Penalties for Violating U.S. Export Control Regulations and Sanctions

Penalties can apply to individuals and the university

International Traffic in-Arms Regulations (ITAR)

Maximum $1,000,000 per violation or imprisonment of up to twenty years, or both pursuant to 22 U.S.C. 2778(c)

Export Administration Regulations (EAR)

Export Administration Act of 1979:

Criminal: Maximum $1,000,000 per violation or imprisonment of up to twenty years, or both
Administrative: Maximum $11,000 per violation or $120,000 per violation for items involving national security

International Emergency Economic Powers (IEEPA) Enhancement Act:

Criminal: Maximum $100,000 per violation or imprisonment of up to twenty years, or both
Administrative:  Maximum of greater of $250,000 per violation or twice the amount of the transaction   

Office of Foreign Assets Control (OFAC)

Trading with the Enemy Act (TEWA) of 1917, 50 USCS Sec 5

Criminal (Willful Violation): Maximum $1,000,000 per violation, and up to $100,000 in individual fines, per violation or imprisonment of up to ten years, or both
Criminal (Knowing Violation): Maximum $100,000 or up to ten years in prison, or both, per violation
Civil: Maximum of $65,000 per violation

International Emergency Economic Powers (IEEPA) Act, 20 USCS Sec 1701

Criminal: Maximum $1,000,000 per violation or imprisonment of up to twenty years, or both
Civil: Maximum $250,000 per violation, or twice the amount of the transaction

Administrative Penalties

Enforcement

The University of Tennessee - On September 3rd, 2008, the U.S. government convicted retired University of Tennessee professor Dr. J. Reece Roth of illegally exporting information regarding U.S. Air Force sponsored research to one or more foreign nationals without an appropriate export license. One of the foreign nationals in question was a Chinese graduate research assistant in Dr. Roth’s laboratory. Dr. Roth was convicted on 18 counts and was sentenced to 48 months in prison.

Texas Tech University – On December 1, 2003, Microbiologist Dr. Thomas Butler, a preeminent authority on infectious diseases at Texas Tech University, was sentenced to two years in prison for hand-carrying 30 vials of mislabeled bubonic plague bacteria into the United States from Tanzania, improperly transporting them within the country, and lying about them to authorities.