Violations

Violations can result in both civil and criminal penalties for the individual and for the institution. In addition to a civil penalty for each violation of the export regulation, there are criminal penalties that may be imposed against the university and a fine and/or imprisonment of not more than 10 years against the individual. Voluntary self-disclosures, if made appropriately, can mitigate the seriousness of the penalty. Penalties apply to each individual violation, which means that if a violation relates to more than one controlled material or item or occurs on more than one occasion, each item or incident may trigger a penalty.

The Export Administration Regulations (EAR)

Criminal Sanctions

• "WILLFUL VIOLATIONS"
  
  • University - A fine of up to the greater of $1,000,000 or five times the value of the exports for each violation; 
  • Individual - A fine of up to $250,000 or imprisonment for up to ten years, or both, for each violation.
• "KNOWING VIOLATIONS"
  
  • University - A fine of up to the greater of $50,000 or five times the value of the exports for each violation; 
  • Individual - A fine of up to the greater of $50,000 or five times the value of the exports or imprisonment for up to five years, or both, for each violation.

Civil (Administrative) Sanctions

• The imposition of a fine of up to $12,000 for each violation, except that the fine for violations involving items controlled for national security reasons is up to $120,000 for each violation.
  Additionally, for each violation of the EAR any or all of the following may be imposed: 
  • The denial of export privileges; and/or
  • The exclusion from practice; and/or
  • Seizure/Forfeiture of goods.

The International Traffic in Arms Regulations (ITAR)

Criminal Sanctions

• University - A fine of up to $1,000,000 for each violation;
• Individual - A fine of up to $1,000,000 or up to ten years in prison, or both, for each violation.

Civil Sanctions

• University - A fine of up to $500,000 for each violation;
• Individual - A fine of up to $500,000 for each violation.
  Additionally, for any violation of the ITAR either or both of the following may be imposed:
  • The denial of export privileges; and/or
  • Seizure/Forfeiture of goods.

The Office of Foreign Assets Control (OFAC)

Criminal Sanctions

• University - A fine of up to $1,000,000 for each violation;
• Individual - A fine of up to $1,000,000 or up to twenty years in prison, or both, for each violation.

Civil Sanctions

• University - A fine of up to $55,000 for each violation;
• Individual - A fine of up to $55,000 for each violation.
  Additionally, for any violation of the OFAC regulations, seizure and forfeiture of goods may result.