directly relate to the traveler's professional background or area of expertise. In both cases, the traveler’s schedule of activities cannot include free time or recreation in excess of that consistent with a full-time schedule of professional research.
The general license under section 31 CFR § 515.565 authorizes U.S. universities, their students and full-time permanent faculty and staff to engage in travel to and transactions with Cuba related to certain educational activities. If you are traveling individually, a letter is required from Brown. If your proposed activity is not covered by any of the scenarios below, contact Export Control to determine whether the activity is covered under another general license.
- Participation in a structured educational program in Cuba as part of a course offered at the U.S. institution, provided the program includes a full term, and in no instance includes fewer than 10 weeks, of study in Cuba
- Noncommercial academic research in Cuba specifically related to Cuba and for the purpose of obtaining a graduate degree
- Participation in a formal course of study at a Cuban academic institution, provided the formal course of study in Cuba will be accepted for credit toward the student's undergraduate or graduate degree at the U.S. institution and provided that the course of study is no shorter than 10 weeks in duration
- Teaching at a Cuban academic institution by an individual regularly employed in a teaching capacity at the U.S. institution, provided the teaching activities are related to an academic program at the Cuban institution and provided that the duration of the teaching will be no shorter than 10 weeks
- Sponsorship of a Cuban scholar to teach or engage in other scholarly activity at the sponsoring U.S. academic institution
- Participation in a structured educational program in Cuba as part of a course offered for credit by a U.S. graduate or undergraduate degree-granting academic institution that is sponsoring the program
- Sponsorship or co-sponsorship of noncommercial academic seminars, conferences, symposia and workshops related to Cuba or global issues involving Cuba and attendance at such events by faculty, staff and students of a participating U.S. academic institution
- Establishment of academic exchanges and joint noncommercial academic research projects with universities or academic institutions in Cuba
- Provision of internet-based courses, including distance learning and massive open online courses (MOOCs), to Cuban nationals, wherever located, provided that the course content is at the undergraduate level or below.
Goods and Services
While you may be authorized under the general license to travel to Cuba, it does not automatically allow for the import of certain types of goods or equipment or the provision of services. There may be specific license requirements for equipment that you may want to take (e.g., laptop computers, cell phones, flash drives, other wireless/encryption technology and other items).
Iran
The OFAC Iranian Transactions and Sanctions Regulations prohibit many transactions with Iran and Iranians, including the import and export of services. A combination of regulatory exemptions and several existing general licenses, however, authorize a number of academic activities and transactions with Iran/Iranians without the need to apply for a specific license from OFAC.
As with many federal regulations, the proverbial devil is in the details. A general license authorizes a very specific activity and, often, comes with several conditions. If a proposed engagement/transaction with Iran or an Iranian colleague does not fit into one of the existing general license categories, a specific OFAC license must be obtained before you can engage in the activity.
In general, the Office of Research Integrity (ORI) advises you to err on the side of caution. Please check the regulations or discuss your proposed activity with ORI. If a specific license is needed, staff will facilitate and assist with the OFAC application.
If you are considering travel to Iran, contact Export Control as soon as possible to review your plans and the types of items you would like to take so they can determine if any licenses are required.
Travel to Iran
Travel to Iran is allowed, and you can engage in any transaction that is integral to travel (referred to in official regulations as “ordinarily incident to”), including importing and exporting your personal items. While in Iran, you can pay living expenses and make use of Iranian services needed to travel. You can also acquire goods and services for personal use.
Collaboration with Iranian Colleagues
OFAC uses a broad interpretation of “services” to mean anything from consulting, teaching and translating to collaborating, presenting and research. “Services of Iranian origin” are defined as services performed in Iran or by a person residing in Iran, or services performed outside of Iran by a citizen, national or permanent resident of Iran who is ordinarily resident in Iran.
Therefore, if your colleague is ordinarily resident in the U.S. or in a third country, you can collaborate with that colleague, provided they are not acting on behalf of the government of Iran or an Iranian entity. However, if your Iranian colleague is only temporarily in a third country and is ordinarily a resident of Iran, you may need a license from OFAC to collaborate.
Collaboration with Iranian Students
You can freely collaborate with any Iranian undergraduate or graduate student who is enrolled at Brown University; however, if you are in one of the STEM fields, you should ensure that you do not release export-controlled technology or software to your Iranian students.
The majority of the technology and related information that is discussed and shared with students at Brown is not export controlled because it was generated under the Fundamental Research Exclusion, constitutes educational information that is not subject to export control regulations or is publicly available or already in the public domain. However, information may be export controlled — particularly information you may have received from an outside, nonacademic third party. Prior to the release of such technology or software, please ensure that it is necessary to the educational program in which the student is enrolled and has an export control classification of EAR99.
If your Iranian graduate student travels home temporarily but continues to be on their nonimmigrant visa and enrolled in the degree program, you can continue to advise the student via email while they are in Iran. If visa issues come up and you are not sure about continued advising, please contact ORI for guidance.
Co-Authoring an Academic Paper
OFAC has issued a general license that allows engagement in all transactions necessary and ordinarily incident to the publishing and marketing of manuscripts, books, journals and newspapers. This general license authorizes you to collaborate with an Iranian colleague or student on the creation and enhancement of written publications, including an academic paper, a book or a dissertation. This license also authorizes substantive editing of written publications.
Please note that this license does not allow the exportation from or importation into the U.S. of services for the development, production or design of software. Contact ORI for further assistance.
Sharing Materials
OFAC regulations allow you to send “informational materials,” including a published journal article, to colleagues in Iran without the need to obtain a specific license. This includes, but is not limited to, publications, films, posters, phonograph records, photographs, tapes, CDs, DVDs and artwork, whether commercial or otherwise, and regardless of format or medium of transmission.
Attending a Conference
While you are able to travel to Iran without the need to obtain a specific license, attending a conference in Iran involves the import and export of services, which is prohibited. Additionally, there is no general license available for conference attendance in Iran. Specific licenses should be filed timely and with enough details.
You can also attend an academic conference in the U.S. or a third country where Iranians are attending and participating, provided that the conference is open to the public; is not tailored, in whole or in part, for Iran or persons ordinarily resident in Iran; and is not related to petroleum or petrochemical industries, energy development, crude oil or natural gas, pipelines or the oil services industry. This license does not authorize the release of technology or software to conference participants who are ordinarily resident in Iran.
Financial Transactions
U.S. persons are prohibited from virtually all direct or indirect transactions involving Iran or the government of Iran. Further, U.S. persons are actually required to block all property and interests in property of the government of Iran, including the Central Bank of Iran; any Iranian financial institutions, which also includes the Central Bank of Iran; and any individuals or entities found on a restricted party list, unless it relates to a transaction that is exempted by statute or authorized by OFAC.
North Korea
Effective September 1, 2017, the Department of State has declared all U.S. passports invalid for travel to the Democratic People’s Republic of Korea (North Korea) unless the travel meets certain criteria, as specified at 22 CFR 51.64.
Due to risk of arrest and long-term detention, it is generally not advised to engage in travel to North Korea. For anyone who is nonetheless proposing to travel to North Korea on a non-U.S. passport or on a U.S. passport that has been specially validated for travel to North Korea, please note the following:
- U.S. persons (including U.S. residents) are generally prohibited from engaging in transactions or dealings involving persons whose property and interests in property are blocked pursuant to North Korea-related authorities.
- Exports of goods and services to North Korea are generally subject to export controls administered by other agencies, including the Department of Commerce and the Department of State. A license is required for the export or re-export to North Korea of almost all items (all items subject to Export Administration Regulations (EAR) other than food or medicines designated as EAR99).
- You must contact Export Control to determine if any export or OFAC licenses are required for your trip to North Korea.
Syria
Travel to Syria is generally allowed although not advised. If you are planning to travel to Syria, you must consult Export Control to determine if any licenses would be required. You cannot directly or indirectly export, re-export, sell or supply any services to Syria with the exception of exports and re-exports of services in support of humanitarian and other not-for-profit activities in Syria by U.S. and third-country nongovernmental organizations.
Ukraine
Brown faculty, researchers, staff and students who are planning travel or field work in Ukraine, who are collaborating with people located in Ukraine or who plan to send or hand-carry (export) or receive (import) any item, including documents and materials, to and from Ukraine must read and become familiar with all new requirements related to the comprehensive sanctions imposed on the Donetsk, Luhansk and Crimea regions of Ukraine. Failure to comply is considered a violation of export control and sanctions regulations and may result in civil and criminal penalties.
Background
On February 21, 2022, President Biden signed an executive order to “respond to President Putin’s action to purportedly recognize the so-called Donetsk and Luhansk People’s Republics (DNR and LNR) as ‘independent’ states.”
For members of the Brown community, this new executive order means that activities, including research, fieldwork, conference travel and collaboration in the Donetsk, Luhansk and Crimea regions of Ukraine require a government license. The executive order prohibits most transactions and activities with individuals and entities in these regions of Ukraine, but some general licenses may be available. The applicability of a general license is situation-specific and requires documentation with Export Control. If you have research, research collaborations, fieldwork or other work-related travel in Ukraine, contact exportcontrol@brown.edu to ensure your research or collaborations do not violate new federal regulations.