OFAC Guidelines

October 4, 2023

The Wenner-Gren Foundation supports grantees in countries all around the world. We want to help you complete your project with our funding. However, we are obligated to follow U.S. laws regarding research in countries and regions subject to U.S. government sanctions programs. These countries and regions are listed below, along with a description of the procedures you must follow to work in each of them. Although we cannot guarantee the outcome of the U.S. government’s licensing process or the speed with which a government agency will issue the necessary documents, we are committed to helping you develop a plan for acquiring the licenses and permissions you need.

U.S. government–sanctioned countries and regions are those that are subject to restrictions under the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) regulations, or embargoes or other special controls under Export Administration Regulations (EAR), that could affect travel, exportations, importations, or other transactions of a kind that may occur in connection with projects funded by the Wenner-Gren Foundation. Special permission in the form of a U.S. government license or other documentation may be required for research projects located in Belarus, Cuba, Iran, North Korea, Russia, Syria, certain parts of Ukraine, and Venezuela. Research projects in other countries, including China, may also require a license under the Export Adminisitration Regulations (EAR) if they involve exportation of restricted goods, software, or technology, depending on the nature of the items being exported, the country of destination and other factors.

All grantees must comply with U.S. government regulations. This is true even if the grantee is a non-U.S. citizen based at a non-U.S. institution, because the Foundation is registered in the U.S. and is therefore a U.S. entity. By submitting an application to the Foundation, a non-U.S. citizen based at a non-U.S. institution gives the Foundation permission to apply for the necessary license or other required clearance to enable the Foundation to fund the research project located in a country or region subject to U.S. government sanctions.

It is the responsibility of U.S. citizens based at U.S. or non-U.S. institutions and non-U.S. citizens based at U.S. institutions to supply the Foundation with the appropriate license or clearance at the time the grant or fellowship is awarded. Applications can be made online here. The appropriate OFAC licensing category for Wenner-Gren grants and fellowships is “transactional.”

Compliance with U.S. government sanctions programs is in addition to the prohibition of transactions with any person on the Specially Designated Nationals and Blocked Persons List (SDN List). Please consult the U.S. Department of the Treasury website (www.treasury.gov/ofac) for more information on U.S. government sanctions programs and the SDN List. For information about EAR, please consult the U.S. Department of Commerce Bureau of Industry and Security (BIS) website here.

Projects Carried Out in Cuba

Funds cannot be disbursed by the Foundation unless these conditions are met:

(1) For doctoral students based at U.S. institutions

The student must supply a signed statement from the U.S. institution stating that (a) the individual is a student currently enrolled in a graduate degree program, and (b) the grant or fellowship will be used for noncommercial academic research in Cuba, specifically related to Cuba and for the purpose of obtaining that degree.

(2) For doctoral students based at non-U.S. institutions

Students based at non-U.S. institutions may be able to claim coverage under the OFAC general license to engage in travel transactions in Cuba in connection with professional research. The general license can be found on the U.S. government website here. The OFAC general license covers full-time professionals whose travel transactions are for professional research directly related to the traveler’s profession, professional background, or area of expertise, including area of graduate-level, full-time study, and comprises a full work schedule in Cuba. The Foundation requires a signed statement from the student stating that they are traveling and researching under the terms of the OFAC general license and are in full compliance with the terms and conditions of that license.

In the event the OFAC general license does not cover the proposed travel and research activities, the doctoral student must apply directly to OFAC for an appropriate license and supply a copy to the Foundation. If the doctoral student is not a U.S. citizen, the Foundation will need to apply to OFAC for a license to disburse funds. Applicants who are successful at Stage One of the Foundation’s screening process should notify the Foundation if the OFAC general license does not apply to their particular situation.

(3) For post-PhD scholars

Post-PhD scholars may be able to claim coverage under the OFAC general license to engage in travel transactions in Cuba in connection with professional research. The general license can be found on the U.S. government website here. The OFAC general license covers full-time professionals whose travel transactions are for professional research directly related to the traveler’s profession, professional background, or area of expertise, including area of graduate-level, full-time study, and comprises a full work schedule in Cuba. The Foundation requires a signed statement from the scholar stating that they are traveling and researching under the terms of the OFAC general license and are in full compliance with the terms and conditions of that license.

In the event the OFAC general license does not cover the proposed travel and research activities, the scholar must apply directly to OFAC for an appropriate license and supply a copy to the Foundation. If the scholar is not a U.S. citizen, the Foundation will need to apply to OFAC for a license to disburse funds. Applicants who are successful at Stage One of the Foundation’s screening process should notify the Foundation if the OFAC general license does not apply to their particular situation.

(4) Doctoral students and post-PhD scholars must confirm that the funds will not be used for any payments to or other transactions with an entity or sub-entity of the U.S. Department of State’s Cuba Restricted List. The list is available here.

(5) Shipment to Cuba of equipment, supplies, or other items from the U.S., directly or indirectly, may be restricted by EAR. Doctoral students and post-PhD scholars are responsible for complying with the relevant requirements of the regulations. For more information on these regulations, please consult the BIS website or the export compliance office at your institution.

Projects Carried Out in Iran

U.S. citizens based at U.S. or non-U.S. institutions and non-U.S. citizens based at U.S. institutions:

The applicant, whether a doctoral student or post-PhD scholar, must apply directly to OFAC for a license to carry out the specific research project proposed to the Foundation or for an interpretive letter stating that no license is required. If the applicant indicates in the proposal that they are considering purchasing goods or services in Iran or exporting goods or services from any country to Iran (other than goods or services necessary and incidental to travel or personal maintenance), that fact must be specifically noted in the application to OFAC. Funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC stating that a license is not necessary.

Special circumstances—OFAC’s General License G or 31 C.F.R. § 560.538

A license or letter from OFAC, however, will not be required where the research is authorized by OFAC’s Iran General License G, which allows U.S. persons who are actively enrolled in a U.S. academic institution to engage in noncommercial academic research at Iranian universities, subject to certain limitations, or where the research is authorized by the general license in 31 C.F.R. § 560.538, which allows U.S. persons to engage in certain activities in Iran incident to publishing, subject to certain limitations. Copies of those general licenses may be viewed here and here. If the applicant is relying on General License G, the Foundation will require a signed letter from the applicant’s U.S. academic institution confirming that the applicant is actively enrolled in the institution and will be conducting noncommercial academic research in Iran. The applicant must also supply documentation of the research affiliation at an Iranian university to support compliance with the terms of Iran General License G. If the applicant is relying on 31 C.F.R. § 560.538, the Foundation will require a signed letter from the applicant’s U.S. academic institution confirming that the applicant’s activities in Iran are necessary and ordinarily incident to publishing and otherwise comply with OFAC requirements. This letter should be signed by a representative from the administrative office overseeing OFAC compliance for the institution.

Non-U.S. citizens at non-U.S. institutions:

Projects Carried Out in North Korea, Syria, or the Crimea or the So-Called Donetsk People’s Republic and Luhansk People’s Republic Regions of Ukraine

U.S. citizens based at U.S. or non-U.S. institutions and non-U.S. citizens based at U.S. institutions:

The applicant, whether a doctoral student or post-PhD scholar, must apply directly to OFAC for a license to carry out the specific research project proposed to the Foundation or for an interpretive letter stating that no license is required. If the applicant indicates in the proposal that they are considering purchasing goods or services in North Korea or exporting goods or services from any country to Syria, North Korea, or embargoed regions of Ukraine, other than goods or services necessary and incidental to travel or personal maintenance, that fact must be specifically noted in the application to OFAC. The embargoed regions of Ukraine are Crimea (including Sevastopol) and the separatist-controlled portions of the Donetsk and Luhansk regions. Funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC stating that a license is not necessary.

If equipment or other merchandise is being exported to Syria, North Korea, or the embargoed regions of Ukraine described above, a license from BIS may also be required. A special validation from the U.S. Department of State may be required for travel to North Korea on a U.S. passport.

Non-U.S. citizens at non-U.S. institutions:

The Foundation will apply to OFAC for a license if the applicant’s Wenner-Gren application is successful at Stage One of the Foundation’s screening process. By submitting an application to the Foundation, the applicant is giving the Foundation permission to apply for an OFAC license. Funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC stating that a license is not necessary. If equipment or other merchandise of U.S. origin is being exported to Syria, North Korea, or the embargoed regions of Ukraine described above, the Foundation may also need to obtain a license from BIS prior to the disbursement of grant or fellowship funds.

Projects Carried Out in Russia or Belarus

U.S. law prohibits U.S. persons from dealing with specifically sanctioned individuals and entities, which include a number of Russian governmental authorities, major Russian banks, and other significant Russian entities, except as authorized by OFAC. OFAC has issued a number of general licenses that create exceptions to this rule. For example, Russia-related General License No. 19, available here, authorizes U.S. persons living in Russia to engage in otherwise-prohibited transactions with the Government of Russia in connection with housing expenses and other personal living expenses. Russia-related General License No. 13D, available here, authorizes U.S. persons to pay taxes, fees, and import duties to, and purchase or receive permits, licenses, registrations, and certifications from, certain entities of the Government of Russia, as necessary for day-to-day operations. To a lesser extent, the U.S. also has imposed sanctions on certain entities in Belarus.

In addition, if export-controlled equipment or other merchandise is being exported to Russia or Belarus, a license from BIS may be required if the equipment originates in the U.S. or is being exported from the U.S. Many items that are not controlled for export to most other countries, such as camera equipment and items classified as luxury goods (which may include common items like equipment cases), are controlled for export to Russia and Belarus and may require a license from BIS. Exceptions may apply in particular situations; for example, accompanied baggage of travelers departing from the U.S. is exempt from licensing requirements for some but not all types of goods. Other countries, including the U.K. and members of the European Union, may impose similar restrictions on goods exported from those countries to Russia and Belarus.

U.S. citizens based at U.S. or non-U.S. institutions and non-U.S. citizens based at U.S. institutions:

For research carried out in Russia or Belarus, the applicant must certify that they will not engage in any transactions with a sanctioned entity of the Russian government or with any other entity on the OFAC SDN List, except as authorized by an OFAC general license, and that they will not export any items that are prohibited for export to Russia or Belarus and not subject to an exemption.

If this representation cannot be made, the applicant must apply directly to OFAC or BIS for a license to carry out the specific research project proposed to the Foundation or for an interpretive letter stating that no license is required. In this situation, funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC or BIS stating that a license is not necessary. If an export license is required from any other country, the applicant is responsible for obtaining the required license.

Non-U.S. citizens at non-U.S. institutions:

For research carried out in Russia, the applicant must agree, in writing, that no grant or fellowship funds will be used to make any payments of any kind to a U.S.-sanctioned entity of the Government of the Russian Federation or with any other person on the OFAC SDN List, and that the project will not involve exportation of any items subject to U.S. or foreign export controls that are prohibited for export to Russia or Belarus and not subject to an exemption.

If this representation cannot be made, the Foundation will apply to OFAC for a license if the applicant’s Wenner-Gren application is successful at Stage One of the Foundation’s screening process. By submitting an application to the Foundation, the applicant is giving the Foundation permission to apply for an OFAC license. Funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC stating that a license is not necessary. If export-controlled equipment or other merchandise of U.S. origin is being exported to Russia, the Foundation may also need to obtain a license from BIS prior to the disbursement of grant or fellowship funds. If an export license is required from any other country, such as the applicant’s country of origin, the applicant is responsible for obtaining the required license.

Projects Carried Out in Venezuela

U.S. citizens based at U.S. or non-U.S. institutions and non-U.S. Citizens based at U.S. institutions:

U.S. law prohibits U.S. persons from dealing with the Venezuelan government, including local governmental authorities and government-owned companies, except as authorized by OFAC. OFAC has issued a number of general licenses that create exceptions to this rule. For example, Venezuela General License No. 32, available here, authorizes U.S. persons living in Venezuela to engage in transactions with the Government of Venezuela in connection with housing expenses and other personal living expenses. Venezuela General License No. 10A, available here, authorizes U.S. persons to purchase fuel in Venezuela from PdVSA or its subsidiaries for personal, commercial, or humanitarian use. Venezuela General License No. 35, available here, authorizes U.S. persons to pay taxes, fees, and import duties to, and purchase or receive permits, licenses, registrations, certifications, and public utility services from, the Government of Venezuela, as necessary for day-to-day operations. Note, however, that anyone relying on General License No. 35 is required to file a report with OFAC by February 10 and August 10 of each year.

For research carried out in Venezuela, the applicant must certify that they will not engage in any transactions with the Government of Venezuela (including its local governments and entities it owns or controls), except as authorized by an OFAC general license, and will comply with any reporting requirements set forth in the applicable general license.

If this representation cannot be made, the applicant must apply directly to OFAC for a license to carry out the specific research project proposed to the Foundation or for an interpretive letter stating that no license is required. In this situation, funds cannot be disbursed by the Foundation without receipt of the license or a letter from OFAC stating that a license is not necessary.

Non-U.S. citizens at non-U.S. institutions:

For research carried out in Venezuela, the applicant must agree, in writing, that no grant or fellowship funds will be used to make any payments of any kind to the Government of Venezuela (including local governments and entities it owns or controls).