Importance of Export Control

Why is Export Control Important?

  • Protects National Security and US foreign obligations
  • Combats Terrorism
  • Prevents the spread of weapons of mass destruction (nuclear, chemical, biological, etc.)

Liability and Violations Can Result in:

Individual & institutional penalties:

  • Large fines & jail time ($500K Civil & $1M Criminal)
  • There can be multiple violations/finding for the same occurrence

Not just you - Violations could have UMCES-wide impact

  • All settlements are public
  • Draconian compliance and reporting could be implemented
  • Loss of institution export privileges (exporting is not a right!)
  • Adverse impact on federal awards

University Violations

  • U of Tennessee: Dr. J. R. Roth, Fine & Jail time
  • UCLA: Supported a conference in Iran – OFAC
  • UC Santa Cruz civil enforcement action: 5 yr look-back rule
  • Texas Tech Dr. T. Butler, 2 yrs in prison & $37,400 fine

         Voluntary disclosure helps mitigate penalties!


  • Restrictions on publishing research results (other than normal patent reviews)
  • Restrictions on researcher participation (faculty, student, or others) based on country of origin or citizenship
  • Indications from the sponsor or others that export-controlled information or technology will be furnished for use in the research
  • The physical export of controlled goods or technology