USA PATRIOT ACT
The official title of the USA PATRIOT Act is “Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism (USA PATRIOT) Act of 2001.” To view this law in its entirety, click on the USA PATRIOT Act link USA PATRIOT Act.
The purpose of the USA PATRIOT Act is to deter and punish terrorist acts in the United States and around the world, to enhance law enforcement investigatory tools, and other purposes, some of which include:
- To strengthen U.S. measures to prevent, detect and prosecute international money laundering and financing of terrorism;
- To subject to special scrutiny foreign jurisdictions, foreign financial institutions, and classes of international transactions or types of accounts that are susceptible to criminal abuse;
- To require all appropriate elements of the financial services industry to report potential money laundering;
- To strengthen measures to prevent use of the U.S. financial system for personal gain by corrupt foreign officials and facilitate repatriation of stolen assets to the citizens of countries to whom such assets belong.
The Office of Foreign Assets Control (OFAC) of the US Department of the Treasury administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States. OFAC acts under Presidential national emergency powers, as well as authority granted by specific legislation, to impose controls on transactions and freeze assets under US jurisdiction. Many of the sanctions are based on United Nations and other international mandates, are multilateral in scope, and involve close cooperation with allied governments.
For more information OFAC sanction information
FinCen Section 311
The Financial Crimes Enforcement Network (FinCEN) supports law enforcement investigative efforts and fosters interagency and global cooperation against domestic and international financial crimes. It also provides U.S. policy makers with strategic analyses of domestic and worldwide trends and patterns.
Special Measures for Jurisdictions, Financial Institutions, or International Transactions of Primary Money Laundering Concern
This Section allows for identifying customers using correspondent accounts, including obtaining information comparable to information obtained on domestic customers and prohibiting or imposing conditions on the opening or maintaining in the U.S. of correspondent or payable-through accounts for a foreign banking institution.
All listed financial institutions (and others) under FinCen 311 in Alphabetical Order.
Federal export control laws prohibit unlicensed export of information related to certain products and technologies for reasons of national security and protection of trade to foreign countries. These laws can restrict the furnishing of information, technical data and software to foreign persons regardless of whether the transfer takes place in the United States or abroad and they apply regardless of specific citation to the regulations in an award document.
The Department of State regulates and restricts the transfer and export of technologies relating to military applications listed on the Munitions Controls List (MCL) under the International Traffic in Arms Regulations (ITAR). The Department of Commerce regulates and restricts the transfer and export of technologies relating to civilian applications listed on the Commerce Control List (CCL) under the Export Administration Regulations (EAR).
Export, in this context, includes transfer of regulated technologies and or technical data to foreign nationals whether in the United States or in another country. If research involves protected technologies, the ITAR and/or EAR may require ASU to obtain a license from the responsible federal agency before allowing foreign nationals to participate in the research or to receive any research related information – orally. electronically, or in writing. In addition to licensing requirements for sharing information with foreign nationals, the export laws specify countries to which exports are prohibited. See the ITAR restricted and OFAC embargoed countries list and definitions in the references below.)
Please Note : If a project involves, directly or indirectly, any country subject to U.S. sanctions or the participation of a foreign national of such country, please contact the Office of Research Integrity and Assurance (ORIA) before proceeding. The countries currently subject to U.S. sanctions are identified on the Office of Foreign Assets Control website at http://www.treas.gov/offices/enforcement/ofac/programs The Office of Research Integrity and Assurance will require the Principal Investigator responsible for any such project to certify to the ORIA that the PI thoroughly understands the scope of the U.S. sanctions and the PI’s responsibilities under applicable law. Any foreign national from a sanctioned country participating in the project will be required to provide a similar certification.
The federal export laws cover a broad spectrum of science and engineering, however, they allow an exclusion for fundamental research. Fundamental research is defined as basic or applied research in science and/or engineering at an accredited institution of higher education within the United States when the resulting information is expected to become part of the public domain, i.e. when there are no restrictions on publication beyond those intended to protect pre-existing proprietary information or intellectual property rights. Research projects are not eligible for the fundamental research exemption if the federal government designates the research results as classified, administratively controlled, or otherwise restricted or sensitive.
These laws do raise legitimate concerns regarding academic and scholarly freedom, but it is important to keep in mind that the purpose of these and many other laws enacted since September 11, 2001, is to improve national security and counteract terrorism. Because the consequences of breaking the law can be severe to both the researcher and the University it is important to understand the circumstances under which the fundamental research exclusion applies.
Overview of countries listed under International Traffic in Arms Regulations