WHITE PAPER PROSECUTING CHINESE “SPIES:” CHINESE “SPIES: ... and inclusion of Chinese...

PROSECUTING CHINESE “SPIES:”

PRESENTED BY COMMITTEE OF 100AUTHOR: ANDREW KIM | MAY 2017 | WASHINGTON DC

AN EMPIRICAL ANALYSIS OF THE ECONOMIC ESPIONAGE ACTEXECUTIVE SUMMARY

WHITE PAPER

The Committee of 100 is a leadership organization of prominent Chinese Americans in business, government, academia, and the arts. C100 members are leading U.S. citizens of Chinese descent who leverage their collective influence and resources to strengthen U.S.-China relations and promote the full participation of Chinese Americans. In 1999, the Committee led a coalition to raise national awareness of the denial of due process in the Wen Ho Lee case of alleged espionage, which later resulted in a public apology from the presiding judge. For over a quarter century, the Committee has monitored issues affecting Chinese Americans and served as a high-level bridge in the U.S.-China dialogue fostering regular exchanges with the leadership of Beijing, Taipei, and Washington. Learn more: www.committee100.org.!

CONTACTCOMMITTEE OF 100 257 PARK AVENUE SOUTH, 19TH FLOORNEW YORK, NY 10010 T 212.371.6565 | F 212.371.9009 WWW.COMMITTEE100.ORG

TABLE OF CONTENTS

FOREWORDbyFrankH.Wu,Chairman,Commi3eeof100

6EXECUTIVE SUMMARYProsecu)ngChinese“Spies:”AnEmpiricalAnalysisoftheEconomicEspionageActbyAndrewKim,OfCounsel,BeckReddenLLP

12COMMENTARY IbyDavidA.Harris,ProfessoratUniversityofPi3sburghSchoolofLaw

14COMMENTARY IIbyJaneAnneMurray,ProfessorofPracLceatUniversityofMinnesotaLawSchool

16ABOUT THE AUTHORS

18PROMOTIONAL PARTNERS

4

FRANKH.WUChairman,Commi>eeof100Dis)nguishedProfessor,UCHas)ngsCollegeofLaw

Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageAct,Execu2veSummaryForeword|FrankH.Wu,Chairman,Commi>eeof100

TheCommi>eeof100(C100)ispleasedtopresentthisimportantWhitePaper,“Prosecu)ngChineseSpies:An

EmpiricalAnalysisoftheEconomicEspionageAct”bylegalscholarAndrewC.KimofSouthTexasCollegeofLaw,

Houston.Thestudy,whichKimdevelopedoverthecourseofafullyearofresearch,offersanempiricalanalysisof

recentU.S.governmentespionageclaimsbroughtagainst

peopleofAsianheritage.C100ispublishinganexecu)vesummaryofKim’sreport,alongwithtwoindependent

commentaries,tobringa>en)ontothestudy’sfindings,

priortoitsappearanceinanacademicversion.

Thestudyprovidesempiricalindica)onsthatAsian

Americans,whetherimmigrantorna)ve-born,maybefacingunfairandincreasingracialprejudiceinthiseraof

geopoli)calcompe))on.C100recognizesthatthesenew

risksareunderscoredbyalegacyofalmosttwocenturiesofracialstereotypingasperpetual“foreigners,”wherethe

loyaltyofAsianAmericanstotheUnitedStateshasbeenrepeatedlychallengedwithsimilarthemes.

DuringWorldWarII,despiteevidenceknownatthe)me

thattherewasnogenuinethreat,120,000JapaneseAmericans—2/3ofthemU.S.ci)zens—weresentto

internmentcampsandincarceratedbasedsolelyonthesuspicionsthattheirethnicheritagemadethem"enemy

aliens."Despitesuchimprisonmentoftheirownfamilies,

thousandsofyoungJapaneseAmericanmenservedinsegregatedArmyunitsasthe442ndRegimentalCombat

Teamfigh)ngacrossEurope.TheirinfantrybecamethemostdecoratedfortheirsizeandlengthofserviceinU.S.

Armyhistory.

In2000,Dr.WenHoLee,ascien)stwhohaddedicatedhiscareertotheAmericangovernment,facedchargesof

disclosingsecretsaboutthena)on’snuclearweaponsandwasheldwithoutbailinsolitaryconfinementforovera

year.Intheend,theJus)ceDepartmentdroppedallofthechargesagainsthimexceptforonecounttowhichhepled

guiltytoendhistrauma)zingordeal.Manyotherswhohad

commi>edthesameactswerenotsimilarlyheldaccountable.Then-PresidentBillClintondeclaredhewas

“troubled”bythema>er.Thefederaljudgewhopresidedin

thecasepubliclyapologizedforhismistreatment.

Today,therearemoresuchcasessimilartoDr.Lee’sin

whichracialprofilingandethnichos)lityseemtohavecoloredthejudgmentofgovernmentofficialsandtainted

thecriminalprocess.PeoplesuchasSherryChen,a

hydrologistwiththeNa)onalOceanographicandAtmosphericAdministra)on,andDr.XiaoxingXi,aphysicist

atTempleUniversity,areessen)ally“WenHoLee2.0.”

ChenandXihavebeenexoneratedinfull.Therewasno

basisforanysuspicionofthem—otherthan,apparently,

thecoloroftheirskin.Thesheernumberandfactualsimilari)esamongtheseprosecu)onshavecreatedan

apparentpa>ernandprac)ceofselec)veanddiscriminatorytreatmentthatdemandsgreater

transparencyandaccountability.Monitoring,oversight,and

safeguardsareneeded.

ThehistoryofAsianAmericansdatesbacktotheearly

nineteenthcentury,withnumerouscontribu)onsextraordinaryandordinary,infieldsrangingfromthe

sciencestotheartstotechnologyandbusiness.These

Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageAct,Execu2veSummaryForeword|FrankH.Wu,Chairman,Commi>eeof100

FOREWORD

FRANKH.WUCHAIRMAN,COMMITTEEOF100

contribu)onshavebeenmadepossibleinana)onthatwelcomeseveryone.Theruleoflawpromisesequality

withoutregardtorace,color,orcreed.

Yetfrom)meto)me,wefailtoliveuptoourownideals.

Wehavefoundevidenceofdepriva)onsofdueprocessthat

affectinnocentindividuals.Thesepreventsocietyfromrealizingthebenefitofthefullpoten)alofAsianAmerican

contribu)ons.

NodoubttherehavebeeninstancesofAsianAmericans,like

otherAmericans,whohaveviolatedthelawandwhohave

thenfacedjus)fiableinves)ga)onandprosecu)on.Adefinitelinecanbedrawnbetweenappropriateprosecu)on

thatisbasedonactualevidenceandfreeofbiasandoverreachingpersecu)onthatistriggeredbyunfounded

suspicionsandtaintedbyracialprejudice.AllAmericans,

regardlessofethnicity,dependonthatline.

Itisinthisdefenseofcons)tu)onalrightsforeveryone,and

thespiritofpublicservice,thattheCommi>eeof100supportsandreleasesthefindingsofProfessorKim's

independentstudy.

TheCommi>eeof100isanon-par)sanleadershiporganiza)onofprominentChineseAmericansinbusiness,

government,academia,entertainment,andthearts.Establishedin1990,theCommi>eehasalonghistoryof

contribu)ontotwinmissionspromo)ngthefullpar)cipa)on

andinclusionofChineseAmericansinallfieldsofAmericanlife,andencouragingconstruc)verela)onsbetweenthe

peoplesoftheUnitedStatesandGreaterChina.Forthepastfiveyears,C100memberssuchasNelsonDong,GeorgeKoo,

andBrianSunhavelededuca)onalworkshopsaroundthena)onpresen)ngbackgroundonsomeoftheissues

discussedhere.

Recently,theCommi>eeof100formedaLegalDefense&

Educa)onFund,throughwhichfinancialsupporthasbeen

offeredtovic)msofracialprofiling.TheFundhasalsopaidfortheprin)nganddistribu)onofthisWhitePaper.C100

expressesitsgra)tudeforalldonorstotheFund.C100MemberJeremyWuhasprovidedinvaluableinputasa

sta)s)cian,whichhashelpedtoinformthefindings

presentedinthefollowingpages.

Recentprosecu)onsofinnocentChineseAmericansforespionagehaveraisedconcerns

thatDepartmentofJus)ce(DOJ)inves)ga)onsofsuspectedespionagehavebeeninfectedby

racialbiases.Althoughnotconclusive,thisstudyfindsevidenceconsistentwiththose

concerns.Itfinds:1)Thepercentageofpeople

ofChineseheritagechargedundertheEconomicEspionageAct(EEA)hastripledsince

2009,to52%.Includingpeopleofnon-Chinese

Asiandescent,62%ofEEAdefendantschargedsince2009havebeenpeopleofAsianheritage;

2)Inhalf(48%)ofcases,theallegedbeneficiaryofespionagewasanAmerican

en)tywhileathird(34%)ofcasesinvolveda

Chinesebeneficiary.

Russiawasnotiden)fiedastheallegedbeneficiaryinanycasesinthesample;3)

DefendantsofAsianheritageconvictedofespionagereceivedsentencesovertwiceas

severeasthoseofotherethnici)es;4)22%ofpeopleofAsianheritagechargedwith

economicespionagewereneverconvictedof

espionage.Inotherwords,asmanyas1in5Asianpeopleprosecutedasspiesmaybe

innocent,aratetwiceaslargeasforother

races.

INTRODUCTION

62%ofEEAdefendantschargedsince2009havebeenpeopleofAsianheritage.

22%ofpeopleofAsianheritagechargedwitheconomicespionagewereneverconvictedofespionage.

“As many as 1 in 5 Asian people prosecuted as spies may be innocent, a rate twice as large as for other races.”

Page6 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActExecu)veSummary|AndrewKim,Commi>eeof100

ThisStudyanalyzesarandomsampleofcaseschargedundertheEconomicEspionageAct(EEA)from1997to

2015,(136casesinvolving187individualdefendants),usingpubliclyavailablecourtdocumentsdrawnfromthe

PublicAccesstoCourtElectronicRecordssystem(PACER).Notallsuspectedeconomicespionagespiesare

prosecutedundertheEEA.Forexample,Dr.XiXiaoxing,

whowasfalselyaccusedofstealingsuperconductortechnologyforChina,waschargedwithwirefraud,acrime

thatusuallydoesnotinvolveespionage-typeac)vity.By

focusingonEEAcases,however,thisstudywasabletoproduceanunbiasedsampleoffederalcasesallofwhich

includeallega)onsofthethesofsecretinforma)on.

Tes)ngforracialdispari)esrequiresanindicatorofthedefendant’srace,avariablethatisabsentfrommostPACER

records.Toworkaroundthisotherwisefatalcomplica)on,thisstudyusedthedefendant’snameasaproxyforrace.

Thesampleincludes107defendantswith“Western”names,(definedtoincludethosewithEasternEuropean,

Hispanic,andLa)nonames),59defendantswithChinese

names,17defendantswithotherAsiannames(includingIndiannames),and4defendantswithArabicnames.

SearchesonGoogleandFacebookwereusedto

disambiguateanynameswithunclearna)onalorigins.Becausethisstudycouldnotiden)fydefendants’

ci)zenshipstatuses,itcannotdis)nguishbetweenthetreatmentofAsian-Americanci)zensandna)onalsofAsian

countries.

DATA

EXECUTIVE SUMMARY

Page7Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActExecu)veSummary|AndrewKim,Commi>eeof100

107 59 17

136EEACASES187DEFENDANTSTOTESTFORRACIALDISPARITIES,THISSTUDYUSEDDEFENDANTS’NAMESASPROXIESFORTHEIRRACE!

DEFENDANTSWITH“WESTERN”NAMES

DEFENDANTSWITHCHINESENAMES

DEFENDANTSWITHNON-CHINESEASIANNAMES

4DEFENDANTSWITHARABICNAMES

(1)Since2009,themajorityofdefendantschargedundertheEEAhavebeenpeopleofAsianheritage.From1996to2008,17%ofEEAdefendantswereChinesewhile8%wereotherAsians.Between2009and

2015,however,therateofChinesedefendantstripled,to52%.TherateforotherAsiansincreasedonlyslightlyoverthesame)meperiod,to10%.Insum,62%ofEEAdefendantsprosecutedundertheObama

administra)onwerepeopleofAsianheritage.

FINDINGS


EEA DEFENDANTS BY RACE

72%

17%

8%3%

Western Chinese

OtherAsian Arabic

37%

52%

10% 1%

Western Chinese

OtherAsian Arabic

1996-2008 2009-2015

(2)HalfofEEAcasesallegedthe\ofsecretsforaUSAen2ty,onethirdforChina,andnoneforRussiaTheintendedbeneficiaryoftheallegedespionagecouldbe

iden)fiedin118outofthe136casesinthesample.Inhalf(48%)ofcases,tradesecretswereallegedlystolento

benefitanAmericanen)ty.Inonethird(34%)ofcases,theallegedthesswereintendedtobenefitChineseen))es.

Theremainingcasesinvolvedna)onsasdiverseasSouth

Africa,India,Iran,andtheCzechRepublic.Noneofthecasesinwhichanallegedbeneficiarycouldbeiden)fied

involvedRussia.

FINDINGS

0

2

4

6

8

10

12

14

16

18

20

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

NUMBER OF EEA CASES FILED BY YEAR

EXECUTIVE SUMMARY


48%

34%

3%2%2%2%2%7%

USA China India

Japan SouthKorea Australia

Israel Other

NATION OF BENEFITING ENTITY

(3)ConvicteddefendantsofAsianheritagereceivedsentencestwiceassevereTheaveragesentenceforChineseandallAsiandefendants

convictedofespionagewas25monthsand22monthsrespec)vely,twiceaslongasthe11monthaverage

sentencefordefendantswithWesternnames.Wherealmosthalf(48%)ofdefendantswithWesternnames

receivedsentencesofproba)ononly,only21%ofChinese

defendantsand22%ofallAsiandefendantsreceivedproba)ononly.Thesefiguresincludeonlydefendantswho

wereconvictedofanyoffenseotherthanfalsestatements.

(4)Oneinfiveaccused“spies”ofAsianheritagemaybeinnocentTwenty-onepercentofChineseand22%ofallAsiandefendants

chargedundertheEEAareneverprovenguiltyofspyingoranyotherseriouscrime,aratetwiceaslargeasfordefendantswith

Westernnames.Instead,thesedefendantswereacqui>edattrial,pledguiltyonlyto“falsestatements”andreleasedonproba)on,

or,mostosen,hadallchargesagainstthemdropped.Thefactthat

thesedefendantswereneverprovenguiltyofespionagedoesnotnecessarilymeantheywereinnocent.Aserall,therearereasons

otherthaninnocence,suchassuppressionofkeyevidence,forwhyaprosecutormightdropallchargesorallowadefendantto

pleadguiltytoaminoroffenselikefalsestatements.Nonetheless,

thesefindingsraisethepossibilitythatasmanyasoneinfiveaccusedAsian“spies”mightactuallybeinnocent,aratethatis

twiceaslargeasthatfordefendantswithWesternnames.


0% 0%

15%

50%

0%

5%

0%

29% 0% 0%

0%

15%

18%

10%

15%

0%

0%

28%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014

OtherAsian

Chinese

% CHINESE AND ASIAN EEA DEFENDANTS BY YEAR

FINDINGS

ThesefindingsareconsistentwithconcernsthattheDOJhasimproperlytargeted,engagedinracialprofilingof,and

usedbiasedjudgmentwithrespecttoAsianAmericansandAsianna)onalssuspectedofespionage.Without

furtherinforma)on,however,thisstudycannotruleoutinnocentexplana)onsfortheseracialdispari)es.Rather

thanconclusions,thisstudyraisesanumberoftroubling

ques)onsthatcanonlybeansweredthroughanindependentandtransparentinves)ga)onofDOJ

espionageinves)ga)ons.

First,whyaresomanyEEAdefendantsofAsiandescent,andhowmuch,ifany,ofthesedispari)escanbeexplained

bythehigherratesatwhichAsian-Americansworkintechnicalfields?WhydidthepercentageofChinese

defendantstripleundertheObamaadministra)on?Isit

possiblethatthree)mesasmanyChinese-Americansbeganstealingsecretsaround2009,ordidtheDOJunder

Obamasimplydevotemoreresourcestoiden)fyingandprosecu)ngespionagerelatedtoChina?Ifthela>eris

true,doesthisreflectalegi)matepriori)za)onofDOJ

resources,orisitacaseofunfairracialprofilingandthestartofa“NewRedScare”?

Second,whydononeofthecasesinvolveallega)onsofespionagetobenefitRussia?Isitpossiblethatinspiteof

recentallega)onsofstate-sponsoredhackinganddecades

ofpost-coldwarespionage,RussiaisactuallynotinterestedinobtainingAmericantradesecrets?Arethere

diploma)creasonsforwhytheDOJmightavoidprosecu)ngRussianspies,orchargethemunderstatutes

otherthantheEEA?HastheDOJfocusedsomuchenergy

oninves)ga)ngAsiarelatedspyingthattheyhavemissedtheRussianspiesinourmidst?

Third,whyareguiltydefendantsofAsiandescentpunishedmorethantwiceasharshlyasguiltydefendants

withWesternnames?Arethetradesecretsstolenby

defendantswithAsiannamestwiceasharmfulasthosestolenbydefendantswithWesternnames?Alterna)vely,

coulditbethatsubconsciousracialbiasescausejudgesandprosecutorstoperceivethecrimescommi>edbyAsian

defendantsasmoreseverethanobjec)velysimilarcrimescommi>edbynon-Asiandefendants?

Fourth,whydoesitappearthattheDOJaccusesinnocent

peopleofAsiandescentfarmoreosenthanothers?Coulditbethatpreexis)ngimagesofAsianpeopleasspiescause

prosecutorstomisinterpretambiguousevidenceas

conclusiveevidenceofguilt?Mightfearsthatasuspectwillfleethecountryif)ppedoffjus)fyfilingchargesearlyinthe

inves)ga)on,whentheevidenceisli>lemorethaninnuendo?Althoughsuchconcernswouldbeirrelevantin

caseslikeSherryChenandWenHoLee,wherethesuspect

wasawareofandcoopera)ngwiththeinves)ga)onpriortofilingcharges,therewerefourdefendantsinthesample,all

ofChinesedescent,whosecaseswereneverresolvedbecausethedefendantremainsafugi)vefromjus)ce.Or,is

itpossiblethat,ashasbeenarguedinthewaragainstterror,

aretheharmsofsomecrimessogreatthatitisworthprosecu)ngsomeinnocentAmericanstoavoidallowingthe

guiltytogofree?

Fish,whydoprosecutorsallowsomedefendantswhowere

originallychargedwithespionagetopleadguiltytominor

crimeslikefalsestatements?Arethesecasesinwhichcrasyspiescutadealtoavoidconvic)ononmoreseriouscharges?

Or,couldthesebecasesinwhichprosecutorsaccusedaninnocentdefendantofespionageandinsistedonobtaininga

convic)onforanycrimeratherthanadmittheirmistake?

Finally,ifthesefindingsdoreflectproblemsintheDOJ,whatcanbedonetoaddressthoseproblemsandreducethe

numberofinnocentAmericanswhoselivesaresha>eredbyfalseaccusa)onsofbetrayingtheirowncountry?

CONCLUSIONS: MORE QUESTIONS

EXECUTIVE SUMMARY


WithhisstudyProsecu)ngChinese“Spies,”ProfessorAndrewC.Kimraisesanimportantques)on.Inlightofthe

factthatprosecu)onsofChineseandotherAsianpersonsundertheEconomicEspionageAct(EEA)haveincreased

since2009,ProfessorKimaskswhetherthewearewitnessingethnictarge)ngofChinesescien)stsand

researchers.Inotherwords,areweseeingracialprofiling

directedatanewgroup,foranewpurpose,inmuchthesamewaywewitnessedtarge)ngofAfricanAmericans

through“drivingwhileblack”inthepast?Theansweristhat

wesimplydon’tknowyet;thedatapresentedinthestudydonotprovetheexistenceof“researchingwhileAsian,”to

borrowProfessorKim’sphrase.Butwecanseeenoughthat,goingforward,wemustremainvigilant,watchthedata,and

followupwithfurtherstudy.

ProfessorKimbeginsbylayingoutthedatahehas,asampleof136casesbroughtundertheEconomicEspionageAct,

between1997and2015.From1997un)l2008,Chinesepersonsmadeup17percentofthecasesbrought;between

2009and2015,thatpercentagetripled,to52percent.

ConvicteddefendantsinEEAcasesof“Asianheritage”(includingethnici)esotherthanChinese)received

sentencesovertwiceaslong,onaverage,asnon-Asiandefendants.Further,21percentofallChineseEEA

defendantswerenotprovenguiltyofspyingorother

seriouscrimes–abouttwicetherateofmembersofotherethnicgroups;instead,theywereacqui>ed,pleadguilty

onlytomakingfalsestatements

andnottoespionageoffenses,orhadchargesdroppedagainstthemen)rely.“Inotherwords,”ProfessorKimsays,

“oneinfiveaccusedAsian‘spies’mightactuallybeinnocent.”

Itisimportant,upfront,torecognizethelimita)onsof

thesedata.First,thenumberofcasesinthesampleisrela)velysmall,andasmallsamplesizelimitsanyanalysis.

(Bywayofcomparison,thefirststudiesofracialprofilingofAfricanAmericansonhighwaysinNewJerseyandMaryland

inthe1990s,conductedbyDr.JohnLamberth,involveda

vastlylargeramountofdata--manythousandsofvehiclesobserved,inaddi)ontothosevehiclesstoppedand

searched.)Wealsocannottellhowmanyinves)ga)onsundertheEEA(asopposedtocasescharged)tookplace

duringthestudyperiod,whatethnicgroupsthetargetsof

thoseinves)ga)onscamefrom(ChineseorAsianorother),andtherateatwhichthoseinves)ga)onsactually

blossomedintochargedcases.Wealsodonotknowhowmanyespionagerelatedcaseswerechargedunderstatutes

otherthantheEEA(ProfessorKimcitesanumberofother

federalstatutesprosecutorscoulduseandhaveusedinothercases.)Moreover,asProfessorKimhimself

acknowledges,thereare“manyreasonsotherthaninnocence”thatcouldexplainwhydefendantswere

acqui>ed,hadchargesdropped,orpleadguiltytoreduced

charges..Overall,ashesays,hisstudy“cannotruleoutinnocentexplana)onsforthefindings.”

DAVIDA.HARRISDis)nguishedFacultyScholar/ProfessorUniversityofPi>sburghSchoolofLaw

Page12 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActCommentaryI|DavidA.Harris,ProfessoratUniversityofPi>sburghSchoolofLaw

First,ProfessorKimsaysthedataindicatethattheaveragesentenceforChinesedefendants“convictedofespionage”

inthesecaseswas25months(22monthsforallAsiandefendantscombined),twicetheaveragesentencefor

defendantsfromotherethnicgroups.Thistroublingfindingraisesaredflag;thefederalsentencingsystemis

designedtoensurethatdefendantswhocommitsimilar

crimesreceivesimilarsentences,regardlessofrace,gender,orreligion.Thissentencingdisparityisanobvious

targetforfurtherstudy;ifthefindingofdisparityholdsup

asercontrollingfortheFederalGuidelinesfactorsthatwereunavailabletoProfessorKim,thiswouldmeanthat

wemightindeedbeseeingnotjustunexplaineddisparity,butdiscrimina)on.

Second,considerthedataindica)ngthattwiceasmany

casesagainstChinesedefendantsresultinacqui>als,guiltypleastoreducedcharges,ordroppedchargesasistrueof

casesagainstnon-Chinesedefendants.Thoughthesedataareconsistentwithbothinnocentandtroubling

explana)ons,theydeservefurtherscru)ny.Thisis

becauseofthestrikingparallelwithstopandfriskdatagatheredinNewYorkoverthelastdecade.IntheFloydv.

NewYorkCitycase,whichresultedinafederalcourtordertoreformtheuseofstopandfriskprac)cesbytheNew

YorkPoliceDepartment,anastonishing88percentofall

stopsyieldednothing–notanarrest,notarecoveryofagunorothercontraband–notevenasummons.Buried

deeperinthedatawasthis:policeweremorelikelybyfartostopAfricanAmericanandLa)nosthanwhites,but

muchmorelikelytofindcontrabandon,andmakearrests

of,whitesthanAfricanAmericansorLa)nos.

Thisseemingcontradic)onlaidbareahiddenopera)onalstandard–perhapshiddenevenfromofficersthemselves:

whilethelegalstandardforstoppinganypersonwasthesame–reasonable,fact-basedsuspicionofinvolvementin

criminalac)vity,accordingtotheU.S.SupremeCourt–theactualstandardinuseonthestreetseemedtobelowerfor

AfricanAmericansandLa)nosthanforwhites.Inother

words,AfricanAmericansandLa)noswereseenassuspiciousonmuchlessevidencethanwerewhites,

resul)nginstopsthatwere“hits”–thatis,theyresultedin

anarrestorasummons–muchlessosenthanstopsofwhites,becauseofficersdidnotstopwhitesun)ltheyhad

more,andmoresolid,evidenceofcriminality.Thesamekindofprocessmaybeatworkhere:whiletheremaybe

innocentexplana)onsforthedisparity,itmaybethat

inves)gatorsandprosecutorsaremorewillingtogoforwardwithcasesagainstChineseandAsiandefendants

onlessevidencethantheyareininves)ga)onsofwhites.Becausewehaveseenprecedentforthisinverydifferent

kindsoflawenforcementac)vity,thisissomethingto

inves)gatemoredeeplyinexis)ngcasesinthedata,andtotrackcarefullygoingforward.

Forallthesereasons,ProfessorKim’sstudydoesarealservice.Hepointstoanissuemanyperceivetoexistinthe

realworld,andmarshalsthedatatoexamineit.Whilethat

dataremainstooscarcetodrawdefini)veconclusions,hecorrectlypointsoutthatthedatadoraiseseriousques)ons.

Aswetransi)onintoanewpresiden)aladministra)on,withanewteamatoptheDepartmentofJus)ce,these

ques)onscannot–theymustnotbe–ignored.

COMMENTARY I

Page13Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActCommentaryI|DavidA.Harris,ProfessoratUniversityofPi>sburghSchoolofLaw

Ourfederalcriminaljus)cesystemisrelentlesslyefficient.Ofthecasesadjudicatedeachyear,morethan97%are

resolvedbyguiltyplea,and90%oftheremainderendinguiltyverdictsattrial.Lessthan7%ofchargedcasesare

dismissedordeferredannually,andmostofthosethroughdiversionaryprogramsforlow-leveloffenders.These

sta)s)csareduemainlytofederalprosecutors’careful

selec)onprocess(theydeclineasmuchas63%ofcasesbroughttothemannually).Withtrialsallbutdisappearing

asanadjudica)vemechanism,wetrusttheseprosecutors–

somesaytoomuch–toleveragetheirconsiderablecharging,bargainingandsentencingpowerwith

propor)onalityandprecision.

Againstthatbackdrop,AndrewKim’sme)culousresearch

oneconomicespionagecasesraisesmanytroubling

ques)ons.Notonlyarethesecasesoutofwhackwithna)onalaverages(producingdoublethedismissals,five

)mesmoretrials,andalmosttwiceasmanyacqui>als),butasKimoutlines,individualsofChineseorotherAsian

descentaredispropor)onatelychargedwithespionage,

receivehighersentences,andaretwiceaslikelyasnon-Asiandefendantstohavetheirchargesdropped.Perhaps,

asKimevenhandedlysuggests,individualsofChineseorAsiandescentareengaginginmore(andmoreserious)acts

ofeconomicespionage,orperhapsprosecutorsareforced

toarrestbeforetheyhavefullyanalyzedtheircasetoavoidevidencedestruc)onorflight.Butanother,simpler

explana)onisthatthesesta)s)csreflectanimplicitbiasagainstAsians.

It’snotthatChineseandAsianespionageisincreasing,butratherthatprosecutorsbelieveittobe,andtherefore,they

maydispropor)onatelyandprecipitouslytargetindividualsofChineseandotherAsiandescentasspies,leading

inevitablytoahighrateoffalseposi)ves.

Thereisagrowingempiricalliteratureexamininghow

implicitbiaspervadesourcriminaljus)cesystem,fromthe

decisiontostopandques)onanindividual,tothedecisiontoarrest,tothedecisiontocharge,tothetypeofchargeto

belevied,tothedegreeofleniencyofferedinplea

bargaining,totheseverityofsentencing.Mostofthisresearch–drivenbythedispari)esinourconvictedand

incarceratedpopula)ons,aswellasstudiesofDNAexonera)oncases–focusesondifferencesinthe

experiencesandoutcomesofwhitesandAfricanAmericans.

Kim’sresearchisamajorcontribu)ontothisscholarshipfortworeasons.First,rela)velyli>leisknownaboutimplicit

biasinourcriminaljus)cesystembeyondthestudiesrela)ngtobiasesagainstAfricanAmericans.Byfocusingon

anethnicitythatisrarelythesubjectofsuchresearch–

indeed,agroupthatisosenviewedashavingovercomehistoricalprejudices–Kimcorroboratesanddeepensthe

exis)nginsightsaboutimplicitbiasinthecriminaljus)cecontext,demonstra)ngthepoten)alforbiasinarangeof

lesstradi)onalcases(beyonddrugsandterrorism,for

example)andamonggroupsoutsidethetradi)onalblack-whiteparadigmofracialjus)ce.Inotherwords,implicitbias

inajus)cesystemthatprizesaccuracybut

JANEANNEMURRAYProfessorofPrac)ceUniversityofMinnesotaLawSchool

Page14 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActCommentaryII|JaneAnneMurray,ProfessorofPrac)ceatUniversityofMinnesotaLawSchool

essen)allydelegatestheaccuracyjudgmenttoall-too-humanprosecutorsislikelyfarmorepervasivethanweare

preparedtoadmit.

Second,Kim’sworkisanimpressiveexampleofhowthis

researchcanandshouldbedone.Hisanalysisdoesnot

simplycrunchdisembodiednumbers.Itisbasedonapainstakingsearchoftheelectronicdatabaseofallbut

threeofthe94federaldistrictsandanindividualexamina)onofthecourtfilingsorotherpubliclyavailable

informa)onrelatedtoall170casesinhissample.Asa

result,hisanalysisofthedataisespeciallynuancedandrich.Heuncoveredseveralcaseswhere,forexample,itwasclear

thatchargesweredismissedoninnocencegrounds,caseswhereriskofflightanddestruc)onofevidencecouldnot

havebeenlegi)mateconcerns,andcaseswheretherewas

astronginferencethataconvic)ontoacountofmakingafalsestatementdidnotindicateculpabilityforespionage.

Allofthesefindingsstrengthentheinevitabletakeawayfromthepaper:itislikelythatthecharging,convic)onand

sentencingdispari)esineconomicespionagecasesare

drivenbybiasagainstAsians.

Kimconcludeswithsomeprac)calcallsforaddi)onal

ac)on,includingimplicitbiastrainingforprosecutors,sugges)onstoslowtherushtoindict,and,mostnotably,a

requirementoftransparentexplana)onsfordecisionsto

droporsignificantlyreducecharges.Prosecutorialdiscre)onpowerstheefficiencyofourcriminaljus)ce

system,which,intheend,toborrowfromHaroldLasswell,isallaboutwhogetscharged

what,whereandwhy.Asthesta)s)cscitedatthebeginningofthiscommentaryestablish,achargeis

tantamounttoaconvic)oninmostfederalcases.Evenwithoutaconvic)on,achargealoneiscertainlypersonally

devasta)ngtotheindividualinvolved.Butapartfromoccasionalhigh-profileexamina)ons(theTedStevenscase,

forexample),theopera)onofprosecutorialdiscre)onis

largelyablackbox.Kim’sprojectinfactgrewoutofunheededcallstotheDOJforanindependentinves)ga)on

intoitsespionageprosecu)onstoaddressconcernsabout

racialdisparity.Weretheprosecutors,however,requiredtoexplainpubliclywhytheydismissedespionagecharges,we

wouldgetawindowintothefactorsthatleadbothtoaprosecutorialrushtoajudgmentandthemorepainfulbut

necessaryprocessofredressingini)alerrors.Byillustra)ng

boththedangersofrelyingtooheavilyontheini)aljudgmentsofpoliceandprosecutorsandthemechanisms

bywhichprosecutorscanreassessthesejudgments,thisdatarevealstheprosecutorastheministerforjus)cethat

shemustbe(andis,forthemostpart),ratherthanjustan

advocateforconvic)onatallcost.Moreover,thefactthatanylaterdecisiontodismissespionagecharges–amongthe

mostchallengingforanyonetoface–willbescru)nizedcloselymaypromotegreaterprosecutorialaccountability

throughoutthelifeofthecase.

COMMENTARY II

Page15Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActCommentaryII|JaneAnneMurray,ProfessorofPrac)ceatUniversityofMinnesotaLawSchool

ANDREWKIMVisi)ngScholar,SouthTexasCollegeofLawOfCounsel,BeckReddenLLP!

AndrewChongsehKimisana>orneyatBeckReddenLLPandVisi)ngScholaratSouthTexasCollegeofLawHouston.KimreceivedhisundergraduatedegreefromtheUniversityof

ChicagowithtriplemajorsinEconomics,Physics,andAnthropology.HegraduatedcumlaudefromHarvardLawSchool,wherehewashonoredasaDean’sScholar,andclerkedatthe

SupremeCourtofConnec)cut.Asascholar,Kimappliessophis)catedsta)s)caltechniquestothestudyoftheAmericancriminaljus)cesystem.Hisresearchhasbeenpeerreviewedand

publishedintop100lawreviews.Kim’sprivateprac)ceworkfocusesoncommercial

li)ga)on.

ABOUT THE AUTHORS

Page16 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActAbouttheAuthors|AndrewKim,Commi>eeof100

DAVIDA.HARRISDis)nguishedFacultyScholar/ProfessorUniversityofPi>sburghSchoolofLaw!

DavidA.HarrisistheJohnEMurrayFacultyScholarandProfessorofLawattheUniversityofPi>sburgh.Hisbook"ProfilesinInjus)ce:WhyRacialProfilingCannotWork"isthestandardwork

onthesubject,andhisresearchhasledtostatutes,regula)ons,andproposedlawsagainstprofilinginhalfthestatesandhundredsofpolicedepartments.Heisalsothecreatorandhostof

the"CriminalInjus)ce"podcast.

JANEANNEMURRAYProfessorofPrac)ceUniversityofMinnesotaLawSchool

JaneAnneMurrayisProfessorofPrac)ceattheUniversityofMinnesotaLawSchool,wheresheteachescriminalprocedureandrunsaprograminwhichstudentsrepresentfederal

inmatesseekingclemency.Sheisalsoaprac)cingfederalcriminaldefenselawyer,andhasrepresentedclientsinmanyhigh-profilecriminalcasesinMinneapolisandNewYorkCity.She

isco-chairoftheSentencingCommi>eeoftheNa)onalAssocia)onofCriminalDefenseLawyers,andwasamemberoftheSteeringCommi>eeofClemencyProject2014andofthe

ABATaskForceontheReformofFederalSentencingofEconomicCrimes.Sheobtainedher

BachelorinCivilLawfromUniversityCollegeCorkandherMasterinLawsfromtheUniversityofCambridge.From1990to2000,shewastheInterna)onalAdvisorfortheOfficeofthe

UnitedNa)onsHighCommissionforHumanRightsinKampot,Cambodia.

ABOUT THE AUTHORS

Page17 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActAbouttheAuthors|AndrewKim,Commi>eeof100

PROMOTIONAL PARTNERS

SpecialThankstoAdrianandMonicaArima

Page18 Execu2veSummary|Prosecu2ngChinese"Spies:"AnEmpiricalAnalysisoftheEconomicEspionageActPromo)onalPartners|AndrewKim,Commi>eeof100

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