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.