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The Sensors and Instrumenta0on Technical Advisory Commi8ee (SITAC)

SPIE Photonics West February 1, 2017

Agenda

OPEN SESSION •  Welcome and Introduc0ons (ST) •  Remarks and Sta0s0cs from the Bureau of Industry and Management (CC) •  USML CAT XII Final Rule – High Level Changes (MB) •  Specially Designed Defini0ons (MB) •  Commerce Control List Final Rule – High Level Changes (MB) •  No0ce Of Inquiry – BIS (MB) •  No0ce of Inquiry – DDTC (CC) •  MOFCOM Import Cer0ficates (MB) •  Wassenaar Arrangement – Proposals (MJ) •  Working Groups (JD) •  Open Session Adjourns (ST)

CLOSED SESSION

2 2/1/17

Remarks and Sta0s0cs

2/1/17 3


2/1/17 4


2/1/17 5


2/1/17 6

7

US Muni(ons List (USML) Category XII: Final Rule

2/1/17

USML Category XII

•  High-‐level changes – Use of “specially designed” for many entries rather than specific parameters or performance capability

–  Introduc0on of “specially designed for a military end user” for certain entries

– Movement of most parts and components within Cat XII to XII(e)

–  Removal of text carving out see-‐through rule from XII(c) and XII(e)

–  Increased clarity that technology and socware jurisdic0on follow the commodity

8 2/1/17

“Specially Designed for a Military End User” •  Seven entries in USML Category XII use the language, “specially

designed for a military end user” –  Applies only to XII(b)(6), (c)(1)(iii), (c)(3), (c)(4)(ii), (c)(5), (c)(6)(viii)(b),

and (c)(7)(ii) –  Applica0on of this control text differs from the normal use of specially

designed (i.e., specially designed for a defense ar0cle) •  The Note to Cat XII describes how to apply this standard

–  Apply paragraph (a)(1) of “specially designed” for the catch and the defini0on of “military end user” in the Note to Cat XII

–  Only available releases: •  1) The item was developed for use by both military and non-‐military end users •  2) The item was developed for no specific end user

–  Contemporaneous documenta0on of design intent is required for those releases

–  If an item originally developed for a military end user has transi0oned to normal commercial use, then one may submit a CJ request to determine if the item should remain on the USML

9 2/1/17

Defini0on of “Specially Designed”

ITAR paragraph (a) catches

10

(a)(1) Catches any item that, as a result of “development,” has proper0es peculiarly responsible for achieving or exceeding the performance levels, characteris0cs, or func0ons in the relevant USML paragraph

(a)(2) Catches any part, component, accessory, or a8achment that is for use in or with a defense ar0cle

2/1/17

Defini0on of “Specially Designed”

ITAR paragraph (b) releases

11

Ini(al ques(ons for releases of parts, components, accessories, or aCachments

Relevant paragraph (b) release

Was it iden0fied in a Commodity Jurisdic0on (CJ) determina0on as being subject to the EAR?

If yes, see (b)(1) Note: Also will need to review the CJ in ques5on.

Is it a fastener (e.g., screw, bolt, nut, nut plate, stud, insert, clip, rivet, pin), washer, spacer, insulator, grommet, bushing, spring, wire, or solder?

If yes, see (b)(2)

Is it being used in or with an item in “produc0on” that is not on the USML (i.e., a commercial or dual-‐use item)?

If yes, see (b)(3)

Was or is it being developed for use in or with items on the USML and for items not on the USML?

If yes, see (b)(4). Note: Requires documenta5on from development.

Is it a general purpose commodity or socware (meaning not for par0cular commodity or type of commodity)?

If yes, see (b)(5) Note: Requires documenta5on from development.

2/1/17

USML Category XII •  Entries for developmental items funded by DoD

–  XII(b)(7): developmental lasers or laser systems –  XII(c)(10): developmental electro-‐op0cal, infrared, or terahertz systems

–  XII(d)(6): developmental guidance or naviga0on systems –  XII(e)(24): developmental IITs, FPAs, ROICs, accelerometers, gyroscopes, angular rate sensors, and IMUs

•  Developmental entries do not control: –  Items in produc0on; –  Items determined to be subject to the EAR via a CJ; or –  Items iden0fied in the relevant DoD contract or other funding authoriza0on as being developed for both civil and military applica0ons

•  Developmental entries do not apply to contracts dated before October 12, 2017

12 2/1/17

13

Commerce Control List (CCL) Category 6: Final Rule

2/1/17

CCL Category 6 High Level Changes for Dual-‐Use Commodi0es •  6A002: Op0cal sensors, etc.

–  Removal of STA and APR (paragraphs (a) and (b)) eligibility for all items in 6A002 –  Added to 0A919 and § 744.9

•  6A003: Cameras –  All items in ECCN ineligible for APR paragraph (a); certain items ineligible for APR

paragraph (b) –  All items in ECCN added to 0A919 and § 744.9 –  No changes to Reasons for Control or authoriza0ons in § 742.6

•  6A990: Read-‐Out Integrated Circuits (ROICs) –  Scope of ECCN expanded to ROICs specially designed for 6A002.a.3 FPAs, but new civil

automo0ve carve out added (same changes apply to related socware and technology) –  Removal of STA and APR (paragraphs (a) and (b)) eligibility, but inclusion of LVS

eligibility ($500) –  Added to 0A919 and § 744.9

•  6A993.a: 9 Hz cameras –  Added to 0A919 and § 744.9

14 2/1/17

CCL Category 6 Changes Dual-‐Use Socware and Technology

•  Expanded scope of controls on socware and technology related to infrared detec0on – Modified 6D991: “Socware,” n.e.s., “specially designed” for the “development,” “produc0on,” or “use” of 6A002, 6A003, 6A990, 6A991, 6A996, 6A997, or 6A998.

–  Created 0E987: “Technology” “required” for the “development,” or “produc0on” of commodi0es controlled by 0A987 items that incorporate a focal plane array or image intensifier tube.

15 2/1/17

Addi0onal Dual-‐Use Changes

•  License applica0ons will be reviewed with a presump0on of denial when des0ned to Country Group D:5 for the following dual-‐use technology: – 6E001 or 6E002 technology for the development or produc0on of FPAs or IITs described in 6A002

– 6E990 technology for the development or produc0on of ROICs described in 6A990

•  Specific controls related to certain QRS-‐11 sensors removed

16 2/1/17

17

No(ces of Inquiry: Category XII US Muni(ons List (USML) and

Commerce Companion Proposals

2/1/17

Submipng Public Comments

•  Don’t rely on someone else to submit comments if the proposals affect your organiza0on

•  Structure comments so that the agencies can follow which proposals are being addressed

•  Support asser0ons with evidence, if possible –  If ci0ng foreign availability of products, provide names of companies and products

–  If ci0ng compe00ve disadvantage, provide es0mate on the financial impact or cite trends

•  Address the proposals you support and the proposals you do not support

18

No(ce of Inquiry: Commerce Companion Proposals

19 2/1/17

Sec0on 734.4 “De Minimis U.S. Content” for

0A919 Foreign Military Commodi0es

•  As of December 31, 2016. Consistent with the February 19, 2016 proposed rule, the October 12 final rule broadened the scope of ECCN 0A919 to include incorporated infrared detec0on items in ECCNs 6A002, 6A003, 6A990, or 6A993.a (having a maximum frame rate equal to or less than 9 Hz and thus mee0ng the criterion of Note 3.a to 6A003.b.4) and limited the des0na0ons subject to the no de minimis provision to Group D:5 countries.

Sec0on 734.4 “De Minimis U.S. Content” for

0A919 Foreign Military Commodi0es

•  Poten0al Revision. Expand the des0na0ons subject to the no de minimis provision to “any des0na0on, except Canada,” for non-‐U.S. military commodi0es (0A919) to those that incorporate any of the following: (1) Image intensifier tubes having a figure of merit (FOM) exceeding 1,400 lp/mm (line pairs per millimeter); (2) an infrared focal plane array (FPA) with format exceeding 75,000 detector elements, or (3) related infrared focal plane array read-‐out integrated circuit having more than 75,000 unit cells. FOM would be defined as the product of the tube's signal to noise ra0o (SNR) and limi0ng resolu0on (FOM = SNR (unitless) × Limi0ng Resolu0on (lp/mm) and is a term of art regularly associated with exports of image intensifier tubes and related devices subject to the ITAR.

Strategy on Possible Comments

•  Is this a workable de minimis provision, or is it too complex?

•  Should 0A919 items incorpora0ng infrared detec0on content previously described warrant stricter treatment than 0A919 items incorpora0ng purely military content subject to the EAR (600 series items)?

22

Sec0on 740.20, License Excep0on Strategic Trade Authoriza0on (STA) for Certain Night Vision Equipment To Be Embedded

•  As of December 31, 2016. Consistent with the February 19, 2016 proposed rule, the October 12 final rule expanded that restric0on to include all items in the following ECCNs: 0E987; 6A002; 6A990; 6D002 (for the use of commodi0es controlled under ECCN 6A002.b); 6D003.c; 6D991 (for the development, produc0on, or use of commodi0es controlled under ECCNs 6A002, 6A003, or 6A990); 6E001 (for the development of commodi0es controlled under ECCNs 6A002 or 6A003); 6E002 (for the produc0on of commodi0es controlled under ECCNs 6A002 or 6A003); and 6E990.

Sec0on 740.20, License Excep0on Strategic Trade Authoriza0on (STA) for Certain Night Vision Equipment To Be Embedded

•  Poten0al Revision. Remove STA eligibility for infrared imaging cameras controlled in ECCN 6A003.b.4 that:

•  (i) Are being exported to be embedded into a higher level assembly, system or equipment; and

•  (ii) incorporate two dimensional FPAs specified in either ECCN 6A002.a.3.c or ECCN 6A002.a.3.f, and that have more than 328,000 detector elements.


•  Is condi0oning use of STA on end use appropriate or workable?

•  If your organiza0on has used STA for these types of 6A003 cameras, how would this proposal affect your opera0ons? Would it cause (or worsen) a compe00ve disadvantage?

25

ECCN 6A993

•  As of December 31, 2016. Consistent with those proposed rules, the October 12 final rule expanded the license requirement to those cameras when des0ned to a military end-‐user or to be incorporated into a military commodity.

ECCN 6A993

•  Poten0al Revision. Require a license for the export, reexport or in-‐country transfer, to or in a D:5 country, of cameras that meet the criteria of Note 3 to ECCN 6A003.b.4 and incorporate a microbolometer FPA with greater than 75,000 detector elements and that are being exported to be incorporated into a higher level assembly, equipment or system.


•  Is this necessary in light of the license requirement for 9 Hz cameras in § 744.9?

•  Is there foreign availability of 9 Hz cameras produced in D:5 countries (e.g., China) as well as those produced in any country outside the U.S.?

•  Will this lead to (or worsen) a compe00ve disadvantage for U.S. companies?

28

Supplement No. 1 to Part 774 (Commerce Control List) ECCN 3C001

•  Current control status. ECCN 3C001 has NS Column 2 and AT Column 1 controls. ECCN 3C001 is not eligible for License Excep0ons GBS and CIV. Neither the May 5, 2015 nor the February 19, 2016 proposed rules included changes to the control status of ECCN 3C001.

Supplement No. 1 to Part 774 (Commerce Control List) ECCN 3C001

•  Poten0al Revision. Add RS Column 1 controls (worldwide except Canada) to items in 3C001 that are III-‐V compounds of gallium or indium, and aluminum, an0mony, or arsenic, forming a strained layer superlapce having a photoluminescence signal maxima origina0ng from the superlapce in the wavelength range exceeding 3,000 nm but not exceeding 15,000 nm at a temperature less than 200 K. License review policy for RS:1 controls are found in § 742.6 of the EAR.

Supplement No. 1 to Part 774 (Commerce Control List) ECCN 3E001

•  Current control status. ECCN 3E001 has the following controls: NS Column 1 applies to “technology” for items controlled by 3A001, 3A002, 3A003, 3B001, 3B002, or 3C001 to 3C006; MT Column 1 applies to “technology” for equipment controlled by 3A001 or 3A101 for MT Reasons; NP Column 1 applies to “technology” for equipment controlled by 3A001, 3A201, or 3A225 to 3A234 for NP reasons; and AT Column 1 applies to the en0re entry.

Supplement No. 1 to Part 774 (Commerce Control List) ECCN 3E001

•  Poten0al Revision. Add RS Column 1 to “technology” for items in 3C001 that are III-‐V compounds of gallium or indium, and aluminum, an0mony, or arsenic forming a strained layer superlapce having a photoluminescence signal maxima origina0ng from the superlapce in the wavelength range exceeding 3,000 nm but not exceeding 15,000 nm at a temperature less than 200 K. RS Column 1 controls apply to all des0na0ons except Canada. License review policy for RS:1 controls are found in § 742.6 of the EAR. Note that License Excep0ons CIV and TSR would no longer be eligible for these specified items in ECCN 3E001, because of the addi0on of RS Column 1 controls.


•  Is this control necessary and properly craced? •  If necessary, should the U.S. establish a unilateral control first or try to propose a mul0lateral control under the Wassenaar Arrangement?

•  Is there foreign availability for such materials and related technology outside of member states of the Wassenaar Arrangement?

33

ECCNs 6E001, 6E002 and 6E990

•  Prior to December 31, 2016 and current control status. The May 5, 2015 proposed rule included a new worldwide RS control for commodi0es controlled under ECCNs 6A002 and 6A990, as well as for related socware and technology controlled under 6D002, 6D003.c, 6D991, 6E001, and 6E002. The proposed worldwide RS control would have introduced a new license requirement for such items for exports or reexports to Canada. Acer receiving extensive public comments opposing the inclusion of the worldwide RS control, the February 19, 2016 proposed rule did not retain that proposal, and as such, the final rule maintained the current controls in place for such items.

ECCNs 6E001, 6E002 and 6E990

•  Proposed Revision. Add a worldwide RS control for specific technology related to components controlled under ECCN 6A002 or 6A990, as follows:

•  (i) 6E001 development technology or 6E002 produc0on technology for image intensifier tubes controlled in 6A002.a.2.a or 6A002.a.2.b and their specially designed components controlled in 6A002.a.2.c, except those tubes having a mul0alkali photocathode.

•  (ii) 6E001 development technology or 6E002 produc0on technology for microbolometer infrared focal plane arrays controlled in 6A002.a.3.f and two-‐dimensional infrared focal plane arrays controlled in 6A002.a.3.c.

•  (iii) 6E990 development and produc0on technology for read-‐out integrated circuits specially designed for those focal plane arrays specified in ii, above (i.e., microbolometer infrared focal plane arrays controlled in 6A002.a.3.f and two-‐dimensional infrared focal plane arrays controlled in 6A002.a.3.c).


•  Should this technology be controlled to Canada? •  Will this proposal help or harm the U.S. and Canadian industrial bases?

•  Will this proposal help or harm North American security coopera0on?

•  Will this proposal influence a Canadian company’s decision on whether to source their FPAs or ROICs from a U.S. company or from a non-‐U.S. company?

36

37

No(ce of Inquiry: Category XII US Muni(ons List (USML)

2/1/17


•  Address whether the proposed language is clear and understandable

•  Would the proposed parameters capture any: –  U.S. or non-‐U.S. item currently in normal commercial use? –  U.S. or non-‐U.S. commercial development within the next five years?

•  Are the proposed parameters specific to military capability or use, or are they also important to commercial use and development?

•  Are the proposed parameters be8er or worse than exis0ng entries (including those that use “specially designed”)?

38

CHANGES TO SPECIALLY DESIGNED FOR MILITARY END-‐USER ENTRIES 1. (b)(6) Light detec0on and ranging (LIDAR), laser detec0on and ranging (LADAR), or range-‐gated systems, specially designed for a military end user.

2. (c)(1) Binoculars, bioculars, monoculars, goggles, or head or helmet-‐mounted imaging systems (including video-‐based ar0cles having a separate near-‐to-‐eye display), as follows:

(iii) Having an infrared focal plane array or infrared imaging camera, and specially designed for a military end user.

3. (c)(3) Electro-‐op0cal reconnaissance, surveillance, target detec0on, or target acquisi0on systems, specially designed for ar0cles in this subchapter or specially designed for a military end user.

4. (c)(4) Infrared search and track (IRST) systems having one of the following: (ii) Specially designed for a military end user.

CHANGES TO SPECIALLY DESIGNED FOR MILITARY END USER ENTRIES

5. (c)(5) Distributed aperture systems having a peak response wavelength exceeding 710 nm specially designed for ar0cles in this subchapter or specially designed for a military end user.

6. (c)(6) Infrared imaging systems, as follows: (viii) Gimbaled infrared systems, as follows: (B) Specially designed for ar0cles in this subchapter or specially designed for a military end user

7. (c)(7) Terahertz imaging systems as follows: (ii) Specially designed for a military end user.

CHANGES TO USML CONTROL PARAMETERS

Addi0onal USML Items Infrared imaging systems, as follows: Mobile reconnaissance, mobile scout, or mobile surveillance systems, that provide real-‐0me target geoloca0on at ranges greater than 3 km (e.g., LRAS3, CIV, HTI, SeeSpot, MMS). Infrared focal plane arrays or dewars specially designed for op0cal augmenta0on reduc0on. Infrared focal plane array dewar assemblies with peak response in the wavelength range greater than 3,000 nm but not exceeding 14,000 nm, and having a variable aperture mechanism. Analog readout integrated circuits specially designed for ar0cles in this subchapter. Free-‐space laser communica0on systems specially designed for ar0cles in this subchapter.

Binoculars, bioculars, monoculars, goggles, or head or helmet-‐mounted imaging systems (including video-‐based ar0cles having a separate near-‐to-‐eye display), having any of the following:

•  (i) A dynamically gain modulated image intensifier tube incorpora0ng a GaAs, GaInAs, or other III-‐V semiconductor photocathode with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm;

•  (ii) An image intensifier tube incorpora0ng a photocathode with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm and incorpora0ng a focal plane array in the tube vacuum space;

Binoculars, bioculars, monoculars, goggles, or head or helmet-‐mounted imaging systems (including video-‐based ar0cles having a separate near-‐to-‐eye display), having any of the following:

•  (iii) Fusing outputs of mul0ple infrared focal plane arrays each having a peak response at a wavelength greater than 1,000 nm;

•  (iv) An infrared focal plane array with a peak response in the wavelength range exceeding 1,000 nm but not exceeding 2,500 nm with a total noise floor less than 75 electrons at an opera0ng temperature of 300 K; or

•  (v) An infrared focal plane array with a peak response in the wavelength range exceeding 7,500 nm, and a laser illuminator or pointer.

Weapon sights (i.e., with a re0cle), aiming or imaging systems (e.g., clip-‐on), specially designed to mount to a weapon or to withstand weapon shock or recoil, with or without an integrated viewer or display, and also incorpora0ng or specially designed to incorporate any of the following:

(i) An image intensifier tube having a mul0-‐alkali photocathode with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm and a luminous sensi0vity exceeding 350 microamps per lumen;

(ii) An image intensifier tube having a GaAs, GaInAs, or other III-‐V semiconductor photocathode, with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm; or (iii) An image intensifier tube having a photocathode with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm and a focal plane array in the tube vacuum space.

Infrared imaging systems, as follows: Gimbaled infrared systems (e.g., T-‐bar, yoke, ball turrets, or pods), as follows and specially designed parts and components therefor:

(i) Having a root mean square (RMS) stabiliza0on be8er (less) than 25 microradians and incorpora0ng an infrared camera having a peak response at a wavelength exceeding 1,000 nm with an op0cal angular resolu0on (i.e., detector instantaneous field-‐of-‐view) of 25 microradians or less;

(ii) Having an RMS stabiliza0on be8er (less) than 25 microradians for any payload having any dimension of 15 inches or greater; or

(iii) Specially designed for ar0cles in this subchapter or specially designed for a military end user.

Image intensifier tubes having all the following, and specially designed parts and components therefor:

(i) A peak response in the wavelength range exceeding 400 nm but not exceeding 1,050 nm;

(ii) A mul0-‐alkali photocathode with a luminous sensi0vity of 1,300 microamps per lumen or greater; and

(iii) A limi0ng resolu0on of 64 line pairs per millimeter or greater.

Image intensifier tubes having all of the following, and specially designed parts and components therefor:

(i) A peak response in the wavelength range exceeding 400 nm but not exceeding 1,050 nm;

(ii) A GaAs, GaInAs, or other III-‐V compound semiconductor photocathode having a luminous sensi0vity of 1,800 microamps per lumen or greater; and

(iii) A limi0ng resolu0on of 57 line pairs per millimeter or greater.

Image intensifier tubes having all of the following, and specially designed parts and components therefor:

(i) A peak response in the wavelength range exceeding 1,050 nm but not exceeding 2,000 nm; and (ii) A GaAs, GaInAs, or other III-‐V compound semiconductor photocathode having a radiant sensi0vity of 10 milliamps per wa8 or greater.

Infrared focal plane arrays having all of the following: (i) A peak response in the wavelength range exceeding 710 nm but not exceeding 1,100 nm; (ii) A non-‐binned pixel pitch of 10 microns or greater; (iii) More than 1,024 detector elements in any direc0on; and (iv) Total noise of 3 electrons or less at an input light level of 1 millilux, in a binned or non-‐binned opera0ng mode, and measured at an ambient opera0ng temperature of 300 K.

Infrared focal plane arrays having greater than 81,920 but not exceeding 327,680 detector elements, a peak response in the wavelength range 1,100 nm but not exceeding 1,700 nm, and any of the following:

(i) Noise equivalent irradiance less than 829 million photons per cen0meter squared per second; (ii) Readout integrated circuits capable of pulse interval modula0on decoding or pulse repe00on frequency decoding (e.g., an asynchronous detector read out integrated circuit, frame rates windowed or non-‐windowed greater than 2,000 Hz); or (iii) Temperature dependent non-‐uniformity correc0on (e.g., without the use of a temperature stabiliza0on)

Infrared focal plane arrays having greater than 327,680 detector elements, a peak response in the wavelength range exceeding 1,700 nm but not exceeding 3,000 nm, and any of the following:

Readout integrated circuits capable of pulse interval modula0on decoding or pulse repe00on frequency decoding (e.g. an asynchronous detector read out integrated circuit, frame rates windowed or non-‐windowed greater than 2,000 Hz); (ii) A total noise floor less than 75 electrons at an opera0ng temperature of 300 K; or (iii) A detector pitch less than or equal to 20 microns.

Infrared focal plane arrays having an internal quantum efficiency exceeding 10 percent anywhere in the wavelength range exceeding 3,000 nm but not exceeding 7,500 nm and any of the following:

•  (i) A detector pitch less than 12.5 microns; or

•  (ii) More than 1,331,200 detector elements

Infrared focal plane arrays having a peak response in the wavelength range exceeding 7,500 nm but not exceeding 30,000 nm, and all of the following:

(i) A detector element of the photon, not thermal, type; (ii) A detector pitch less than or equal to 30 microns; and (iii) Greater than or equal to 262,144 detector elements.

Infrared focal plane arrays having a peak response in the wavelength range exceeding 7,500 nm but not exceeding 14,000 nm and all of the following:

i) A detector element of the photon, not thermal, type; (ii) Greater than 300 detector elements; and (iii) Time delay integra0on of detector elements

Microbolometer focal plane arrays having an unfiltered response in the wavelength range exceeding 7,500 nm but not exceeding 14,000 nm and any of the following:

(i) Vacuum packaged and specially designed to withstand weapon shock; or (ii) Greater than 328,000 detector elements with a detector pitch less than or equal to 14 microns.

Infrared focal plane arrays specially designed to provide dis0nct outputs corresponding to more than one spectral band, and having all the following:

(i) Mul0ple spectral bands with a photo-‐response in the wavelength range exceeding 1,100 nm but not exceeding 14,000 nm; and (ii) A detector element pitch less than 50 microns.

Digital low-‐light-‐level sensors incorpora0ng a photocathode and a focal plane array within the vacuum space, with a peak response in the wavelength range exceeding 400 nm but not exceeding 2,000 nm, and having any of the following:

(i) A photocathode with a luminous sensi0vity greater than 1,800 microamps per lumen; or (ii) Greater than 2,040,000 focal plane array detector elements.

Digital readout integrated circuits specially designed for focal plane arrays having a peak spectral response in the wavelength band exceeding 1,100 nm but not exceeding 30,000 nm, a digital signal output, and any of the following:

(i) Dynamic range greater than 54 dB; or (ii) Pixel read-‐out rate greater than 540 million bits per second.

NOI Comments Comments must be received no later than March 14, 2017

DDTC (State) No(ce of Inquiry •  Email: [email protected] with the subject line,

“Request for Comments Regarding USML Category XII.” •  Internet: At www.regula0ons.gov, search for this no0ce using its

docket number, DOS-‐2017-‐0002. BIS (Commerce) No(ce of Inquiry •  Email: [email protected] with the Subject Line “RIN

0694-‐XC035” •  Internet: At www.regula0ons.gov, ID for this rule is: BIS-‐2017-‐0001.

Please refer to RIN 0694-‐XC035 in all comments.

60 2/1/17

MOFCOM: End-‐User Statement

748.10 People's Republic of China (PRC) End-‐User Statement. (a)Requirement to obtain document. Unless the provisions of § 748.9(c) or § 748.11(a)(2) apply, a PRC End-‐User Statement is required for license applica0ons including any of the following commodi0es des0ned for the PRC:

(1) Cameras classified under ECCN 6A003 requiring a license to the PRC for any reason, and the value of such cameras exceeds $5,000; (2) Computers requiring a license to the PRC for any reason, regardless of the value of the computers; or (3) Any commodity(ies) requiring a license to the PRC for any reason on the Commerce Control List, and the total value of such commodity(ies) requiring a license exceeds $50,000.

61 2/1/17

Wassenaar Arrangement Par0cipa0ng States

•  Argen0na •  Australia •  Austria •  Belgium •  Bulgaria •  Canada •  Croa0a •  Czech Republic •  Denmark •  Estonia

•  Luxembourg •  Malta •  Mexico •  Netherlands •  New Zealand •  Norway •  Poland •  Portugal •  Republic of Korea •  Romania

•  Russian Federa0on •  Slovakia •  Slovenia •  South Africa •  Spain •  Sweden •  Switzerland •  Turkey •  Ukraine •  United Kingdom •  USA

•  Finland •  France •  Germany •  Greece •  Hungary •  Ireland •  Italy •  Japan •  Latvia •  Lithuania

Par(cipa(ng States control all items set forth in the List of Dual-‐Use Goods and Technologies and Muni(ons List, with the objec(ve of preven(ng unauthorized transfers or re-‐transfers of those items.

Wassenaar Proposal: Example

63 2/1/17

Wassenaar Proposal: Example

64 2/1/17

US Proposal Schedule

•  July ─ October –  TACs submit proposals & non-‐papers (NPs) to DoC for considera0on for submission the following year

•  November –  DoC, DoS, DoD & DHS exchange proposals &NPs

•  November ─ January –  Interagency discussions of proposals & NPs –  TACs tasked to review proposals

•  February –  Finalize agreed proposals & non-‐papers –  Escalate selected unresolved issues to management

US Proposal Schedule (cont’d)

•  February/March –  Submit proposals to WA (NPs can be submi8ed at any 0me throughout the year)

•  March ─ April –  Interagency & TACs review foreign proposals –  Prepare ini0al US posi0ons on issues

•  April ─ September –  Par0cipate in scheduled WA mee0ngs –  Issue and react to revised proposals and counterproposals, and prepare final US posi0ons

•  December – WA Plenary votes on recommended changes

WA Experts Group Schedule

•  Spring mee0ng (typically April) –  Introduce and discuss na0onal proposals for List changes and non-‐papers for the year

•  Summer intersessional (typically June) –  Perform detailed technical discussions on the most complicated/involved topics

–  Technical experts typically accompany delega0ons •  Fall mee0ng (typically September) –  Con0nue discussions and finalize List change recommenda0ons for the year

–  Recommend Plenary mandate topics for the following year

Pending Proposals

•  Mul0-‐mode vs single-‐mode lasers •  Zinc selenide (ZnSe) or zinc sulfide (ZnS): Technology and Produc0on Equipment Controls

•  ROIC for Focal Plane Arrays Proposal Poten0al SITAC/WG proposals: •  Cryocoolers •  Op0cal Parametric Oscilla0on (OPO) Lasers •  1-‐d InGaAs linear arrays and Line Scan Cameras

68 2/1/17

Working Groups February 2, 2017 ~ Photonics West

Detectors & Cameras Lasers Lenses & Op(cs 10:00am-‐11:00am 11:30am-‐12:30pm 1:30pm-‐2:30pm

Uncooled Fiber Cooled Diode SWIR High Powered Cryocoolers ROICs Image Intensifiers

69 2/1/17

the$sensors$and$instrumentaon$ … relations/sitac... · 2017. 2. 6. ·...

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