Understanding Country-Specific Restrictions

This webpage focuses on two types of country restrictions in U.S. laws and regulations:

• Country-specific economic sanctions and embargo programs:  these restrict to varying degrees trade, investments, travel, exchange of information or materials, and other kinds of activity that U.S. persons may conduct in sanctioned countries (e.g., Cuba).
• U.S. anti-boycotting laws:  these prohibit U.S. persons from complying with sanctions programs imposed by other countries unless the sanctions are approved by the U.S. government.  Such sanctions are often targeted at specific countries (e.g., Israel), their citizens and businesses.

Click the links below for more information about country restrictions.  Contact the Office of Grant and Contract Administration or the Office of the General Counsel for specific guidance on economic sanctions and embargoes (questions regarding Cuba should be directed first to the Office of the General Counsel.

Contact the Office of the General Counsel for specific guidance on anti-boycotting laws.

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U.S. laws and regulations prohibit U.S. citizens and residents from traveling to or engaging in any financial transactions relating to Cuba except in connection with certain specified activities.

A.         Activities Permitted with Yale Authorization

Yale faculty, staff and students may engage in the following activities after first contacting the Office of General Counsel at 203-432-4949 to discuss the proposed activity, confirm that it comes within the regulations and obtain an authorizing letter to carry in connection with travel to Cuba.   A specific license from the U.S. government is not required for these activities. 

• Participation in a structured educational program in Cuba as part of a course offered for credit by Yale;
• Noncommercial academic research in Cuba specifically related to Cuba and for the purpose of obtaining a graduate degree from Yale;
• Participation in a formal course of study at a Cuban academic institution, provided Yale will accept the formal course of study for credit toward the student's graduate or undergraduate degree;
• Teaching at a Cuban academic institution by an individual regularly employed in a teaching capacity at Yale, provided the teaching is related to an academic program at the Cuban institution and will be at least 10 weeks in duration;
• Travelling to Cuba to organize or prepare for any of the activities listed above, provided the individual is faculty or staff;
• Conducting research or attending conferences in Cuba, provided the individual is full time faculty or staff.

Yale students, faculty, and staff who have obtained an authorization letter from the Office of General Counsel may travel to Cuba from airports in the United States (usually Miami) by making their travel arrangements through a travel agency designated by the U.S. government and listed at http://www.treasury.gov/resource-center/sanctions/Programs/pages/cuba.aspx.   This website also provides more information on the regulations.

B.         Activities Possible with US Government Authorization 

The following are examples of activities that require a specific license from the US Government. Individuals interested in such activities sponsored by or under the auspices of Yale must contact the Office of General Counsel. We will provide guidance and support in obtaining the required license.

• Travelling to Cuba in order to export, import, or transmit information or informational materials such as publications, films, photographs, microfiche, and artworks.

• Sponsoring or co-sponsoring academic seminars, conferences, or workshops in Cuba relating to Cuba or global issues involving Cuba.

• Hosting a performance in Cuba.        

• Other educational activities that do not fall into one of the categories listed in Section A above. 

C.        Financial Transactions

Finally, the U.S. Cuban regulations also apply to any financial transaction with a Cuban entity or national. The payment of expenses associated with authorized or licensed activities is permitted and Yale may pay a stipend or salary to a Cuban national to teach or engage in another scholar activity at Yale. However, without a specific license the hiring of Cuban national to serve as a consultant to Yale may not be allowed even if the consultant will be located outside Cuba when performing this work.

In all cases, Yale faculty, staff or students interested in engaging in financial transactions with a Cuban entity or national must first contact the Office of General Counsel at 203-432-4949 to discuss the transaction and determine any compliance limits or requirements.

Yale may apply for a license to conduct certain kinds of transactions, transfer materials or data, or provide services to individuals and entities in sanctioned and embargoed countries (an example is a license allowing for educational travel to Cuba).

The U.S. Government may issue a general license that establishes parameters within which particular kinds of activity may be allowed by specific categories of persons under certain conditions.

Sanctions programs can include narrow exemptions, for example carving out trade of informational material (within limits) from the Iran embargo.  

Keep in mind that the process of preparing and obtaining licenses can be lengthy and time-consuming.  Contact the Office of Grant and Contract Administration, the Office of the General Counsel, or use the "Contact Us" link on the right, to request guidance on the existence and applicability of exceptions, including licenses.   Cuba-specific questions should be directed first to the Office of the General Counsel.

Request assistance:  contact the Office of Grant and Contract Administration or the Office of the General Counsel for assistance with structuring your programs and activities so they comply with any applicable country restrictions programs.

Start license applications early:  contact the Director of International Agreements and Export Control Licensing (Office of Grant and Contract Administration) early to discuss applying for a license (for Cuba only, contact the Office of General Counsel first to discuss applying for a license).  The process of preparing the application is time-consuming and the wait for review and approval by the U.S. government agency can be lengthy. 

Include relevant contract provisions:  to mitigate risk associated with anti-boycotting laws, incorporate Yale's standard provision on anti-discrimination into research agreements, sub-awards and academic collaboration agreements.  The Office of Grant and Contract Administration and the Office of the General Counsel can help adapt these provisions for use in contracts for the purchase of goods, employment agreements, inter-institutional agreements and various other types of agreements.

Report concerns and possible violations: any boycott request or possible violation of a country embargo or sanctions program must be reported immediately to the Office of the General Counsel at (203) 432-4949. In addition, any Yale activities in or transactions with the government, a company or a national of the listed countries should be reported to the University Tax Office.  You may also report concerns and possible violations using the Yale University Hotline.

Economic Sanctions and Trade Embargoes Programs

• Fines (depending upon the sanctions program, amount of up to $250,000 for individuals and up to $1 million for companies plus possible additional civil penalties).
• Prison sentences of up to 20 years.
• Termination of employment or other disciplinary measures.
• Reputational damage and negative publicity.
• Debarment (affecting federal contract eligibility), nullification of contracts, revocation of import/export licenses, and loss of product registration.

Anti-Boycotting Laws

• Fines (up to $50,000 or five times the value of any exports involved, plus possible additional civil penalties of up to $11,000 per violation).
• Imprisonment (up to five years).
• Denial of export privileges.
• Denial of all or part of foreign tax benefits.

General

• Office of the General Counsel, Guidance on Travel to Cuba
• Information on International Expenses (YaleBiz)
• Office of Foreign Assets Control, U.S. Department of Treasury
• Export Policy by Country, Bureau of Industry and Security, U.S. Department of Commerce
• Directorate of Defense Trade Controls, U.S. State Department
• Anti-Boycott Compliance Guidance, Bureau of Industry and Security, U.S. Departmnet of Commerce
  
• "Fundamentals of Export Controls" web-based training provided by the Office of Grant and Contract Administration (use your NetID to login)
• Standard Yale-approved contract provisions

Yale Guidance on Export Controls:

• Researcher's Export Control Checklist
• Office of the General Counsel
• Grants and Contracts Administration
• Memorandum on Export Control (contains guidance and examples)