§ 515.564 Professional research and professional meetings in Cuba.
(a) General license for professional research.
(1) Professional research. The travel-related transactions set forth in § 515.560(c) and such additional transactions as are directly incident to professional research are authorized, provided that:
(i) The purpose of the research directly relates to the traveler's profession, professional background, or area of expertise, including area of graduate-level full-time study; and
(ii) The traveler's schedule of activities does not include free time or recreation in excess of that consistent with a full-time schedule of professional research.
Example to paragraph (a)(1)):
The making of a documentary film in Cuba would qualify for the general license in this section if it is a vehicle for presentation of the research conducted pursuant to this section.
Note 1 to paragraph (a)(1):
A person does not qualify as engaging in professional research merely because that person is a professional who plans to travel to Cuba.
(2) Professional meetings. The travel-related transactions set forth in § 515.560(c) and such additional transactions as are directly incident to attendance at, or organization of, professional meetings or conferences in Cuba are authorized, provided that:
(i) For a traveler attending a professional meeting or conference, the purpose of the meeting or conference directly relates to the traveler's profession, professional background, or area of expertise, including area of graduate-level full-time study;
(ii) For a traveler organizing a professional meeting or conference on behalf of an entity, either the traveler's profession must be related to the organization of professional meetings or conferences or the traveler must be an employee or contractor of an entity that is organizing the professional meeting or conference; and
(iii) The traveler's schedule of activities does not include free time or recreation in excess of that consistent with a full-time schedule of attendance at, or organization of, professional meetings or conferences.
Note 2 to paragraph (a)(2):
Transactions incident to the organization of professional meetings or conferences include marketing related to such meetings or conferences in Cuba.
Note 3 to paragraph (a):
Each person relying on the general authorization in this paragraph must retain specific records related to the authorized travel transactions. See §§ 501.601 and 501.602 of this chapter for applicable recordkeeping and reporting requirements.
(b) An entire group does not qualify for the general license in paragraph (a) of this section of this section merely because some members of the group qualify individually.
Example to paragraph (b):
A musicologist travels to Cuba to research Cuban music pursuant to the general license for professional research set forth in paragraph (a) of this section. Others who are simply interested in music may not engage in travel-related transactions with the musicologist in reliance on this general license. For example, an art historian who plays in the same band with the musicologist would not qualify for the general license.
(c) Certain direct financial transactions restricted. Nothing in paragraph (a) of this section authorizes a direct financial transaction prohibited by § 515.209.
(d) Certain travel-related transactions restricted. Nothing in paragraph (a) of this section authorizes the lodging, paying for lodging, or making any reservation for or on behalf of a third party to lodge, at any property on the Cuba Prohibited Accommodations List to the extent prohibited by § 515.210.
(e) Specific licenses. Specific licenses may be issued on a case-by-case basis authorizing the travel-related transactions set forth in § 515.560(c) and such other transactions as are related to professional research or professional meetings in Cuba that do not qualify for the general license under paragraph (a) of this section or professional meetings..
[80 FR 2296, Jan. 16, 2015, as amended at 81 FR 4585, Jan. 27, 2016; 81 FR 71377, Oct. 17, 2016; 82 FR 52000, Nov. 9, 2017; 85 FR 60071, Sept. 24, 2020; 87 FR 35089, June 9, 2022]
1) The provision was amended on 9-24-2020 to remove 515.564(a)(2), which was a broadly interpreted GL for “professional meetings,” and then was amended again on 6-8-22 to reinsert the "professional meetings" GL, substantially as it existed prior to 9-24-2020. (See https://www.govinfo.gov/content/pkg/CFR-2019-title31-vol3/xml/CFR-2019-title31-vol3-part515.xml#seqnum515.564).
The professional meetings GL effectively acted (and as of 6-8-22 again acts) as the travel-related GL for several other transaction type-specific GLs throughout the CACR, including 515.534 515.542, 515.547, 515.572, 515.577 and 515.591. In "Transcript; OFAC-BIS "Webinar – Sanctions Update Cuba/Iran/Russia," an OFAC official confirmed that 515.564(a)(2) permitted business development travel to Cuba, even if not in connection with already-licensed activity (note that 515.564 was also amended on 9-24-2020 to account for the addition of 515.210 to the CACR.) See also License No. CU-80252-b and Case No. CU-2015-315858-1. As a general matter, the professional meetings GL appears to authorize virtually any travel incident to a generally or specifically licensed transaction, where such transaction requires or benefits from the one-the-ground presence in Cuba of persons subject to U.S. jurisdiction. See also Case No. CU-2016-337943-1 (a USP may "host a conference in Cuba to market its services" under the "professional meetings" GL).
The removal of the “professional meetings” GL did not necessarily mean that all “business development”-related travel now requires a specific license - some such "development" may also qualify under a separate GL. See the revised FAQ # 761, concerning "trade delegations.” FAQ # 761 appears to interpret market research by a trade delegation as a form of "professional research" (a drastic departure from the pre-2015 version of this GL, where "professional research" needed to be of a "noncommercial, academic nature" to qualify for the GL. (See https://www.govinfo.gov/content/pkg/CFR-2013-title31-vol3/xml/CFR-2013-title31-vol3-part515.xml#seqnum515.563).
See also Case No. CT-2015-320135-1 (and comments thereto), which suggests that travel by a U.S. lawyer in connection with the representation of Cuban heirs to estates in U.S. probate court would normally constitute "professional research" under 515.564(a) (especially where the purpose of the travel involves discovery and other fact finding-related activities - see also License No. CU-71416; License No. CT-7571).
2) In Comprehensive Guidelines for License Applications to Engage in Travel-Related Transactions Involving Cuba (2004-2015), OFAC advanced interpretations of a previous version of 515.564 that appear to be of significance for the purposes of interpreting the current version. At the time of the last revision of the “Comprehensive Guidelines” (prior to their 2015 removal following a major overhaul of the CACR travel GLs), 515.564 provided as follows:
§ 515.564 Professional research and professional meetings in Cuba.
(a) General license—(1) Professional research. The travel-related transactions set forth in § 515.560(c) and such additional transactions that are directly incident to professional research by full-time professionals who travel to Cuba to conduct professional research in their professional areas are authorized, provided that:
(i) The research is of a noncommercial, academic nature;
(ii) The research comprises a full work schedule in Cuba;
(iii) The research has a substantial likelihood of public dissemination; and
(iv) The research does not fall within the categories of activities described in paragraph (c), (d), or (e) of this section.
Note to paragraph (a)(1):
This general license does not authorize as professional research any travel-related transactions incident to attendance at professional meetings or conferences. Such transactions must either qualify under the general license set forth in paragraph (a)(2) of this section or be the subject of a request for a specific license under paragraph (b) of this section.
(2) Professional meetings organized by an international professional organization. The travel-related transactions set forth in § 515.560(c) and such additional transactions as are directly incident to travel to Cuba by full-time professionals to attend professional meetings or conferences in Cuba organized by an international professional organization, institution, or association that regularly sponsors meetings or conferences in other countries are authorized, provided that:
(i) The international professional organization, institution, or association is not headquartered in the United States unless that organization, institution, or association has been specifically licensed to sponsor the meeting in Cuba;
(ii) The purpose of the meeting or conference is not the promotion of tourism in Cuba or other commercial activities involving Cuba that are inconsistent with this part; and
(iii) The meeting or conference is not intended primarily for the purpose of fostering production of any biotechnological products.
(3) Professional meetings for commercial telecommunications transactions. The travel-related transactions set forth in § 515.560(c) and additional transactions directly incident to participation in professional meetings for the commercial marketing of, sales negotiation for, or performance under contracts for the provision of the telecommunications services, or the establishment of facilities to provide telecommunications services, authorized by paragraphs (b), (c), or (d)(1) of § 515.542 of this part by a telecommunications services provider that is a person subject to U.S. jurisdiction are authorized, provided that:
(i) The traveler is regularly employed by a telecommunications services provider that is a person subject to U.S. jurisdiction or by an entity duly appointed to represent such a provider; and
(ii) The traveler's schedule of activities does not include free time, travel, or recreation in excess of that consistent with a full work schedule.
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(b) Specific licensing. Specific licenses may be issued on a case-by-case basis authorizing the travel-related transactions set forth in § 515.560(c) and other transactions that are directly incident to professional research and professional meetings that do not qualify for the general license in paragraph (a) of this section. Specific licenses may be issued pursuant to this section authorizing transactions for multiple trips to Cuba over an extended period of time by applicants demonstrating a significant record of research. Specific licenses will not be issued for travel-related transactions for purposes of attendance at meetings or conferences in Cuba organized by the Cuban government where such meetings or conferences could be intended primarily for the purpose of fostering the production of any biotechnological products.
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(c) Categories of activities that do not qualify for the general license in paragraph (a) of this section and for which the specific licenses described in paragraph (b) of this section will not be issued include recreational travel; tourist travel; travel in pursuit of a hobby; research for personal satisfaction only; and any travel for an authorized professional research purpose if the schedule of activities includes free time, travel, or recreation in excess of that consistent with a full work schedule of professional research or attendance at professional meetings or conferences.
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(e) A person will not qualify as engaging in professional research merely because that person is a professional who plans to travel to Cuba. The telecom-specific section (
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See https://www.govinfo.gov/content/pkg/CFR-2014-title31-vol3/xml/CFR-2014-title31-vol3-part515.xml.
First, note that the current version of the "professional research" GL does not come with the conditions set out at 515.564(a)(1)(i)-(iii). The telecom-specific section (515.564(a)(3)) has been removed, but some such travel may fall within the scope of the current 515.564(a) or 515.533.
In the “Comprehensive Guidelines,” OFAC gave the following notable "examples" of travel "[p]otentially licensable under [the] policy" at 515.564(b) (2012).
Example 1: An estate attorney is handling a probate case in the United States in which a Cuban national is named as an heir. The attorney needs to gather information relevant to a conclusive determination regarding the Cuban national’s entitlement that can only be ascertained by conducting research in Cuba. Licensing policy in such instances favors facilitating the resolution of legal proceedings.
Example 2: A professional writer or film maker with expertise in a certain subject wishes to travel to Cuba to engage in research necessary to produce a documentary book or film on that subject that will be published or otherwise distributed. (Please note that the making of a film absent the conduct of specific research would not qualify for a license under this section.) The making of a documentary film is a legitimate basis for issuing a license only if it is a vehicle for the presentation of the research.
Example 3: An expert in orthopedic medicine seeks to travel to Cuba to attend an orthopedic conference organized solely by a Cuban entity and not by any international organization. The conference concludes with a two-day tour of medical clinics where certain procedures used only in Cuba will be observed first-hand.
Of the above, example 1 accords with the discussion at section 1 of this comment and Case No. CT-2015-320135-1. As of the date of this writing (1/2022), when there is a "research" GL but not a "meetings" GL, it is of importance that OFAC characterized the estate attorney's Cuba travel as "research in Cuba" (even if such "research" may entail "meetings" in connection with the research).
Example 2 also appears to fall within the scope of the current 515.564(a), but without the limitation articulated here, given the current 515.545 (Transactions related to information and informational materials).
For Example 3, it is not clear whether OFAC considered such "conference" travel to constitute a "meeting" or "research", but if the former, that would presumably be licensable under the current 515.564(b).
3) For guidance on the notion of consistency with a "full-time schedule," see Letter from Treasury to Rep. Diaz-Balart re: SCP Cuba Travel; FAQ # 711 and "Prepaid Tourist Packages are Prohibited" (2001 guidance), and comments thereto.