University Export Controls and National Security. Karen Nies-Vogel U.S. Department of Commerce Bureau of Industry and Security

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1 University Export Controls and National Security Karen Nies-Vogel U.S. Department of Commerce Bureau of Industry and Security

2 Topics Mission Statement & Jurisdiction Enforcement Information & Statistics Case Examples Enforcement, Part II Contact Information 2

3 BIS Mission Statement Advance U.S. national security, foreign policy, and economic objectives by ensuring an effective export control and treaty compliance system and promoting continued U.S. strategic technology leadership. Guiding Principle: The Bureau's paramount concern is the security of the United States. The Bureau's mission is to protect the security of the United States, which includes its national security, economic security, cyber security, and homeland security.

4 BIS Jurisdiction BIS administers and enforces regulations on the export, reexport and transfer (in-country) of dual-use and less sensitive military items. Items: commodities, software and technology Exports, reexports and transfers can be tangible or intangible (including deemed) 4

5 BIS Enforcement Penalties Criminal Penalties: Up to 20 years imprisonment and $1 million per violation Administrative Penalties: $250,000 per violation or twice the value of the transaction Denial of Export Privileges: Administrative case sanction Result of criminal conviction Temporary Denial Order

6 2014 Criminal: 31 persons convicted $137,808,756 in criminal fines $$1,318,832 in forfeitures 568 months of imprisonment Administrative; 44 administrative cases $60,488,000 in administrative fines

7 Intevac, Inc. 2014: Intevac, a California company, agreed to pay a civil penalty of $115,000 in connection with the 2007 release of technology controlled under ECCN 3E001 to a Russian national without the required license. Development and production technology was released via drawings and blueprints for parts Intevac submitted a voluntary self-disclosure and cooperated fully with BIS s investigation.

8 New York University 2013: 3 researchers at NYU s School of Medicine were charged for sharing non-public information with Chinese entities about work done under a NIH grant. The lead researcher was sentenced to five months of home confinement and a fine of $5000. Another of the defendants fled the United States and remains a fugitive.

9 University of Massachusetts, Lowell 2013: agreed to a suspended penalty of $100,000 for the unlicensed exports of an atmospheric sensing device, antennae and cables to the Space and Upper Atmosphere Research Commission (SUPARCO), Pakistan. Commodities are EAR99 SUPARCO is on the Entity List

10 Technetics Group 2012: Technetics Group, a Singapore company, agreed to pay a civil penalty of $111,000 to settle allegations that it released manufacturing technology for edge-welded bellows to Chinese nationals. Technology is controlled for national security reasons. The company also agreed to an audit of its export compliance program. 10

11 University of Tennessee, Knoxville 2009: Dr. J. Reece Roth convicted of violating the Arms Export Control Act (AECA) for allowing Chinese and Iranian graduate students access to research for the USAF and for bringing a laptop loaded with controlled technology to China, both without the required licenses. Sentenced to two years in prison; two years of probation and a $1,700 assessment.

12 Texas Tech University 2004: Dr. Thomas Butler was convicted of the illegal export of Yersinia pestis, the causative agent of human plague, to Tanzania. Controlled under ECCN 1C351 Sentenced to two years in prison; paid $37,400 in civil penalties and remains under a ten year denial of his export privileges.

13 BIS Enforcement Penalties BIS is currently preparing a final rule to clarify its guidance on charging and penalty determinations for the settlement of administrative enforcement cases. The proposed rule was published on December 26, 2015 (80 FR 80710); proposes changes to Sup. No. 1 to part 766 of the EAR. BIS is currently reviewing the comments submitted on the rule.

14 Questions? BIS Office of Exporter Services: (202) Washington, DC (949) Newport Beach, CA) (408) San Jose, CA) ECDOEXS@bis.doc.gov Export Enforcement Hotline: 1-(800)

15 BIS List Serves: Seminars and Training Programs Changes to BIS Proscribed Persons Lists Press Releases Regulatory Updates Anti-boycott Information 15

16 Thank You! Karen Nies-Vogel Director, Office of Exporter Services Bureau of Industry & Security Department of Commerce (202)

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