1 2 3 4 5 6 7 8 9 10 11 12 13 MICHAEL BAILEY United States Attorney District of Arizona BEVERLY K. ANDERSON Arizona State Bar No. 010547 NICOLE P. SAVEL Arizona State Bar No. 015958 Assistant U.S. Attorneys United States Courthouse 405 W. Congress Street, Suite 4800 Tucson, Arizona 85701 Telephone: 520-620-7300 Email: bev.anderson@usdoj.gov Email: nicole.savel@usdoj.gov JOHN C. DEMERS Assistant Attorney General National Security Division Trial Attorney Counterterrorism Section 950 Pennsylvania Ave., NW Washington, DC 20530 Telephone: (202) 233-2122 Email: will.mackie@usdoj.gov Attorneys for Plaintiff 14 IN THE UNITED STATES DISTRICT COURT 15 FOR THE DISTRICT OF ARIZONA 16 17 United States of America, 18 vs. 19 Wei Sun, 20 21 22 23 24 Plaintiff, 27 28 GOVERNMENT’S NOTICE OF EXPERT TESTIMONY Defendant. The United States of America, by and through its undersigned attorneys, hereby submits the following notice of its intent to utilize expert witness testimony during the trial, pursuant to Rule 16(a)(1)(G) of the Federal Rules of Criminal Procedure. This notice may be supplemented as additional information becomes available. 25 26 CR-19-00472-TUC-RM (JR) 1. Colin T. Sult Senior Counsel, Global Trade Raytheon Missile Systems Tucson, Arizona 1 Colin Sult is a member of the Raytheon Global Trade Compliance team responsible 2 for conducting investigations, audits, and assessments related to compliance with U.S. 3 export controls. He will testify concerning the laws and regulations that govern export 4 control law and defense trade, including the Arms Export Control Act (AECA), 5 International Traffic in Arms Regulations (ITAR), and the United States Munitions List 6 (USML). Mr. Sult may be viewed as a combination fact/expert witness in that he also 7 participated in the initial identification of ITAR controlled documents and technical data 8 stored in the defendant’s work laptop that are subject to the export licensing jurisdiction of 9 the Department of State. 10 11 12 2. Technical Expert(s), to be determined Raytheon Missile Systems Tucson, Arizona 13 The government will call a technical expert(s)/engineer as an expert witness who 14 will testify to the nature of the computer files and technical data content identified in the 15 indictment that renders the data ITAR controlled. The expert will further testify about 16 missile defense design and technology, to include, but not limited to, Advanced Medium 17 Range Air-to-Air (AMRAAM) missile technology and Stinger missile systems. 18 19 20 3. Expert, to be determined U.S. Department of State Directorate of Department of Defense Controls 21 A witness from the Directorate of Department of Defense Controls (DDTC) will 22 be called at trial to testify about DDTC policy, licensing and compliance, and, as it relates 23 to this matter, about the commodity jurisdiction determination for technical data as alleged 24 in the indictment. The witness will testify that the Department of State determined that the 25 technical data set forth in the indictment are designated as defense articles pursuant to the 26 USML and are ITAR controlled. The witness shall also testify that the defendant never 27 applied for nor received any export license to export the defense articles identified in the 28 indictment. -2- 1 2 3 4 5 6 7 8 9 10 11 4. Jessica Burke Global Trade Empowered Official Raytheon Missile Systems Tucson, Arizona Jessica Burke, Global Trade Empowered Official for Raytheon Missile Systems, will testify as an expert on Raytheon’s technical review process for its ITAR Jurisdiction Classification Assessments of the files and technical data set forth in the indictment. The testimony will include the determination that the technical data is ITAR controlled data subject to licensing requirements prior to export under the USML. Disclosure provided to the defense contains the specific findings as to the files/technical data. 13 5. Victor Gomez Senior Manager, Global Trade and Compliance/Empowered Official Raytheon Missile Systems Tucson, Arizona 14 Victor Gomez, Senior Manager of Global Trade and Compliance, manages a 15 Raytheon team that is responsible for supporting compliance with export/import 16 transactions and export laws and regulations. He will testify about Raytheon’s general 17 internal procedures and technical review process for its ITAR Jurisdiction Classification 18 Assessments, along with compliance with export licensing requirements. Mr. Gomez will 19 explain the processes in place regarding security, required clearances and employee travel 20 as it relates to export licensing requirements for defense articles/technical data. Mr. Gomez 21 may be viewed as a combination fact/expert witness in that he also participated in the initial 22 identification of ITAR controlled documents and technical data stored in the defendant’s 23 work laptop that are subject to the export licensing jurisdiction of the Department of State. 12 24 25 26 27 28 6. Alan Vanderploeg Special Agent/Forensic Examiner Computer Analysis Response Team (CART) Federal Bureau of Investigation Phoenix Division/Tucson Residence Agency -3- 1 FBI Special Agent Alan Vanderploeg will testify as an expert regarding the 2 forensic examination conducted of laptops, computers, hard drives, sim cards, USB drives, 3 other digital media, and cell phones seized and searched in this case. 4 regarding the extraction process and results of the analyses conducted. He will testify 5 6 7 8 9 10 11 12 13 14 15 16 7. Mary Kohn Learning Management System Coordinator Raytheon Missile Systems Tucson, Arizona Mary Kohn will provide testimony to explain the Learning Management System utilized at Raytheon to provide mandatory training to employees. Ms. Kohn will provide information that documents the training completed by the defendant while employed at Raytheon, to include Export-Import, IT Security, Classified Information Systems, Ethics and Department of Defense Security. 8. Jason Hilt Supervisor/Senior Hardware Design Engineer Raytheon Missile Systems Tucson, Arizona 17 Jason Hilt, Senior Hardware Engineer and previous supervisor of the defendant 18 at Raytheon, will testify regarding the development and testing of circuit cards for missile 19 systems and how these systems relate to the work performed at Raytheon by the defendant. 20 The government considers Mr. Hilt to be a fact witness, but, in an abundance of caution, 21 provides notice to the extent that Mr. Hilt may be considered a “hybrid” or a combination 22 of fact/expert witness, 23 24 25 26 27 28 9. IT Systems expert, to be determined Raytheon Missile Systems An IT Systems expert employed by Raytheon will testify regarding Raytheon’s IT security and use policies. The expert will explain the analysis and findings surrounding the defendant’s use of his Raytheon issued laptop to access the Raytheon VPN system, to -4- 1 include prohibited use while on personal travel outside of the United States. 2 With respect to all the above-proposed expert witnesses described above, the 3 testimony of a properly qualified expert witness should be admitted if it will "assist the 4 trier of fact to understand the evidence or determine a fact in issue." FRE 702; See, Daubert 5 v. Merrell Dow Pharmaceuticals, 509 U.S. 579 (1993) and United States v. Bonds, 12 F.3d 6 540 (6th Cir. 1993). 7 The above notice is provided in advance of trial and may be subject to change 8 regarding the identification of the specific witness by the relevant company or government 9 agency, witness availability, and depending on any stipulations or agreements, or other 10 discussions between the parties. This notice is also being provided to avoid unnecessary 11 delay at trial and to litigate in advance of trial any matters that may arise out of these 12 proposed avenues of testimony. 13 Based upon the Government’s compliance with Rule 16(a)(1)(G), the United States 14 requests that the defendant provide reciprocal summary testimony notice of any expert 15 witnesses, or subjects of expert testimony, in the above matter pursuant to Rule 16 16(b)(1)(C). 17 The Government reserves the right to supplement this notice with additional expert 18 witnesses should the need for any come to light, based in part on the defendant’s 19 anticipated compliance with Rule 16(b)(1)(A), (B) and (C). 20 curriculum vitae have been or will be promptly provided upon receipt through the 21 disclosure process. Respectfully submitted this 17th day of January, 2020. 22 23 24 MICHAEL BAILEY United States Attorney District of Arizona 25 26 27 28 s/Nicole P. Savel NICOLE P. SAVEL Assistant U.S. Attorney -5- The noticed experts’ 1 Copy of the foregoing served electronically or by other means this 17th day of January, 2020 to: 2 3 Cameron A. Morgan Counsel for Defendant Wei Sun 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 -6-