HR 5841 PCS 
partners with respect to items controlled under this sub-
title, in order to further ensure the prevention of the ex-
port, reexport, or transfer of items that may pose a threat 
to the national security or foreign policy of the United 
States. 
(b) SECURITY CLEARANCES.—In order to carry out 
subsection (a), the President may issue appropriate secu-
rity clearances to persons described in that subsection who 
are responsible for complying with this subtitle. 
(c) ASSISTANCE FOR CERTAIN BUSINESSES.— 
(1) IN
GENERAL.—Not later than 120 days 
after the date of the enactment of this Act, the 
President shall develop and submit to Congress a 
plan to assist small- and medium-sized United 
States in export licensing and other processes under 
this subtitle. 
(2) CONTENTS.—The plan shall include, among 
other things, arrangements for the Department of 
Commerce to provide counseling to businesses de-
scribed in paragraph (1) on filing applications and 
identifying items controlled under this subtitle, as 
well as proposals for seminars and conferences to 
educate such businesses on export controls, licensing 
procedures, and related obligations. 
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SEC. 818. REQUIREMENTS TO IDENTIFY AND CONTROL 
EMERGING, 
FOUNDATIONAL, 
AND 
OTHER 
CRITICAL TECHNOLOGIES IN EXPORT CON-
TROL REGULATIONS. 
(a) IDENTIFICATION OF TECHNOLOGIES.— 
(1) IN GENERAL.—The President shall establish 
and, in coordination with the Secretary, the Sec-
retary of Defense, the Secretary of Energy, the Sec-
retary of State, and the heads of other Federal 
agencies as appropriate, lead a regular, ongoing 
interagency process to identify emerging and 
foundational technologies that— 
(A) are essential to the national security of 
the United States; and 
(B) are not critical technologies described 
in subparagraphs (A) through (D) of section 
721(a)(7) of the Defense Production Act of 
1950 (50 U.S.C. 4565(a)(7)). 
(2) INTERAGENCY PROCESS.—The interagency 
process required under paragraph (1) shall— 
(A) be informed by multiple sources of in-
formation, including— 
(i) publicly available information; 
(ii) classified information, including 
relevant information provided by the Direc-
tor of National Intelligence; 
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(iii) information relating to reviews 
and investigations of transactions by the 
Committee on Foreign Investment in the 
United States under section 721 of the De-
fense Production Act of 1950 (50 U.S.C. 
4565); and 
(iv) information provided by the advi-
sory committees established by the Sec-
retary to advise the Under Secretary of 
Commerce for Industry and Security on 
controls under the Export Administration 
Regulations, including the Emerging Tech-
nology and Research Advisory Committee. 
(B) take into account— 
(i) the development of emerging and 
foundational technologies in other coun-
tries; 
(ii) the effect export controls imposed 
pursuant to this section may have on the 
development of the technologies in the 
United States; and 
(iii) the effectiveness of export con-
trols imposed pursuant to this section on 
limiting the proliferation of emerging and 
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foundational technologies to foreign coun-
tries; 
(C) provide for the nomination of an 
emerging or foundational technology to be iden-
tified under subsection (a) by the Secretary, the 
Secretary of Defense, the Secretary of State, 
the Secretary of Energy, or the heads of other 
Federal agencies as appropriate; 
(D) ensure that, not later than 60 days 
after the nomination of an emerging or 
foundational technology under subparagraph 
(C), the Secretary makes a determination, in 
coordination with the Secretary of Defense, the 
Secretary of State, the Secretary of Energy, 
and the heads of other Federal agencies as ap-
propriate, regarding whether additional or 
modified controls on the technology under this 
section are warranted, including through in-
forming a person that a license is required to 
export the technology, or that more time and 
input from the sources described in this para-
graph is needed before a final determination is 
made to issue a rule to impose controls over 
such technology; and 
(E) include a notice and comment period. 
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(b) COMMERCE CONTROLS.— 
(1) IN GENERAL.—The Secretary shall, except 
to the extent inconsistent with the authorities de-
scribed in subsection (a)(1)(B), establish appropriate 
controls on the export, reexport, or transfer of tech-
nology identified pursuant to subsection (a) and sub-
ject to the Export Administration Regulations, in-
cluding by publishing additional regulations. 
(2) LEVELS OF CONTROL.— 
(A) IN GENERAL.—The Secretary may, in 
coordination with the Secretary of Defense, the 
Secretary of Energy, the Secretary of State, 
and the heads of other Federal agencies as ap-
propriate, specify the level of control to apply 
under paragraph (1) with respect to the export 
of technology described in that paragraph, in-
cluding a requirement for a license or other au-
thorization, to export, reexport, or transfer of 
that technology. 
(B) 
CONSIDERATIONS.—In 
determining 
under subparagraph (A) the level of control 
that is appropriate for technology described in 
paragraph (1), the Secretary shall take into ac-
count— 
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(i) lists of countries to which exports 
from the United States are restricted; and 
(ii) the potential end uses and end 
users of the technology. 
(C) MINIMUM REQUIREMENTS.—The Sec-
retary shall, at a minimum and except as re-
quired by paragraph (4), require a license to ex-
port, reexport, or transfer technology described 
in paragraph (1) to or in a country subject to 
an embargo, including an arms embargo, im-
posed by the United States. 
(3) REVIEW OF LICENSE APPLICATIONS.— 
(A) PROCEDURES.—The procedures set 
forth in Executive Order 12981 (50 U.S.C. 
4603 note; relating to the administration of ex-
port controls) or any successor order, shall 
apply to the review of an application for a li-
cense for the export, reexport, or transfer of 
technology described in paragraph (1). 
(B) CONSIDERATION OF INFORMATION RE-
LATING TO NATIONAL SECURITY.—In reviewing 
an application for a license or other authoriza-
tion for the export, reexport, or transfer of 
technology described in paragraph (1), the Sec-
retary shall take into account information pro-
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HR 5841 PCS 
vided by the Director of National Intelligence 
regarding any threat to the national security of 
the United States posed by the proposed export, 
reexport, or transfer. The Director of National 
Intelligence shall provide such information on 
the request of the Secretary. 
(C) DISCLOSURE RELATING TO COLLABO-
RATIVE ARRANGEMENTS.—In the case of an ap-
plication for a license or other authorization for 
the export, reexport, or transfer of technology 
described in paragraph (1) submitted by or on 
behalf of a joint venture, joint development 
agreement, or similar collaborative arrange-
ment, the Secretary may require the applicant 
to identify, in addition to any foreign person 
participating in the arrangement, any foreign 
person with significant ownership interest in a 
foreign person participating in the arrange-
ment. 
(4) EXCEPTIONS.— 
(A) MANDATORY
EXCEPTION.—The Sec-
retary may not control under this subsection 
the export of any technology described in para-
graph (1) if the regulation of that technology is 
prohibited under any other provision of law. 
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HR 5841 PCS 
(B) REGULATORY
EXEMPTIONS.—In pre-
scribing regulations under paragraph (1), the 
Secretary may include appropriate regulatory 
exemptions to the requirements of that para-
graph for the export, reexport, or transfer of 
technology described in paragraph (1). 
(c) MULTILATERAL CONTROLS.— 
(1) IN GENERAL.—The Secretary of State, in 
coordination with the Secretary, the Secretary of 
Defense, the Secretary of Energy, and heads of 
other Federal agencies as appropriate, shall propose 
to the relevant multilateral export control regimes in 
the following year that a technology identified 
through the interagency process required under sub-
section (a) be added to the list of technology con-
trolled by such regimes. 
(2) REVIEW OF CONTINUED UNILATERAL EX-
PORT CONTROLS.—The Secretary, with respect to 
those items on the Commerce Control List main-
tained under part 774 of title 15, Code of Federal 
Regulations, and in coordination with the Secretary 
of Defense, the Secretary of Energy, and the Sec-
retary of State, and the Secretary of State, with re-
spect to those items on the United States Munitions 
List and in coordination with the Secretary of De-
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HR 5841 PCS 
fense and the heads of other Federal agencies as ap-
propriate, shall determine whether national security 
concerns warrant continued unilateral export con-
trols over a technology proposed for multilateral con-
trol under paragraph (1) if the relevant multilateral 
export control regime does not agree to list such 
technology on its control list within three years of a 
proposal by the United States. 
(d) REPORT.—Not later than 180 days after the date 
of the enactment of this Act, and not less frequently than 
every 180 days thereafter, the Secretary, in coordination 
with the Secretary of Defense, the Secretary of State, the 
Secretary of Energy, and the heads of other Federal agen-
cies as appropriate, shall submit to the Committee on For-
eign Investment in the United States on a semiannual 
basis a report on updates of any key actions taken pursu-
ant to this section. 
(e) RULE OF CONSTRUCTION.—Nothing in this sec-
tion shall be construed to alter or limit— 
(1) the authority of the President and the Sec-
retary of State to designate those items that are 
considered to be defense articles or defense services 
for purposes of the Arms Export Control Act (22 
U.S.C. 2751 et seq.) or to otherwise regulate such 
items; or 
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HR 5841 PCS 
(2) the authority of the President under the 
Atomic Energy Act of 1954 (42 U.S.C. 2011 et 
seq.), the Nuclear Non-Proliferation Act of 1978 (22 
U.S.C. 3201 et seq.), the Energy Reorganization Act 
of 1974 (42 U.S.C. 5801 et seq.), this title, or any 
other provision of law relating to the control of ex-
ports. 
(f) SENSE OF CONGRESS.—It is the sense of the Con-
gress that the President should request in the annual 
budget of the President submitted under section 1105(a) 
of title 31, United States Code, sufficient resources to en-
able the relevant departments and agencies to effectively 
implement this section. 
SEC. 819. REVIEW RELATING TO COUNTRIES SUBJECT TO 
COMPREHENSIVE UNITED STATES ARMS EM-
BARGO. 
(a) IN GENERAL.—The Secretary, the Secretary of 
Defense, the Secretary of Energy, the Secretary of State, 
and the heads of other Federal agencies as appropriate, 
shall conduct a review of— 
(1) section 744.21 of title 15, Code of Federal 
Regulations, including to assess whether the current 
and anticipated risks of direct or indirect diversion, 
such as from policies and practices that effectively 
obscure distinctions between civil and military end- 
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HR 5841 PCS 
users and end-uses, require that the scope of control 
under such section should be expanded to apply to 
exports, reexports, or transfers for military end uses 
and military end users in countries that are subject 
to a comprehensive United States arms embargo and 
countries that are subject to a United Nations arms 
embargo; 
(2) entries on the Commerce Control List main-
tained under part 774 of title 15, Code of Federal 
Regulations, that do not impose license requirements 
for exports, reexports, or transfers of items to coun-
tries subject to a comprehensive United States arms 
embargo; 
(3) whether there should be a presumption of 
denial for an application for a license to export, re-
export, or transfer an item on the Commerce Con-
trol List subject to national security controls or re-
gional stability controls under part 742 of the Ex-
port Administration Regulations if that item is rea-
sonably likely to contribute, directly or indirectly, to 
the military or intelligence capabilities of any coun-
try with respect to which the United States has in 
place an arms embargo, sanctions, or comparable re-
strictions, including to or within any country listed 
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HR 5841 PCS 
in Country Group D:5 in Supplement No. 1 to part 
740 of the Export Administration Regulations; 
(4) whether there should be a presumption of 
denial for an application for a license to export, re-
export, or transfer an emerging or foundational 
technology identified in section 818(a) to or within 
a country identified in section 744.21 of title 15, 
Code of Federal Regulations or Country Group E in 
Supplement No. 1 to part 740 of the Export Admin-
istration Regulations; and 
(5) without limiting the effect of paragraphs (3) 
and (4), whether there should be a presumption of 
approval for an application for a license to export, 
reexport, or transfer an item on the Commerce Con-
trol List if that item is for a civil end use. 
(b) IMPLEMENTATION OF RESULTS OF REVIEW.— 
Not later than 270 days after the date of the enactment 
of this Act, the Secretary shall implement the results of 
the review conducted under subsection (a). 
SEC. 820. PENALTIES. 
(a) UNLAWFUL ACTS.— 
(1) IN GENERAL.—It shall be unlawful for a 
person to violate, attempt to violate, conspire to vio-
late, or cause a violation of this subtitle or of any 
regulation, order, license, or other authorization 
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HR 5841 PCS 
issued under this subtitle, including any of the un-
lawful acts described in paragraph (2). 
(2) SPECIFIC UNLAWFUL ACTS.—The unlawful 
acts described in this paragraph are the following: 
(A) No person may engage in any conduct 
prohibited by or contrary to, or refrain from en-
gaging in any conduct required by this subtitle, 
the Export Administration Regulations, or any 
order, license or authorization issued there-
under. 
(B) No person may cause or aid, abet, 
counsel, command, induce, procure, permit, or 
approve the doing of any act prohibited, or the 
omission of any act required by this subtitle, 
the Export Administration Regulations, or any 
order, license or authorization issued there-
under. 
(C) No person may solicit or attempt a vio-
lation of this subtitle, the Export Administra-
tion Regulations, or any order, license or au-
thorization issued thereunder. 
(D) No person may conspire or act in con-
cert with one or more other persons in any 
manner or for any purpose to bring about or to 
do any act that constitutes a violation of this 
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HR 5841 PCS 
subtitle, the Export Administration Regula-
tions, or any order, license or authorization 
issued thereunder. 
(E) No person may order, buy, remove, 
conceal, store, use, sell, loan, dispose of, trans-
fer, transport, finance, forward, or otherwise 
service, in whole or in part, or conduct negotia-
tions to facilitate such activities for, any item 
exported or to be exported from the United 
States, or that is otherwise subject to the Ex-
port Administration Regulations, with knowl-
edge that a violation of this subtitle, the Export 
Administration Regulations, or any order, li-
cense or authorization issued thereunder, has 
occurred, is about to occur, or is intended to 
occur in connection with the item unless valid 
authorization is obtained therefor. 
(F) No person may make any false or mis-
leading representation, statement, or certifi-
cation, or falsify or conceal any material fact, 
either directly to the Department of Commerce, 
or an official of any other United States agen-
cy, including the Department of Homeland Se-
curity and the Department of Justice, or indi-
rectly through any other person— 
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HR 5841 PCS 
(i) in the course of an investigation or 
other action subject to the Export Admin-
istration Regulations; 
(ii) in connection with the prepara-
tion, submission, issuance, use, or mainte-
nance of any export control document or 
any report filed or required to be filed pur-
suant to the Export Administration Regu-
lations; or 
(iii) for the purpose of or in connec-
tion with effecting any export, reexport, or 
transfer of an item subject to the Export 
Administration Regulations or a service or 
other activity of a United States person de-
scribed in section 814. 
(G) No person may engage in any trans-
action or take any other action with intent to 
evade the provisions of this subtitle, the Export 
Administration Regulations, or any order, li-
cense, or authorization issued thereunder. 
(H) No person may fail or refuse to com-
ply with any reporting or recordkeeping require-
ments of the Export Administration Regula-
tions or of any order, license, or authorization 
issued thereunder. 
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HR 5841 PCS 
(I) Except as specifically authorized in the 
Export Administration Regulations or in writ-
ing by the Department of Commerce, no person 
may alter any license, authorization, export con-
trol document, or order issued under the Export 
Administration Regulations. 
(J) No person may take any action that is 
prohibited by a denial order issued by the De-
partment of Commerce to prevent imminent 
violations of this subtitle, the Export Adminis-
tration Regulations, or any order, license or au-
thorization issued thereunder. 
(3) ADDITIONAL
REQUIREMENTS.—For pur-
poses of subparagraph (G), any representation, 
statement, or certification made by any person shall 
be deemed to be continuing in effect. Each person 
who has made a representation, statement, or certifi-
cation to the Department of Commerce relating to 
any order, license, or other authorization issued 
under this subtitle shall notify the Department of 
Commerce, in writing, of any change of any material 
fact or intention from that previously represented, 
stated, or certified, immediately upon receipt of any 
information that would lead a reasonably prudent 
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HR 5841 PCS 
person to know that a change of material fact or in-
tention had occurred or may occur in the future. 
(b) CRIMINAL PENALTY.—A person who willfully 
commits, willfully attempts to commit, or willfully con-
spires to commit, or aids and abets in the commission of, 
an unlawful act described in subsection (a)— 
(1) shall be fined not more than $1,000,000; 
and 
(2) in the case of the individual, shall be im-
prisoned for not more than 20 years, or both. 
(c) CIVIL PENALTIES.— 
(1) AUTHORITY.—The President may impose 
the following civil penalties on a person for each vio-
lation by that person of this subtitle or any regula-
tion, order, or license issued under this subtitle, for 
each violation: 
(A) A fine of not more than $300,000 or 
an amount that is twice the value of the trans-
action that is the basis of the violation with re-
spect to which the penalty is imposed, which-
ever is greater. 
(B) Revocation of a license issued under 
this subtitle to the person. 
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(C) A prohibition on the person’s ability to 
export, reexport, or transfer any items, whether 
or not subject to controls under this subtitle. 
(2) PROCEDURES.—Any civil penalty under this 
subsection may be imposed only after notice and op-
portunity for an agency hearing on the record in ac-
cordance with sections 554 through 557 of title 5, 
United States Code. 
(3) STANDARDS
FOR
LEVELS
OF
CIVIL
PEN-
ALTY.—The Secretary may by regulation provide 
standards for establishing levels of civil penalty 
under this subsection based upon factors such as the 
seriousness of the violation, the culpability of the vi-
olator, and such mitigating factors as the violator’s 
record of cooperation with the Government in dis-
closing the violation. 
(d) CRIMINAL FORFEITURE OF PROPERTY INTEREST 
AND PROCEEDS.— 
(1) FORFEITURE.—Any person who is convicted 
under subsection (b) of a violation of a control im-
posed under section 813 (or any regulation, order, 
or license issued with respect to such control) shall, 
in addition to any other penalty, forfeit to the 
United States— 
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HR 5841 PCS 
transfer outside the United States any 
item, whether or not subject to controls 
under this subtitle, for a period of up to 10 
years beginning on the date of the convic-
tion; and 
(ii) revoke any license or other author-
ization to export, reexport, or transfer 
items that was issued under this subtitle 
and in which such person has an interest 
at the time of the conviction. 
(B) VIOLATIONS.—The violations referred 
to in subparagraph (A) are any criminal viola-
tions of, or criminal attempt or conspiracy to 
violate— 
(i) this subtitle (or any regulation, li-
cense, or order issued under this subtitle); 
(ii) any regulation, license, or order 
issued under the International Emergency 
Economic Powers Act; 
(iii) section 371, 554, 793, 794, or 
798 of title 18, United States Code; 
(iv) section 1001 of title 18, United 
States Code; 
(v) section 4(b) of the Internal Secu-
rity Act of 1950 (50 U.S.C. 783(b)); or 
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HR 5841 PCS 
(vi) section 38 of the Arms Export 
Control Act (22 U.S.C. 2778). 
(2) APPLICATION
TO
OTHER
PARTIES.—The 
Secretary may exercise the authority under para-
graph (1) with respect to any person related, 
through affiliation, ownership, control, position of 
responsibility, or other connection in the conduct of 
trade or business, to any person convicted of any 
violation of law set forth in paragraph (1), upon a 
showing of such relationship with the convicted 
party, and subject to the procedures set forth in 
subsection (c)(2). 
(f) OTHER AUTHORITIES.—Nothing in subsection 
(c), (d), or (e) limits— 
(1) the availability of other administrative or 
judicial remedies with respect to violations of this 
subtitle, or any regulation, order, license or other 
authorization issued under this subtitle; 
(2) the authority to compromise and settle ad-
ministrative proceedings brought with respect to vio-
lations of this subtitle, or any regulation, order, li-
cense, or other authorization issued under this sub-
title; or 
(3) the authority to compromise, remit or miti-
gate seizures and forfeitures pursuant to section 
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HR 5841 PCS 
1(b) of title VI of the Act of June 15, 1917 (22 
U.S.C. 401(b)). 
SEC. 821. ENFORCEMENT. 
(a) AUTHORITIES.—In order to enforce this subtitle, 
the Secretary, on behalf of the President shall exercise, 
in addition to relevant enforcement authorities of other 
Federal agencies, the authority to— 
(1) issue orders and guidelines; 
(2) require, inspect, and obtain books, records, 
and any other information from any person subject 
to the provisions of this subtitle; 
(3) administer oaths or affirmations and by 
subpoena require any person to appear and testify or 
to appear and produce books, records, and other 
writings, or both; 
(4) conduct investigations (including under-
cover) in the United States and in other countries 
using all applicable laws of the United States, in-
cluding intercepting any wire, oral, and electronic 
communications, conducting electronic surveillance, 
using pen registers and trap and trace devices, and 
carrying out acquisitions, to the extent authorized 
under chapters 119, 121, and 206 of title 18, 
United States Code; 
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(5) inspect, search, detain, seize, or issue tem-
porary denial orders with respect to items, in any 
form, that are subject to controls under this subtitle, 
or conveyances on which it is believed that there are 
items that have been, are being, or are about to be 
exported, reexported, or transferred in violation of 
this subtitle, or any regulations, order, license, or 
other authorization issued thereunder; 
(6) carry firearms; 
(7) conduct prelicense inspections and post- 
shipment verifications; and 
(8) execute warrants and make arrests. 
(b) ENFORCEMENT OF SUBPOENAS.—In the case of 
contumacy by, or refusal to obey a subpoena issued to, 
any person under subsection (a)(3), a district court of the 
United States, after notice to such person and a hearing, 
shall have jurisdiction to issue an order requiring such 
person to appear and give testimony or to appear and 
produce books, records, and other writings, regardless of 
format, that are the subject of the subpoena. Any failure 
to obey such order of the court may be punished by such 
court as a contempt thereof. 
(c) BEST PRACTICE GUIDELINES.— 
(1) IN GENERAL.—The Secretary, in consulta-
tion with the heads of other appropriate Federal 
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agencies, should publish and update ‘‘best practices’’ 
guidelines to assist persons in developing and imple-
menting, on a voluntary basis, effective export con-
trol programs in compliance with the regulations 
issued under this subtitle. 
(2) EXPORT COMPLIANCE PROGRAM.—The im-
plementation by a person of an effective export com-
pliance program and a high quality overall export 
compliance effort by a person should ordinarily be 
given weight as mitigating factors in a civil penalty 
action against the person under this subtitle. 
(d) REFERENCE TO ENFORCEMENT.—For purposes 
of this section, a reference to the enforcement of, or a vio-
lation of, this subtitle includes a reference to the enforce-
ment or a violation of any regulation, order, license or 
other authorization issued pursuant to this subtitle. 
(e) IMMUNITY.—A person shall not be excused from 
complying with any requirements under this section be-
cause of the person’s privilege against self-incrimination, 
but the immunity provisions of section 6002 of title 18, 
United States Code, shall apply with respect to any indi-
vidual who specifically claims such privilege. 
(f) CONFIDENTIALITY OF INFORMATION.— 
(1) EXEMPTIONS FROM DISCLOSURE.— 
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