Amendment to the International Traffic in Arms Regulations: Corrections, Clarifications, and Movement of Definitions, 61226-61236 [2014-23792]
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Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
meet a listing, we will determine whether
your impairment(s) medically equals a
listing. (See § 416.926 of this chapter.)
Genitourinary disorders may be associated
with disorders in other body systems, and we
consider the combined effects of multiple
impairments when we determine whether
they medically equal a listing. If your
impairment(s) does not medically equal a
listing, we will also consider whether it
functionally equals the listings. (See
§ 416.926a of this chapter.) We use the rules
in § 416.994a of this chapter when we decide
whether you continue to be disabled.
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106.01 Category of Impairments,
Genitourinary Disorders
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[FR Doc. 2014–24114 Filed 10–9–14; 8:45 am]
BILLING CODE 4191–02–P
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22 CFR Parts 120, 121, 123, 126, and
130
[Public Notice 8898]
RIN 1400–AD64
Amendment to the International Traffic
in Arms Regulations: Corrections,
Clarifications, and Movement of
Definitions
Department of State.
Final rule.
AGENCY:
ACTION:
In an effort to streamline,
simplify and clarify the recent revisions
to the International Traffic in Arms
Regulations (ITAR) made pursuant to
the President’s Export Control Reform
(ECR) initiative, the Department of State
is amending the ITAR as part of the
Department of State’s retrospective plan
under Executive Order 13563 completed
on August 17, 2011.
DATES: This rule is effective October 10,
2014.
FOR FURTHER INFORMATION CONTACT: Mr.
C. Edward Peartree, Director, Office of
Defense Trade Controls Policy,
Department of State, telephone (202)
663–2792; email DDTCResponseTeam@
state.gov. ATTN: Regulatory Change,
Omnibus Clarifications. The Department
of State’s full retrospective plan can be
accessed at https://www.state.gov/
documents/organization/181028.pdf.
SUPPLEMENTARY INFORMATION:
SUMMARY:
106.03 Chronic kidney disease, with
chronic hemodialysis or peritoneal dialysis
(see 106.00C1).
106.04 Chronic kidney disease, with
kidney transplant. Consider under a
disability for 1 year following the transplant;
thereafter, evaluate the residual impairment
(see 106.00C2).
106.05 Chronic kidney disease, with
impairment of kidney function, with one of
the following documented on at least two
occasions at least 90 days apart during a
consecutive 12-month period:
A. Serum creatinine of 3 mg/dL or greater;
OR
B. Creatinine clearance of 30 ml/min/
1.73m2 or less;
OR
C. Estimated glomerular filtration rate
(eGFR) of 30 ml/min/1.73m2 or less.
106.06 Nephrotic syndrome, with A
and B:
A. Laboratory findings as described in 1 or
2, documented on at least two occasions at
least 90 days apart during a consecutive 12month period:
1. Serum albumin of 3.0 g/dL or less, or
2. Proteinuria of 40 mg/m2/hr or greater;
AND
B. Anasarca (see 106.00C3) persisting for at
least 90 days despite prescribed treatment.
106.07 Congenital genitourinary disorder
(see 106.00C4) requiring urologic surgical
procedures at least three times in a
consecutive 12-month period, with at least 30
days between procedures. Consider under a
disability for 1 year following the date of the
last surgery; thereafter, evaluate the residual
impairment.
106.09 Complications of chronic kidney
disease (see 106.00C5) requiring at least three
hospitalizations within a consecutive 12month period and occurring at least 30 days
apart. Each hospitalization must last at least
48 hours, including hours in a hospital
emergency department immediately before
the hospitalization.
*
DEPARTMENT OF STATE
Changes in this Rule
The following changes are made to
the ITAR with this final rule: (1)
Definitions previously provided in
§§ 121.3, 121.4, 121.14, and 121.15 are
removed from these sections and
incorporated into U.S. Munitions List
Categories VIII, VII, XX, and VI,
respectively; (2) USML Category II is
amended to clarify that grenade
launchers are controlled in paragraph
(a) as a result of the revisions previously
made to USML Category IV pursuant to
Export Control Reform; (3) USML
Category IX is amended to enumerate
military training not directly related to
a defense article, which is a controlled
activity pursuant to ITAR § 120.9(a)(3).
This change is required in order to
provide exporters a USML category to
cite for military training when not
related to a defense article; (4) The note
to paragraph (b) in the specially
designed definition is revised to clarify
that catch-all controls are only those
that generically control parts,
components, accessories, and
attachments for a specified article and
do not identify a specific specially
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designed part, component, accessory, or
attachment. This revision is intended to
help ensure that exporters properly
apply ITAR § 120.41 when classifying
their article and clarify that when a
specific article is described on the
USML, it is enumerated and is not part
of a catch-all; (5) The definitions
previously provided in ITAR § 121.8 are
removed to new ITAR § 120.45; (6) The
policy with regard to when forgings,
castings, and machined bodies are
controlled as defense articles is removed
from ITAR § 121.10 and placed in ITAR
§ 120.6; (7) The threshold for lithiumion batteries controlled in Category
VIII(h)(13) is increased from greater than
28 volts of direct current (VDC) nominal
to greater than 38 VDC nominal, so as
not to control on the USML such
batteries in normal commercial aviation
use; (8) A control for specially designed
parts, components, accessories, and
attachments is added to the helmets
controlled in Category VIII(h)(15); (9)
The phrase ‘‘electric-generating’’ is
added to the control describing fuel
cells in Category VIII(h)(23) to clarify
that fuel bladders and fuel tanks are not
within this control; (10) The word
‘‘enumerated’’ is replaced with the word
‘‘described’’ in the paragraphs of the
USML for technical data and defense
services directly related to the defense
articles in that Category to clarify that
the controls on technical data and
defense services apply even if the
defense article is described in a catchall; (11) Conforming changes are made
to citations throughout these sections;
and (12) Minor reference corrections are
made to Supplement No. 1 to Part 126,
including moving the footnote to the
entire Supplement from the end to the
opening to better clarify if an item is
excluded from eligibility in any row, it
is excluded from that exemption, even
if also described in another row that
contains a description that may also
include that item.
Regulatory Analysis and Notices
Administrative Procedure Act
The Department of State is of the
opinion that controlling the import and
export of defense articles and services is
a foreign affairs function of the United
States Government and that rules
implementing this function are exempt
from 5 U.S.C. 553 and 554.
Regulatory Flexibility Act
Since the Department is of the
opinion that this rule is exempt from the
provisions of 5 U.S.C. 553, there is no
requirement for an analysis under the
Regulatory Flexibility Act.
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Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
Unfunded Mandates Reform Act of 1995
This rulemaking does not involve a
mandate that will result in the
expenditure by State, local, and tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
in any year and it will not significantly
or uniquely affect small governments.
Therefore, no actions were deemed
necessary under the provisions of the
Unfunded Mandates Reform Act of
1995.
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Small Business Regulatory Enforcement
Fairness Act of 1996
For purposes of the Small Business
Regulatory Enforcement Fairness Act of
1996, a ‘‘major’’ rule is a rule that the
Administrator of the OMB Office of
Information and Regulatory Affairs finds
has resulted or is likely to result in (1)
an annual effect on the economy of
$100,000,000 or more; (2) a major
increase in costs or prices for
consumers, individual industries,
federal, state, or local government
agencies, or geographic regions; or (3)
significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic and
foreign markets.
The Department does not believe this
rulemaking will have an annual effect
on the economy of $100,000,000 or
more. Articles that are being removed
from coverage in the U.S. Munitions List
categories contained in this rule will
still require licensing for export, but
from the Department of Commerce.
While the licensing regime of the
Department of Commerce is more
flexible than that of the Department of
State, it is not expected that the change
in jurisdiction of these articles will
result in an export difference of
$100,000,000 or more.
The Department also does not believe
that this rulemaking will result in a
major increase in costs or prices for
consumers, individual industries,
federal, state, or local government
agencies, or geographic regions, or have
significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the
ability of United States-based
enterprises to compete with foreignbased enterprises in domestic and
foreign markets.
distribution of power and
responsibilities among the various
levels of government. Therefore, in
accordance with Executive Order 13132,
it is determined that this rulemaking
does not have sufficient federalism
implications to require consultations or
warrant the preparation of a federalism
summary impact statement. The
regulations implementing Executive
Order 12372 regarding
intergovernmental consultation on
Federal programs and activities do not
apply to this rulemaking.
Executive Orders 12866 and 13563
Executive Orders 12866 and 13563
direct agencies to assess costs and
benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributed impacts, and equity).
These executive orders stress the
importance of quantifying both costs
and benefits, of reducing costs, of
harmonizing rules, and of promoting
flexibility. This rulemaking has been
designated a ‘‘significant regulatory
action,’’ although not economically
significant, under section 3(f) of
Executive Order 12866. Accordingly,
this rule has been reviewed by the
Office of Management and Budget
(OMB).
Executive Order 12988
The Department of State has reviewed
this rulemaking in light of sections 3(a)
and 3(b)(2) of Executive Order 12988 to
eliminate ambiguity, minimize
litigation, establish clear legal
standards, and reduce burden.
Executive Order 13175
The Department of State has
determined that this rulemaking will
not have tribal implications, will not
impose substantial direct compliance
costs on Indian tribal governments, and
will not preempt tribal law.
Accordingly, the requirements of
Executive Order 13175 do not apply to
this rulemaking.
61227
22 CFR Part 123
Arms and munitions, Exports,
Reporting and recordkeeping
requirements.
22 CFR Part 126
Arms and munitions, Exports.
22 CFR Part 130
Arms and munitions, Campaign
funds, Confidential business
information, Exports, Reporting and
recordkeeping requirements.
Accordingly, the Department of State
amends 22 CFR chapter I as follows:
PART 120—PURPOSE AND
DEFINITIONS
1. The authority citation for part 120
continues to read as follows:
■
Authority: Secs. 2, 38, and 71, Pub. L. 90–
629, 90 Stat. 744 (22 U.S.C. 2752, 2778,
2797); 22 U.S.C. 2794; 22 U.S.C. 2651a; Pub.
L. 105–261, 112 Stat. 1920; Pub. L. 111–266;
Section 1261, Pub. L. 112–239; E.O. 13637,
78 FR 16129.
2. Section 120.6 is revised to read as
follows:
■
§ 120.6
Defense article.
Defense article means any item or
technical data designated in § 121.1 of
this subchapter. The policy described in
§ 120.3 is applicable to designations of
additional items. This term includes
technical data recorded or stored in any
physical form, models, mockups or
other items that reveal technical data
directly relating to items designated in
§ 121.1 of this subchapter. It also
includes forgings, castings, and other
unfinished products, such as extrusions
and machined bodies, that have reached
a stage in manufacturing where they are
clearly identifiable by mechanical
properties, material composition,
geometry, or function as defense
articles. It does not include basic
marketing information on function or
purpose or general system descriptions.
■ 3. Section 120.10 is amended by
revising paragraph (a)(4) to read as
follows:
§ 120.10
Technical data.
Executive Orders 12372 and 13132
List of Subjects
This rulemaking will not have
substantial direct effects on the States,
on the relationship between the national
government and the States, or on the
(a) * * *
(4) Software (see § 120.45(f)) directly
related to defense articles.
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■ 4. Section 120.41 is amended by
revising paragraph (a) introductory text,
paragraph (a)(2), and the note to
paragraph (b), to read as follows:
22 CFR Parts 120 and 121
§ 120.41
Arms and munitions, Classified
information, Exports.
(a) Except for commodities or
software described in paragraph (b) of
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Paperwork Reduction Act
This rule does not impose or revise
any reporting or recordkeeping
requirements subject to the Paperwork
Reduction Act, 44 U.S.C. Chapter 35.
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Specially designed.
10OCR1
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Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
this section, a commodity or software
(see § 120.45(f)) is specially designed if
it:
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(2) Is a part (see § 120.45 (d)),
component (see § 120.45(b)), accessory
(see § 120.45(c)), attachment (see
§ 120.45(c)), or software for use in or
with a defense article.
*
*
*
*
*
Note to paragraph (b): The term
‘‘enumerated’’ refers to any article on
the U.S. Munitions List or the
Commerce Control List and not in a
‘‘catch-all’’ control. A ‘‘catch-all’’
control is one that does not refer to
specific types of parts, components,
accessories, or attachments, but rather
controls unspecified parts, components,
accessories, or attachments only if they
were specially designed for an
enumerated item.
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■ 5. Section 120.45 is added to read as
follows:
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§ 120.45 End-items, components,
accessories, attachments, parts, firmware,
software, systems, and equipment.
(a) An end-item is a system,
equipment, or an assembled article
ready for its intended use. Only
ammunition or fuel or other energy
source is required to place it in an
operating state.
(b) A component is an item that is
useful only when used in conjunction
with an end-item. A major component
includes any assembled element that
forms a portion of an end-item without
which the end-item is inoperable. A
minor component includes any
assembled element of a major
component.
(c) Accessories and attachments are
associated articles for any component,
equipment, system, or end-item, and
which are not necessary for its
operation, but which enhance its
usefulness or effectiveness.
(d) A part is any single unassembled
element of a major or a minor
component, accessory, or attachment
which is not normally subject to
disassembly without the destruction or
the impairment of designed use.
(e) Firmware and any related unique
support tools (such as computers,
linkers, editors, test case generators,
diagnostic checkers, library of functions,
and system test diagnostics) directly
related to equipment or systems covered
under any category of the U.S.
Munitions List are considered as part of
the end-item or component. Firmware
includes but is not limited to circuits
into which software has been
programmed.
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(f) Software includes but is not
limited to the system functional design,
logic flow, algorithms, application
programs, operating systems, and
support software for design,
implementation, test, operation,
diagnosis and repair. A person who
intends to export only software should,
unless it is specifically enumerated in
§ 121.1 of this subchapter (e.g., USML
Category XIII(b)), apply for a technical
data license pursuant to part 125 of this
subchapter.
(g) A system is a combination of parts,
components, accessories, attachments,
firmware, software, equipment, or enditems that operate together to perform a
function.
Note to paragraph (g): The industrial
standards established by INCOSE and
NASA provide examples for when
commodities and software operate
together to perform a function as a
system. References to these standards
are included in this note to provide
examples for when commodities or
software operate together to perform a
function as a system. See the INCOSE
standards for what constitutes a system
at: https://g2sebok.incose.org/app/mss/
asset.cfm?ID=INCOSE%20G2SEBOK
%202.00&ST=F, and in INCOSE SE
Handbook v3.1 2007; ISO/IEC
15288:2008. See the NASA standards for
examples of what constitutes a system
in NASA SE Handbook SP–2007–6105
Rev 1.
(h) Equipment is a combination of
parts, components, accessories,
attachments, firmware, or software that
operate together to perform a function
of, as, or for an end-item or system.
Equipment may be a subset of an enditem based on the characteristics of the
equipment. Equipment that meets the
definition of an end-item is an end-item.
Equipment that does not meet the
definition of an end-item is a
component, accessory, attachment,
firmware, or software.
PART 121—THE UNITED STATES
MUNITIONS LIST
6. The authority citation for part 121
continues to read as follows:
■
Authority: Secs. 2, 38, and 71, Pub. L. 90–
629, 90 Stat. 744 (22 U.S.C. 2752, 2778,
2797); 22 U.S.C. 2651a; Pub. L. 105–261, 112
Stat. 1920; Section 1261, Pub. L. 112–239;
E.O. 13637, 78 FR 16129.
■
7. Section 121.1 is amended by:
a. Revising the section heading;
b. Revising the final sentence of
paragraph (b)(2);
■ c. Removing the word ‘‘enumerated’’
and adding in its place the word
‘‘described’’ in two places in paragraph
■
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(b)(2), in two places in paragraph (i) of
Category I, in two places in paragraph
(k) of Category II, in two places in
paragraph (e) of Category III, in one
place in paragraph (i) of Category IV, in
one place in Note 1 to paragraph (i) of
Category VI, in one place in Note to
paragraph (h)(1) of Category VIII, in one
place in paragraph (i) of Category VIII,
in one place in paragraph (e) of Category
IX, in one place in paragraph (e) of
Category X, in two places in paragraph
(d) of Category XI, in two places in
paragraph (f) of Category XII, in two
places in paragraph (l) of Category XIII,
in two places in paragraph (m) of
Category XIV, in two places in
paragraph (f) of Category XV, in one
place in paragraph (e) of Category XVI,
in two places in paragraph (f) of
Category XVIII, in one place in
paragraph (g) of Category XIX, in one
place in paragraph (d) of Category XX;
■ d. Revising paragraph (a) of Category
II;
■ e. Removing the word ‘‘numerated’’ in
adding in its place the word
‘‘described’’ in paragraph (j) of Category
V;
■ f. Revising paragraphs (a) and (b), and
adding the note to paragraph (b)(4), and
the note to paragraphs (a) and (b) in
Category VI;
■ g. Revising paragraphs (a)
introductory text, (b), (c), and (e), and
adding the note to paragraph (c), and
note 1, note 2, and note 3 to Category
VII in Category VII;
■ h. Revising paragraphs (a)
introductory text, (a)(9), (a)(11), (a)(12),
(a)(13), adding paragraphs (a)(14),
(a)(15), and (a)(16), revising paragraphs
(h)(3), (h)(6), (h)(13), (h)(15), and (h)(23),
adding note 1 and note 2 to paragraph
(a)(11), and note 1 to paragraph (a), and
redesignating the note to paragraph (a)
as note 2 to paragraph (a) in Category
VIII;
■ i. Revising the title of Category IX,
removing the note to paragraph (e) of
Category IX, and revising paragraph (e)
of Category IX;
■ j. Adding note to paragraph (f)(1) in
Category XIX; and
■ k. Revising paragraphs (a)
introductory text, (a)(1), and (a)(4),
redesignating paragraphs (a)(6), (a)(7),
and notes 1 through 3 of paragraph
(a)(7) as paragraphs (a)(7), (a)(8), and
notes 1 through 3 of paragraph (a)(8),
respectively, adding a new paragraph
(a)(6) and revising paragraph (a)(7) in
Category XX.
The revisions and additions read as
follows:
§ 121.1
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The United States Munitions List.
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(b) * * *
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(2) * * * Most U.S. Munitions List
categories contain an entry on technical
data (see § 120.10 of this subchapter)
and defense services (see § 120.9 of this
subchapter) related to the defense
articles described in that U.S. Munitions
List category.
*
*
*
*
*
Category II—Guns and Armament
*(a) Guns over caliber .50 (i.e., 12.7
mm), whether towed, airborne, selfpropelled, or fixed, including but not
limited to, howitzers, mortars, cannons,
recoilless rifles, and grenade launchers.
*
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Category VI—Surface Vessels of War
and Special Naval Equipment
*(a) Warships and other combatant
vessels (i.e., battleships, aircraft carriers,
destroyers, frigates, cruisers, corvettes,
littoral combat ships, mine sweepers,
mine hunters, mine countermeasure
ships, dock landing ships, amphibious
assault ships), Coast Guard Cutters (with
or equivalent to those with U.S.
designations WHEC, WMEC, WMSL, or
WPB for the purpose of this subchapter),
or foreign-origin vessels specially
designed to provide functions
equivalent to those of the vessels listed
above;
(b) Other vessels not controlled in
paragraph (a) of this category, as
follows:
(1) High-speed air cushion vessels for
transporting cargo and personnel, shipto-shore and across a beach, with a
payload over 25 tons;
(2) Surface vessels integrated with
nuclear propulsion plants or specially
designed to support naval nuclear
propulsion plants;
(3) Vessels armed or specially
designed to be used as a platform to
deliver munitions or otherwise destroy
or incapacitate targets (e.g., firing lasers,
launching torpedoes, rockets, or
missiles, or firing munitions greater
than .50 caliber); or
(4) Vessels incorporating any mission
systems controlled under this
subchapter.
Note to paragraph (b)(4): ‘‘Mission
systems’’ are defined as ‘‘systems’’ (see
§ 120.45(g) of this subchapter) that are
defense articles that perform specific
military functions such as by providing
military communication, electronic
warfare, target designation, surveillance,
target detection, or sensor capabilities.
Note to paragraphs (a) and (b):
Vessels specially designed for military
use that are not identified in paragraph
(a) or (b) of this category are subject to
the EAR under ECCN 8A609, including
any demilitarized vessels, regardless of
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origin or designation, manufactured
prior to 1950 and unmodified since
1949. Vessels with modifications made
to incorporate safety features required
by law, are cosmetic (e.g., different
paint), or that add parts or components
otherwise available prior to 1950 are
considered ‘‘unmodified’’ for the
purposes of this paragraph.
*
*
*
*
*
Category VII—Ground Vehicles
*(a) Armored combat ground vehicles
as follows:
*
*
*
*
*
*(b) Ground vehicles (not enumerated
in paragraph (a) of this category) and
trailers that are armed or are specially
designed to be used as a firing or launch
platform to deliver munitions or
otherwise destroy or incapacitate targets
(e.g., firing lasers, launching rockets,
firing missiles, firing mortars, firing
artillery rounds, or firing other
ammunition greater than .50 caliber)
(MT if specially designed for rockets,
space launch vehicles, missiles, drones,
or unmanned aerial vehicles capable of
delivering a payload of at least 500 kg
to a range of at least 300 km).
(c) Ground vehicles and trailers
equipped with any mission systems
controlled under this subchapter (MT if
specially designed for rockets, space
launch vehicles, missiles, drones, or
unmanned aerial vehicles capable of
delivering a payload of at least 500 kg
to a range of at least 300 km).
Note to paragraph (c): ‘‘Mission
systems’’ are defined as ‘‘systems’’ (see
§ 120.45(g) of this subchapter) that are
defense articles that perform specific
military functions, such as by providing
military communication, target
designation, surveillance, target
detection, or sensor capabilities.
*
*
*
*
*
*(e) Armored support vehicles
capable of off-road or amphibious use
specially designed to transport or
deploy personnel or materiel, or to
move with other vehicles over land in
close support of combat vehicles or
troops (e.g., personnel carriers, resupply
vehicles, combat engineer vehicles,
recovery vehicles, reconnaissance
vehicles, bridge launching vehicles,
ambulances, and command and control
vehicles).
Note 1 to Category VII: Ground
vehicles specially designed for military
applications that are not identified in
this category are subject to the EAR
under ECCN 0A606, including any
unarmed ground vehicles, regardless of
origin or designation, manufactured
prior to 1956 and unmodified since
1955. Ground vehicles with
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61229
modifications made to incorporate
safety features required by law, are
cosmetic (e.g., different paint,
repositioning of bolt holes), or that add
parts or components otherwise available
prior to 1956 are considered
‘‘unmodified’’ for the purposes of this
paragraph. ECCN 0A606 also includes
unarmed vehicles derived from
otherwise EAR99 civilian vehicles that
have been modified or otherwise fitted
with materials to provide ballistic
protection, including protection to level
III (National Institute of Justice Standard
0108.01, September 1985) or better and
that do not have reactive or
electromagnetic armor.
Note 2 to Category VII: Armored
ground vehicles are (i) ground vehicles
that have integrated, fully armored hulls
or cabs, or (ii) ground vehicles on which
add-on armor has been installed to
provide ballistic protection to level III
(National Institute of Justice Standard
0108.01, September 1985) or better.
Armored support vehicles do not
include those that are merely capable of
being equipped with add-on armor.
Note 3 to Category VII: Ground
vehicles include any vehicle meeting
the definitions or control parameters
regardless of the surface (e.g., highway,
off-road, rail) upon which the vehicle is
designed to operate.
*
*
*
*
*
Category VIII—Aircraft and Related
Articles
(a) Aircraft, as follows:
*
*
*
*
*
(9) Air refueling aircraft;
*
*
*
*
*
(11) Aircraft incorporating any
mission system controlled under this
subchapter;
Note 1 to paragraph (a)(11): ‘‘Mission
systems’’ are defined as ‘‘systems’’ (see
§ 120.45(g) of this subchapter) that are
defense articles that perform specific
military functions such as by providing
military communication, electronic
warfare, target designation, surveillance,
target detection, or sensor capabilities.
Note 2 to paragraph (a)(11): This does
not include tethered aerostats. Mission
systems incorporated on otherwise EARcontrolled aerostats are controlled as the
mission systems themselves just as if
they were mounted, for example, on a
tower or a pole.
(12) Aircraft capable of being refueled
in flight including hover-in-flight
refueling (HIFR);
*(13) Optionally Piloted Vehicles
(OPV) (i.e. aircraft specially designed to
operate with and without a pilot
physically located in the aircraft) (MT if
the OPV has a range equal to or greater
than 300km);
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(14) Aircraft with a roll-on/roll-off
ramp, capable of airlifting payloads over
35,000 lbs. to ranges over 2,000 nm
without being refueled in-flight, and
landing onto short or unimproved
airfields;
*(15) Aircraft not enumerated in
paragraphs (a)(1) through (a)(14) as
follows:
(i) U.S.-origin aircraft that bear an
original military designation of A, B, E,
F, K, M, P, R, or S; or
(ii) Foreign-origin aircraft specially
designed to provide functions
equivalent to those of the aircraft listed
in paragraph (a)(15)(i) of this category;
or
(16) are armed or are specially
designed to be used as a platform to
deliver munitions or otherwise destroy
targets (e.g., firing lasers, launching
rockets, firing missiles, dropping bombs,
or strafing);
Note 1 to paragraph (a): Aircraft
specially designed for military
applications that are not identified in
paragraph (a) of this section are subject
to the EAR and classified as ECCN
9A610, including any unarmed military
aircraft, regardless of origin or
designation, manufactured prior to 1956
and unmodified since manufacture.
Aircraft with modifications made to
incorporate safety of flight features or
other FAA or NTSB modifications such
as transponders and air data recorders
are considered ‘‘unmodified’’ for the
purposes of this paragraph.
*
*
*
*
*
(h) * * *
(3) Tail boom folding systems,
stabilator folding systems or automatic
rotor blade folding systems, and
specially designed parts and
components therefor;
*
*
*
*
*
(6) Bomb racks, missile launchers,
missile rails, weapon pylons, pylon-tolauncher adapters, unmanned aerial
vehicle (UAV) airborne launching
systems, external stores support systems
for ordnance or weapons, and specially
designed parts and components therefor
(MT if the bomb rack, missile launcher,
missile rail, weapon pylon, pylon-tolauncher adapter, UAV airborne
launching system, or external stores
support system is for a UAV, drone, or
missile that has a ‘‘range’’ equal to or
greater than 300 km);
*
*
*
*
*
(13) Aircraft Lithium-ion batteries that
provide greater than 38VDC nominal;
*
*
*
*
*
(15) Integrated helmets incorporating
optical sights or slewing devices, which
include the ability to aim, launch, track,
or manage munitions (e.g., Helmet
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Mounted Cueing Systems, Joint Helmet
Mounted Cueing Systems (JHMCS),
Helmet Mounted Displays, Display and
Sight Helmets (DASH)), and specially
designed parts, components,
accessories, and attachments therefor;
*
*
*
*
*
(23) Electricity-generating fuel cells
specially designed for aircraft controlled
in this category or controlled in ECCN
9A610;
*
*
*
*
*
Category IX—Military Training
Equipment and Training
*
*
*
*
*
(e) Technical data (see § 120.10 of this
subchapter) and defense services (see
§ 120.9 of this subchapter):
(1) Directly related to the defense
articles enumerated in paragraphs (a)
and (b) of this category;
(2) Directly related to the software and
associated databases enumerated in
paragraph (b)(4) of this category even if
no defense articles are used or
transferred; or
(3) Military training (see, § 120.9(a)(3)
of this subchapter) not directly related
to defense articles or technical data
enumerated in this subchapter.
*
*
*
*
*
Category XIX—Gas Turbine Engines
and Associated Equipment
*
*
*
*
*
(f) * * *
(1) * * *
Note to paragraph (f)(1): Specially
designed (see § 120.41(b)(3)(ii) of this
subchapter) does not control parts,
components, accessories, and
attachments that are common to engines
enumerated in paragraph (a) through (d)
of this category but not identified in
paragraph (f)(1), and those identified in
paragraph (f)(1). For example, a part
common to only the F110 and F136 is
not specially designed for purposes of
the ITAR. A part common to only the
F119 and F135—two engine models
identified in paragraph (f)(1)—is
specially designed.
*
*
*
*
*
Category XX—Submersible Vessels and
Related Articles
(a) Submersible and semi-submersible
vessels that are:
*(1) Submarines specially designed
for military use;
*
*
*
*
*
(4) Armed or are specially designed to
be used as a platform to deliver
munitions or otherwise destroy or
incapacitate targets (e.g., firing
torpedoes, launching rockets, firing
missiles, deploying mines, deploying
PO 00000
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countermeasures) or deploy military
payloads;
*
*
*
*
*
(6) Integrated with nuclear propulsion
systems;
(7) Equipped with any mission
systems controlled under this
subchapter; or
Note to paragraph (a)(7): ‘‘Mission
system’’ is defined as a ‘‘system’’ (see
§ 120.45(g) of this subchapter) that are
defense articles that perform specific
military functions such as by providing
military communication, electronic
warfare, target designation, surveillance,
target detection, or sensor capabilities.
*
*
*
*
*
■ 8. Sections 121.2, 121.3, 121.4, 121.8,
121.10, 121.14, and 121.15 are removed
and reserved.
PART 123—LICENSES FOR THE
EXPORT AND TEMPORARY IMPORT
OF DEFENSE ARTICLES
9. The authority citation for part 123
continues to read as follows:
■
Authority: Secs. 2, 38, and 71, Pub. L. 90–
629, 90 Stat. 744 (22 U.S.C. 2752, 2778,
2797); 22 U.S.C. 2753; 22 U.S.C. 2651a; 22
U.S.C. 2776; Pub. L. 105–261, 112 Stat. 1920;
Sec. 1205(a), Pub. L. 107–228; Section 1261,
Pub. L. 112–239; E.O. 13637, 78 FR 16129.
10. Section 123.1 is amended by
removing the word ‘‘enumerated’’ and
adding in its place the word
‘‘described’’ in one place in paragraph
(b)(1).
■ 11. Section 123.16 is amended by
revising paragraph (b)(4) to read as
follows:
■
§ 123.16 Exemptions of general
applicability.
*
*
*
*
*
(b) * * *
(4) Port Directors of U.S. Customs and
Border Protection shall permit the
export without a license, of unclassified
models or mock-ups of defense articles,
provided that such models or mock-ups
are inoperable and do not reveal any
technical data in excess of that which is
exempted from the licensing
requirements of § 125.4(b) of this
subchapter and do not contain
components (see § 120.45(b) of this
subchapter) covered by the U.S.
Munitions List (see § 121.1 of this
subchapter). Some models or mockups
built to scale or constructed of original
materials can reveal technical data. U.S.
persons who avail themselves of this
exemption must provide a written
certification to the Port Director of U.S.
Customs and Border Protection that
these conditions are met. This
exemption does not imply that the
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Directorate of Defense Trade Controls
will approve the export of any defense
articles for which models or mocks-ups
have been exported pursuant to this
exemption.
*
*
*
*
*
PART 126—GENERAL POLICIES AND
PROVISIONS
12. The authority citation for part 126
continues to read as follows:
■
Authority: Secs. 2, 38, 40, 42, and 71, Pub.
L. 90–629, 90 Stat. 744 (22 U.S.C. 2752, 2778,
2780, 2791, and 2797); 22 U.S.C. 2651a; 22
U.S.C. 287c; E.O. 12918, 59 FR 28205; 3 CFR,
1994 Comp., p. 899; Sec. 1225, Pub. L. 108–
375; Sec. 7089, Pub. L. 111–117; Pub. L. 111–
266; Sections 7045 and 7046, Pub. L. 112–74;
E.O. 13637, 78 FR 16129.
§ 126.1
adding in its place the word
‘‘described’’ in one place in paragraph
(c).
14. Supplement No. 1 to part 126 is
revised to read as follows:
■
Supplement No. 1 to Part 126
[Amended]
13. Section 126.1 is amended by
removing the word ‘‘enumerated’’ and
■
SUPPLEMENT NO. 1*
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
USML
Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
I–XXI ........
I–XXI ........
I–XXI ........
Classified defense articles and services. See Note 1 ........................................................................
Defense articles listed in the Missile Technology Control Regime (MTCR) Annex ...........................
U.S. origin defense articles and services used for marketing purposes and not previously licensed
for export in accordance with this subchapter.
Defense services for or technical data related to defense articles identified in this supplement as
excluded from the Canadian exemption.
Any transaction involving the export of defense articles and services for which congressional notification is required in accordance with § 123.15 and § 124.11 of this subchapter.
U.S. origin defense articles and services specific to developmental systems that have not obtained written Milestone B approval from the U.S. Department of Defense milestone approval
authority, unless such export is pursuant to a written solicitation or contract issued or awarded
by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or
(e)(4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this
supplement.
Nuclear weapons strategic delivery systems and all components, parts, accessories, and attachments specifically designed for such systems and associated equipment.
Defense articles and services specific to the existence or method of compliance with anti-tamper
measures, where such measures are readily identifiable, made at originating Government direction.
Defense articles and services specific to reduced observables or counter low observables in any
part of the spectrum. See Note 2.
Defense articles and services specific to sensor fusion beyond that required for display or identification correlation. See Note 3.
Defense articles and services specific to the automatic target acquisition or recognition and cueing of multiple autonomous unmanned systems.
Nuclear power generating equipment or propulsion equipment (e.g., nuclear reactors), specifically
designed for military use and components therefor, specifically designed for military use. See
also § 123.20 of this subchapter.
Libraries (parametric technical databases) specially designed for military use with equipment controlled on the USML. See Note 13.
Defense services or technical data specific to applied research as defined in § 125.4(c)(3) of this
subchapter, design methodology as defined in § 125.4(c)(4) of this subchapter, engineering
analysis as defined in § 125.4(c)(5) of this subchapter, or manufacturing know-how as defined
in § 125.4(c)(6) of this subchapter. See Note 12.
Defense services other than those required to prepare a quote or bid proposal in response to a
written request from a department or agency of the United States Federal Government or from
a Canadian Federal, Provincial, or Territorial Government; or defense services other than those
required to produce, design, assemble, maintain or service a defense article for use by a registered U.S. company, or a U.S. Federal Government Program, or for end-use in a Canadian
Federal, Provincial, or Territorial Government Program. See Note 14.
Firearms, close assault weapons, and combat shotguns ...................................................................
Software source code related to USML Category II(c), II(d), or II(i). See Note 4 ..............................
Manufacturing know-how related to USML Category II(d). See Note 5 .............................................
Ammunition for firearms, close assault weapons, and combat shotguns listed in USML Category I
Defense articles and services specific to ammunition and fuse setting devices for guns and armament controlled in USML Category II.
Manufacturing know-how related to USML Category III(d)(1) or III(d)(2) and their specially designed components. See Note 5.
Software source code related to USML Category III(d)(1) or III(d)(2). See Note 4 ...........................
Defense articles and services specific to man-portable air defense systems (MANPADS). See
Note 6.
Defense articles and services specific to rockets, designed or modified for non-military applications that do not have a range of 300 km (i.e., not controlled on the MTCR Annex).
Defense articles and services specific to torpedoes ...........................................................................
Defense articles and services specific to anti-personnel landmines. See Note 15 ............................
X
X
..............
X
X
X
X
X
X
X
..............
..............
X
..............
..............
..............
X
X
X
..............
..............
..............
X
X
..............
X
X
..............
X
X
..............
X
X
..............
..............
X
..............
..............
X
X
..............
..............
X
..............
..............
X
..............
X
X
..............
..............
X
X
..............
..............
..............
X
X
..............
X
X
X
X
..............
X
X
X
X
X
..............
..............
X
..............
X
X
X
X
X
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
I–XXI ........
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I ................
II(k) ...........
II(k) ...........
III ..............
III ..............
III(e) .........
III(e) .........
IV .............
IV .............
IV .............
IV .............
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SUPPLEMENT NO. 1*—Continued
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
USML
Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
IV .............
IV(i) ..........
IV(i) ..........
Defense articles and services specific to cluster munitions ...............................................................
Software source code related to USML Category IV(a), IV(b), IV(c), or IV(g). See Note 4 ..............
Manufacturing know-how related to USML Category IV(a), IV(b), IV(d), or IV(g) and their specially
designed components. See Note 5.
The following energetic materials and related substances: ................................................................
a. TATB (triaminotrinitrobenzene) (CAS 3058–38–6); .................................................................
b. Explosives controlled in USML Category V(a)(38); .................................................................
c. Iron powder (CAS 7439–89–6) with particle size of 3 micrometers or less produced by reduction of iron oxide with hydrogen;.
d. BOBBA–8 (bis(2-methylaziridinyl)2-(2-hydroxypropanoxy) propylamino phosphine oxide),
and other MAPO derivatives;.
e. N-methyl-p-nitroaniline (CAS 100–15–2); or ............................................................................
f. Trinitrophenylmethylnitramine (tetryl) (CAS 479–45–8) ............................................................
ANF or ANAzF as described in USML Category V(a)(13)(iii) and (iv) ...............................................
Difluoraminated derivative of RDX as described in USML Category V(a)(23)(iii) ..............................
Pyrotechnics and pyrophorics specifically formulated for military purposes to enhance or control
radiated energy in any part of the IR spectrum.
Bis-2, 2-dinitropropylnitrate (BDNPN) .................................................................................................
Developmental explosives, propellants, pyrotechnics, fuels, oxidizers, binders, additives, or precursors therefor, funded by the Department of Defense via contract or other funding authorization in accordance with notes 1 to 3 for USML Category V(i). This exclusion does not apply if
such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or
§ 126.17 of this subchapter and is consistent with other exclusions of this supplement.
Defense articles and services specific to cryogenic equipment, and specially designed components or accessories therefor, specially designed or configured to be installed in a vehicle for
military ground, marine, airborne or space applications, capable of operating while in motion
and of producing or maintaining temperatures below 103 K (¥170°C).
Defense articles and services specific to superconductive electrical equipment (rotating machinery
and transformers) specially designed or configured to be installed in a vehicle for military
ground, marine, airborne, or space applications and capable of operating while in motion. This,
however, does not include direct current hybrid homopolar generators which have single-pole
normal metal armatures that rotate in a magnetic field produced by superconducting windings,
provided those windings are the only superconducting component in the generator.
Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10.
Nuclear powered vessels ....................................................................................................................
Defense articles and services specific to naval nuclear propulsion equipment. See Note 7 .............
Software source code related to USML Category VI(a) or VI(c). See Note 4 ...................................
Defense articles and services specific to cryogenic equipment, and specially designed components or accessories therefor, specially designed or configured to be installed in a vehicle for
military ground, marine, airborne or space applications, capable of operating while in motion
and of producing or maintaining temperatures below 103 K (¥170°C).
Defense articles and services specific to superconductive electrical equipment (rotating machinery
and transformers) specially designed or configured to be installed in a vehicle for military
ground, marine, airborne, or space applications and capable of operating while in motion. This,
however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings,
provided those windings are the only superconducting component in the generator.
Defense articles and services specific to cryogenic equipment, and specially designed components and accessories therefor, specially designed or configured to be installed in a vehicle for
military ground, marine, airborne or space applications, capable of operating while in motion
and of producing or maintaining temperatures below 103 K (¥170°C).
Defense articles and services specific to superconductive electrical equipment (rotating machinery
and transformers) specially designed or configured to be installed in a vehicle for military
ground, marine, airborne, or space applications and capable of operating while in motion. This,
however, does not include direct current hybrid homopolar generators which have single-pole
normal metal armatures that rotate in a magnetic field produced by superconducting windings,
provided those windings are the only superconducting component in the generator.
All USML Category VIII(a) items .........................................................................................................
Developmental aircraft parts, components, accessories, and attachments identified in USML Category VIII(f).
Manufacturing know-how related to USML Category VIII(a) or VIII(e), and specially designed parts
or components therefor. See Note 5.
Software source code related to USML Category VIII(a) or VIII(e). See Note 4 ...............................
Training or simulation equipment for Man Portable Air Defense Systems (MANPADS). See Note 6
Software source code related to USML Category IX(a) or IX(b). See Note 4 ...................................
Software that is both specifically designed or modified for military use and specifically designed or
modified for modeling or simulating military operational scenarios.
X
..............
X
X
X
X
X
X
X
..............
..............
X
..............
..............
..............
..............
..............
..............
X
X
X
..............
..............
..............
X
X
X
..............
..............
X
..............
..............
X
..............
X
X
X
X
..............
..............
X
X
X
..............
X
X
X
X
..............
..............
X
..............
..............
X
..............
..............
X
X
X
..............
..............
..............
..............
X
X
X
..............
..............
..............
..............
X
X
X
..............
X
X
X
X
V ..............
V(a)(13) ....
V(a)(23) ....
V(c)(7) ......
V(d)(3) ......
V(i) ...........
VI .............
VI .............
VI .............
VI(a) .........
VI(e) .........
VI(g) .........
VII ............
VII ............
VIII ...........
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VIII ...........
VIII(a) .......
VIII(f) ........
VIII(i) ........
VIII(i) ........
IX .............
IX(e) .........
IX(e) .........
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SUPPLEMENT NO. 1*—Continued
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
USML
Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
X(e) ..........
Manufacturing know-how related to USML Category X(a)(1) or X(a)(2), and specially designed
components therefor. See Note 5.
Defense articles and services specific to countermeasures and counter- countermeasures See
Note 9.
High Frequency and Phased Array Microwave Radar systems, with capabilities such as search,
acquisition, tracking, moving target indication, and imaging radar systems. See Note 16.
Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10.
Defense articles and services specific to USML Category XI (b) (e.g., communications security
(COMSEC) and TEMPEST).
X
X
X
..............
X
X
..............
X
..............
..............
X
X
..............
X
X
Software source code related to USML Category XI(a). See Note 4 .................................................
Manufacturing know-how related to USML Category XI(a)(3) or XI(a)(4), and specially designed
components therefor. See Note 5.
Defense articles and services specific to countermeasures and counter- countermeasures. See
Note 9.
Defense articles and services specific to USML Category XII(c) articles, except any 1st- and 2ndgeneration image intensification tubes and 1st- and 2nd-generation image intensification night
sighting equipment. End-items in USML Category XII(c) and related technical data limited to
basic operations, maintenance, and training information as authorized under the exemption in
§ 125.4(b)(5) of this subchapter may be exported directly to a Canadian Government entity (i.e.,
federal, provincial, territorial, or municipal) consistent with § 126.5, other exclusions, and the
provisions of this subchapter.
Technical data or defense services for night vision equipment beyond basic operations, maintenance, and training data. However, the AS and UK Treaty exemptions apply when such export
is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of
this subchapter and is consistent with other exclusions of this supplement.
Manufacturing know-how related to USML Category XII(d) and specially designed components
therefor. See Note 5.
Software source code related to USML Category XII(a), XII(b), XII(c), or XII(d). See Note 4 ..........
Defense articles and services specific to USML Category XIII(b) (Military Information Security Assurance Systems, cryptographic devices, software, and components).
Carbon/carbon billets and preforms which are reinforced in three or more dimensional planes,
specifically designed, developed, modified, configured or adapted for defense articles.
Defense articles and services specific to armored plate manufactured to comply with a military
standard or specification or suitable for military use. See Note 11.
Defense articles and services related to concealment and deception equipment and materials ......
Energy conversion devices other than fuel cells ................................................................................
Defense articles and services related to hardware associated with the measurement or modification of system signatures for detection of defense articles as described in Note 2.
Software source code related to USML Category XIII(a). See Note 4 ...............................................
Defense articles and services related to toxicological agents, including chemical agents, biological
agents, and associated equipment.
Chemical agents listed in USML Category XIV(a), (d) and (e), biological agents and biologically
derived substances in USML Category XIV(b), and equipment listed in USML Category XIV(f)
for dissemination of the chemical agents and biological agents listed in USML Category XIV(a),
(b), (d), and (e).
..............
X
X
X
X
X
..............
X
X
X
..............
..............
X
X
X
X
X
X
..............
..............
X
X
X
X
..............
..............
X
..............
..............
X
..............
..............
..............
..............
..............
X
X
X
X
..............
..............
X
X
X
X
X
..............
..............
Defense articles and services specific to spacecraft/satellites. However, the Canadian exemption
may be used for commercial communications satellites that have no other type of payload.
Defense articles and services specific to ground control stations for spacecraft telemetry, tracking,
and control. Defense articles and services are not excluded under this entry if they do not control the spacecraft. Receivers for receiving satellite transmissions are also not excluded under
this entry.
Defense articles and services specific to GPS/PPS security modules ..............................................
Defense articles controlled in USML Category XV(c) except end-items for end-use by the Federal
Government of Canada exported directly or indirectly through a Canadian-registered person.
Anti-jam systems with the ability to respond to incoming interference by adaptively reducing antenna gain (nulling) in the direction of the interference.
Antennas having any of the following: ................................................................................................
a. Aperture (overall dimension of the radiating portions of the antenna) greater than 30 feet; ..
b. All sidelobes less than or equal to -35 dB relative to the peak of the main beam; or ...........
c. Designed, modified, or configured to provide coverage area on the surface of the earth
less than 200 nautical miles in diameter, where ‘‘coverage area’’ is defined as that area on
the surface of the earth that is illuminated by the main beam width of the antenna (which is
the angular distance between half power points of the beam).
Optical intersatellite data links (cross links) and optical ground satellite terminals ............................
X
X
X
..............
X
X
..............
X
X
..............
X
..............
X
..............
..............
X
..............
..............
X
..............
..............
XI(a) .........
XI(a) .........
XI .............
XI(b),
XI(c),
XI(d).
XI(d) .........
XI(d) .........
XII ............
XII ............
XII ............
XII(f) .........
XII(f) .........
XIII(b) .......
XIII(d) .......
XIII(e) .......
XIII(g) .......
XIII(h) .......
XIII(j) ........
XIII(l) ........
XIV ...........
XIV(a),
XIV(b),
XIV(d),
XIV(e),
XIV(f).
XV(a) ........
XV(b) ........
XV(c) ........
XV(c) ........
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XV(e) ........
XV(e) ........
XV(e) ........
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Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
SUPPLEMENT NO. 1*—Continued
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
USML
Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
XV(e) ........
Spaceborne regenerative baseband processing (direct up and down conversion to and from
baseband) equipment.
Propulsion systems which permit acceleration of the satellite on-orbit (i.e., after mission orbit injection) at rates greater than 0.1 g.
Attitude control and determination systems designed to provide spacecraft pointing determination
and control or payload pointing system control better than 0.02 degrees per axis.
All specifically designed or modified systems, components, parts, accessories, attachments, and
associated equipment for all USML Category XV(a) items, except when specifically designed or
modified for use in commercial communications satellites.
Defense articles and services specific to spacecraft and ground control station systems (only for
telemetry, tracking and control as controlled in USML Category XV(b)), subsystems, components, parts, accessories, attachments, and associated equipment.
Technical data and defense services directly related to the other defense articles excluded from
the exemptions for USML Category XV.
Defense articles and services specific to design and testing of nuclear weapons ............................
Classified articles, and technical data and defense services relating thereto, not elsewhere enumerated. See Note 1.
Defense articles and services specific to directed energy weapon systems .....................................
Defense articles and services specific to gas turbine engine hot section components and to Full
Authority Digital Engine Control Systems (FADEC) or Digital Electronic Engine Controls
(DEEC). See Note 8.
X
..............
..............
X
..............
..............
X
..............
..............
X
..............
..............
..............
X
X
X
X
X
X
X
X
X
X
X
..............
..............
X
X
X
X
X
X
X
X
X
X
..............
X
X
..............
..............
X
..............
..............
X
X
X
..............
..............
X
X
X
X
X
X
X
X
X
X
X
XV(e) ........
XV(e) ........
XV(e) ........
XV(e) ........
XV(f) .........
XVI ...........
XVII ..........
XVIII .........
XIX(e),
XIX(f)(1),
XIX(f)(2),
XIX(g).
XIX(g) .......
XX ............
XX ............
XX ............
XX ............
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XX(a) ........
XX(b) ........
XX(c) ........
XX(d) ........
XXI ...........
Technical data and defense services for gas turbine engine hot sections. (This does not include
hardware). See Note 8.
Defense articles and services related to submersible vessels, oceanographic, and associated
equipment.
Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10.
Defense articles specific to cryogenic equipment, and specially designed components or accessories therefor, specially designed or configured to be installed in a vehicle for military ground,
marine, airborne or space applications, capable of operating while in motion and of producing
or maintaining temperatures below 103 K (¥170°C).
Defense articles specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine,
airborne, or space applications and capable of operating while in motion. This, however, does
not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those
windings are the only superconducting component in the generator.
Nuclear powered vessels ....................................................................................................................
Defense articles and services specific to naval nuclear propulsion equipment. See Note 7 .............
Defense articles and services specific to submarine combat control systems ..................................
Software source code related to USML Category XX(a). See Note 4 ...............................................
Articles, and technical data and defense services relating thereto, not otherwise enumerated on
the USML, but placed in this category by the Director, Office of Defense Trade Controls Policy.
Note 1: Classified defense articles and services are not eligible for export under the Canadian exemptions. U.S. origin articles, technical data,
and services controlled in USML Category XVII are not eligible for export under the UK Treaty exemption. U.S. origin classified defense articles and services are not eligible for export under either the UK or AS Treaty exemptions except when being released pursuant to a U.S. Department of Defense written request, directive, or contract that provides for the export of the defense article or service.
Note 2: The phrase ‘‘any part of the spectrum’’ includes radio frequency (RF), infrared (IR), electro-optical, visual, ultraviolet (UV), acoustic, and
magnetic. Defense articles related to reduced observables or counter reduced observables are defined as:
(a) Signature reduction (radio frequency (RF), infrared (IR), Electro-Optical, visual, ultraviolet (UV), acoustic, magnetic, RF emissions) of defense platforms, including systems, subsystems, components, materials (including dual-purpose materials used for Electromagnetic Interference (EM) reduction), technologies, and signature prediction, test and measurement equipment and software, and material transmissivity/
reflectivity prediction codes and optimization software.
(b) Electronically scanned array radar, high power radars, radar processing algorithms, periscope-mounted radar systems (PATRIOT), LADAR,
multistatic and IR focal plane array-based sensors, to include systems, subsystems, components, materials, and technologies.
Note 3: Defense articles and services related to sensor fusion beyond that required for display or identification correlation is defined as techniques designed to automatically combine information from two or more sensors/sources for the purpose of target identification, tracking, designation, or passing of data in support of surveillance or weapons engagement. Sensor fusion involves sensors such as acoustic, infrared,
electro optical, frequency, etc. Display or identification correlation refers to the combination of target detections from multiple sources for assignment of common target track designation.
Note 4: Software source code beyond that source code required for basic operation, maintenance, and training for programs, systems, and/or
subsystems is not eligible for use of the UK or AS Treaty exemptions, unless such export is pursuant to a written solicitation or contract
issued or awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of
this subchapter and is consistent with other exclusions of this supplement.
Note 5: Manufacturing know-how, as defined in § 125.4(c)(6) of this subchapter, is not eligible for use of the UK or AS Treaty exemptions, unless such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement.
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Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
61235
SUPPLEMENT NO. 1*—Continued
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
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USML
Category
(CA)
§ 126.5
Exclusion
(AS)
§ 126.16
(UK)
§ 126.17
Note 6: Defense articles and services specific to Man Portable Air Defense Systems (MANPADS) includes missiles that can be used without
modification in other applications. It also includes production and test equipment and components specifically designed or modified for
MANPAD systems, as well as training equipment specifically designed or modified for MANPAD systems.
Note 7: Naval nuclear propulsion plants includes all of USML Category VI(e). Naval nuclear propulsion information consists of technical data
that concern the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the
propulsion plants of naval nuclear-powered ships and prototypes, including the associated shipboard and shore-based nuclear support facilities. Examples of defense articles covered by this exclusion include nuclear propulsion plants and nuclear submarine technologies or systems; nuclear powered vessels (see USML Categories VI and XX).
Note 8: A complete gas turbine engine with embedded hot section components or digital engine controls is eligible for export or transfer under
the Treaties. Technical data, other than those data required for routine external maintenance and operation, related to the hot section is not
eligible for export under the Canadian exemption. Technical data, other than those data required for routine external maintenance and operation, related to the hot section or digital engine controls, as well as individual hot section parts or components are not eligible for the Treaty
exemption whether shipped separately or accompanying a complete engine. Gas turbine engine hot section exempted defense article components and technology are combustion chambers and liners; high pressure turbine blades, vanes, disks and related cooled structure; cooled
low pressure turbine blades, vanes, disks and related cooled structure; cooled augmenters; and cooled nozzles. Examples of gas turbine engine hot section developmental technologies are Integrated High Performance Turbine Engine Technology (IHPTET), Versatile, Affordable
Advanced Turbine Engine (VAATE), and Ultra-Efficient Engine Technology (UEET), which are also excluded from export under the exemptions.
Note 9: Examples of countermeasures and counter-countermeasures related to defense articles not exportable under the AS or UK Treaty exemptions are:
(a) IR countermeasures;
(b) Classified techniques and capabilities;
(c) Exports for precision radio frequency location that directly or indirectly supports fire control and is used for situation awareness, target identification, target acquisition, and weapons targeting and Radio Direction Finding (RDF) capabilities. Precision RF location is defined as angle of
arrival accuracy of less than five degrees (RMS) and RF emitter location of less than ten percent range error;
(d) Providing the capability to reprogram; and
(e) Acoustics (including underwater), active and passive countermeasures, and counter-countermeasures.
Note 10: Examples of defense articles covered by this exclusion include underwater acoustic vector sensors; acoustic reduction; off-board, underwater, active and passive sensing, propeller/propulsor technologies; fixed mobile/floating/powered detection systems which include in-buoy
signal processing for target detection and classification; autonomous underwater vehicles capable of long endurance in ocean environments
(manned submarines excluded); automated control algorithms embedded in on-board autonomous platforms which enable (a) group behaviors for target detection and classification, (b) adaptation to the environment or tactical situation for enhancing target detection and classification; ‘‘intelligent autonomy’’ algorithms that define the status, group (greater than 2) behaviors, and responses to detection stimuli by autonomous, underwater vehicles; and low frequency, broad band ‘‘acoustic color,’’ active acoustic ‘‘fingerprint’’ sensing for the purpose of long
range, single pass identification of ocean bottom objects, buried or otherwise (controlled under Category USML XI(a)(1), (a)(2), (b), (c), and
(d)).
Note 11: This exclusion does not apply to the platforms (e.g., vehicles) for which the armored plates are applied. For exclusions related to the
platforms, refer to the other exclusions in this list, particularly for the category in which the platform is controlled.
The excluded defense articles include constructions of metallic or non-metallic materials or combinations thereof specially designed to provide
protection for military systems. The phrase ‘‘suitable for military use’’ applies to any articles or materials which have been tested to level IIIA
or above IAW NIJ standard 0108.01 or comparable national standard. This exclusion does not include military helmets, body armor, or other
protective garments which may be exported IAW the terms of the AS or UK Treaty.
Note 12: Defense services or technical data specific to applied research (§ 125.4(c)(3) of this subchapter), design methodology (§ 125.4(c)(4) of
this subchapter), engineering analysis (§ 125.4(c)(5) of this subchapter), or manufacturing know-how (§ 125.4(c)(6) of this subchapter) are not
eligible for export under the Canadian exemptions. However, this exclusion does not include defense services or technical data specific to
build-to-print as defined in § 125.4(c)(1) of this subchapter, build/design-to-specification as defined in § 125.4(c)(2) of this subchapter, or basic
research as defined in § 125.4(c)(3) of this subchapter, or maintenance (i.e., inspection, testing, calibration or repair, including overhaul, reconditioning and one-to-one replacement of any defective items parts or components, but excluding any modification, enhancement, upgrade
or other form of alteration or improvement that changes the basic performance of the item) of non-excluded defense articles which may be
exported subject to other exclusions or terms of the Canadian exemptions.
Note 13: The term ‘‘libraries’’ (parametric technical databases) means a collection of technical information of a military nature, reference to
which may enhance the performance of military equipment or systems.
Note 14: In order to utilize the authorized defense services under the Canadian exemption, the following must be complied with:
(a) The Canadian contractor and subcontractor must certify, in writing, to the U.S. exporter that the technical data and defense services
being exported will be used only for an activity identified in Supplement No. 1 to part 126 of this subchapter and in accordance with
§ 126.5 of this subchapter; and
(b) A written arrangement between the U.S. exporter and the Canadian recipient must:
(1) Limit delivery of the defense articles being produced directly to an identified manufacturer in the United States registered in accordance with part 122 of this subchapter; a department or agency of the United States Federal Government; a Canadian-registered person authorized in writing to manufacture defense articles by and for the Government of Canada; a Canadian Federal, Provincial, or
Territorial Government;
(2) Prohibit the disclosure of the technical data to any other contractor or subcontractor who is not a Canadian-registered person;
(3) Provide that any subcontract contain all the limitations of § 126.5 of this subchapter;
(4) Require that the Canadian contractor, including subcontractors, destroy or return to the U.S. exporter in the United States all of the
technical data exported pursuant to the contract or purchase order upon fulfillment of the contract, unless for use by a Canadian or
United States Government entity that requires in writing the technical data be maintained. The U.S. exporter must be provided written certification that the technical data is being retained or destroyed; and
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61236
Federal Register / Vol. 79, No. 197 / Friday, October 10, 2014 / Rules and Regulations
SUPPLEMENT NO. 1*—Continued
[*An ‘‘X’’ in the chart indicates that the item is excluded from use under the exemption referenced in the top of the column. An item excluded in
any one row is excluded regardless of whether other rows may contain a description that would include the item.]
USML
Category
(CA)
§ 126.5
Exclusion
(AS)
§ 126.16
(UK)
§ 126.17
(5) Include a clause requiring that all documentation created from U.S. origin technical data contain the statement that, ‘‘This document
contains technical data, the use of which is restricted by the U.S. Arms Export Control Act. This data has been provided in accordance with, and is subject to, the limitations specified in § 126.5 of the International Traffic in Arms Regulations (ITAR). By accepting
this data, the consignee agrees to honor the requirements of the ITAR.’’
(c) The U.S. exporter must provide the Directorate of Defense Trade Controls a semi-annual report regarding all of their on-going activities
authorized under § 126.5 of this subchapter. The report shall include the article(s) being produced; the end-user(s); the end-item into
which the product is to be incorporated; the intended end-use of the product; and the names and addresses of all the Canadian contractors and subcontractors.
Note 15: This exclusion does not apply to demining equipment in support of the clearance of landmines and unexploded ordnance for humanitarian purposes.
As used in this exclusion, ‘‘anti-personnel landmine’’ means any mine placed under, on, or near the ground or other surface area, or delivered
by artillery, rocket, mortar, or similar means or dropped from an aircraft and which is designed to be detonated or exploded by the presence,
proximity, or contact of a person; any device or material which is designed, constructed, or adapted to kill or injure and which functions unexpectedly when a person disturbs or approaches an apparently harmless object or performs an apparently safe act; any manually-emplaced
munition or device designed to kill, injure, or damage and which is actuated by remote control or automatically after a lapse of time.
Note 16: The radar systems described are controlled in USML Category XI(a)(3)(i) through (v). As used in this entry, the term ‘‘systems’’ includes equipment, devices, software, assemblies, modules, components, practices, processes, methods, approaches, schema, frameworks,
and models.
PART 130—POLITICAL
CONTRIBUTIONS, FEES AND
COMMISSIONS
DEPARTMENT OF THE TREASURY
31 CFR Part 34
RIN 1505–AC49
15. The authority citation for part 130
continues to read as follows:
■
Gulf Coast Restoration Trust Fund
Office of the Fiscal Assistant
Secretary, Treasury.
ACTION: Interim final rule.
Authority: Sec. 39, Pub. L. 94–329, 90
Stat. 767 (22 U.S.C. 2779); 22 U.S.C. 2651a;
E.O. 13637, 78 FR 16129.
AGENCY:
16. Section 130.8 is amended by
revising the introductory text of
paragraph (a) to read as follows:
SUMMARY:
■
§ 130.8
Vendor.
mstockstill on DSK4VPTVN1PROD with RULES
(a) Vendor means any distributor or
manufacturer who, directly or
indirectly, furnishes to an applicant or
supplier defense articles valued in an
amount of $500,000 or more which are
end-items or major components as
defined in § 120.45 of this subchapter. It
also means any person who, directly or
indirectly, furnishes to an applicant or
supplier defense articles or services
valued in an amount of $500,000 or
more when such articles or services are
to be delivered (or incorporated in
defense articles or defense services to be
delivered) to or for the use of the armed
forces of a foreign country or
international organization under:
*
*
*
*
*
Rose E. Gottemoeller,
Under Secretary, Arms Control and
International Security, Department of State.
[FR Doc. 2014–23792 Filed 10–9–14; 8:45 am]
BILLING CODE 4710–05–P
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The Department of the
Treasury is issuing regulations
concerning the amounts available to
eligible Louisiana parishes from the
Gulf Coast Restoration Trust Fund, a
fund established by the Resources and
Ecosystem Sustainability, Tourist
Opportunities, and Revived Economies
of the Gulf Coast States Act of 2012
(RESTORE Act). These regulations
amend an interim final rule for the
RESTORE Act published on August 15,
2014.
DATES: Effective October 14, 2014.
FOR FURTHER INFORMATION CONTACT:
Please send questions by email to
RESTORErule@treasury.gov or contact
Janet Vail, 202–622–6873.
SUPPLEMENTARY INFORMATION:
I. Background
The RESTORE Act makes funds
available for the restoration and
protection of the Gulf Coast region
through a new trust fund in the
Treasury of the United States, known as
the Gulf Coast Restoration Trust Fund.
The trust fund will contain 80 percent
of the administrative and civil penalties
paid after July 6, 2012, under the
Federal Water Pollution Control Act in
connection with the Deepwater Horizon
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oil spill. One component of the Act, the
Direct Component, sets aside 35 percent
of the penalties paid into the trust fund
for grants to the State of Alabama, the
State of Mississippi, the State of Texas,
the State of Louisiana and 20 Louisiana
parishes, and 23 Florida counties. The
Direct Component provides an equal
amount to each of the five Gulf Coast
States, and allocates 30 percent of
Louisiana’s share to the 20 eligible
parishes.
On September 6, 2013, Treasury
proposed a rule to implement the Direct
Component and four other components
in the RESTORE Act. Among its
provisions, the proposed rule identified
the 20 Louisiana parishes eligible to
receive funds under the Direct
Component, but not the share of each
parish. Treasury requested public
comments on the data and methodology
for calculating these shares, and
received comments from the State of
Louisiana and one Louisiana parish.
On July 31, 2014, Treasury proposed
a rule identifying the share of each
Louisiana parish under the Direct
Component, based on a formula in the
RESTORE Act and data from the United
States Census Bureau and the United
States Coast Guard. 79 FR 44325.
Treasury considered the comments
submitted previously, and opened a
new public comment period for 30 days.
Treasury received two substantive
comments.
After considering public comments,
Treasury now issues the regulations as
an interim final rule. The rule for
Louisiana parishes amends the
RESTORE Act rule published on August
15, 2014 (79 FR 48039), which covers
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Agencies
[Federal Register Volume 79, Number 197 (Friday, October 10, 2014)]
[Rules and Regulations]
[Pages 61226-61236]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-23792]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
22 CFR Parts 120, 121, 123, 126, and 130
[Public Notice 8898]
RIN 1400-AD64
Amendment to the International Traffic in Arms Regulations:
Corrections, Clarifications, and Movement of Definitions
AGENCY: Department of State.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In an effort to streamline, simplify and clarify the recent
revisions to the International Traffic in Arms Regulations (ITAR) made
pursuant to the President's Export Control Reform (ECR) initiative, the
Department of State is amending the ITAR as part of the Department of
State's retrospective plan under Executive Order 13563 completed on
August 17, 2011.
DATES: This rule is effective October 10, 2014.
FOR FURTHER INFORMATION CONTACT: Mr. C. Edward Peartree, Director,
Office of Defense Trade Controls Policy, Department of State, telephone
(202) 663-2792; email DDTCResponseTeam@state.gov. ATTN: Regulatory
Change, Omnibus Clarifications. The Department of State's full
retrospective plan can be accessed at https://www.state.gov/documents/organization/181028.pdf.
SUPPLEMENTARY INFORMATION:
Changes in this Rule
The following changes are made to the ITAR with this final rule:
(1) Definitions previously provided in Sec. Sec. 121.3, 121.4, 121.14,
and 121.15 are removed from these sections and incorporated into U.S.
Munitions List Categories VIII, VII, XX, and VI, respectively; (2) USML
Category II is amended to clarify that grenade launchers are controlled
in paragraph (a) as a result of the revisions previously made to USML
Category IV pursuant to Export Control Reform; (3) USML Category IX is
amended to enumerate military training not directly related to a
defense article, which is a controlled activity pursuant to ITAR Sec.
120.9(a)(3). This change is required in order to provide exporters a
USML category to cite for military training when not related to a
defense article; (4) The note to paragraph (b) in the specially
designed definition is revised to clarify that catch-all controls are
only those that generically control parts, components, accessories, and
attachments for a specified article and do not identify a specific
specially designed part, component, accessory, or attachment. This
revision is intended to help ensure that exporters properly apply ITAR
Sec. 120.41 when classifying their article and clarify that when a
specific article is described on the USML, it is enumerated and is not
part of a catch-all; (5) The definitions previously provided in ITAR
Sec. 121.8 are removed to new ITAR Sec. 120.45; (6) The policy with
regard to when forgings, castings, and machined bodies are controlled
as defense articles is removed from ITAR Sec. 121.10 and placed in
ITAR Sec. 120.6; (7) The threshold for lithium-ion batteries
controlled in Category VIII(h)(13) is increased from greater than 28
volts of direct current (VDC) nominal to greater than 38 VDC nominal,
so as not to control on the USML such batteries in normal commercial
aviation use; (8) A control for specially designed parts, components,
accessories, and attachments is added to the helmets controlled in
Category VIII(h)(15); (9) The phrase ``electric-generating'' is added
to the control describing fuel cells in Category VIII(h)(23) to clarify
that fuel bladders and fuel tanks are not within this control; (10) The
word ``enumerated'' is replaced with the word ``described'' in the
paragraphs of the USML for technical data and defense services directly
related to the defense articles in that Category to clarify that the
controls on technical data and defense services apply even if the
defense article is described in a catch-all; (11) Conforming changes
are made to citations throughout these sections; and (12) Minor
reference corrections are made to Supplement No. 1 to Part 126,
including moving the footnote to the entire Supplement from the end to
the opening to better clarify if an item is excluded from eligibility
in any row, it is excluded from that exemption, even if also described
in another row that contains a description that may also include that
item.
Regulatory Analysis and Notices
Administrative Procedure Act
The Department of State is of the opinion that controlling the
import and export of defense articles and services is a foreign affairs
function of the United States Government and that rules implementing
this function are exempt from 5 U.S.C. 553 and 554.
Regulatory Flexibility Act
Since the Department is of the opinion that this rule is exempt
from the provisions of 5 U.S.C. 553, there is no requirement for an
analysis under the Regulatory Flexibility Act.
[[Page 61227]]
Unfunded Mandates Reform Act of 1995
This rulemaking does not involve a mandate that will result in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100 million or more in any year and it
will not significantly or uniquely affect small governments. Therefore,
no actions were deemed necessary under the provisions of the Unfunded
Mandates Reform Act of 1995.
Small Business Regulatory Enforcement Fairness Act of 1996
For purposes of the Small Business Regulatory Enforcement Fairness
Act of 1996, a ``major'' rule is a rule that the Administrator of the
OMB Office of Information and Regulatory Affairs finds has resulted or
is likely to result in (1) an annual effect on the economy of
$100,000,000 or more; (2) a major increase in costs or prices for
consumers, individual industries, federal, state, or local government
agencies, or geographic regions; or (3) significant adverse effects on
competition, employment, investment, productivity, innovation, or on
the ability of United States-based enterprises to compete with foreign-
based enterprises in domestic and foreign markets.
The Department does not believe this rulemaking will have an annual
effect on the economy of $100,000,000 or more. Articles that are being
removed from coverage in the U.S. Munitions List categories contained
in this rule will still require licensing for export, but from the
Department of Commerce. While the licensing regime of the Department of
Commerce is more flexible than that of the Department of State, it is
not expected that the change in jurisdiction of these articles will
result in an export difference of $100,000,000 or more.
The Department also does not believe that this rulemaking will
result in a major increase in costs or prices for consumers, individual
industries, federal, state, or local government agencies, or geographic
regions, or have significant adverse effects on competition,
employment, investment, productivity, innovation, or on the ability of
United States-based enterprises to compete with foreign-based
enterprises in domestic and foreign markets.
Executive Orders 12372 and 13132
This rulemaking will not have substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. Therefore, in accordance with Executive
Order 13132, it is determined that this rulemaking does not have
sufficient federalism implications to require consultations or warrant
the preparation of a federalism summary impact statement. The
regulations implementing Executive Order 12372 regarding
intergovernmental consultation on Federal programs and activities do
not apply to this rulemaking.
Executive Orders 12866 and 13563
Executive Orders 12866 and 13563 direct agencies to assess costs
and benefits of available regulatory alternatives and, if regulation is
necessary, to select regulatory approaches that maximize net benefits
(including potential economic, environmental, public health and safety
effects, distributed impacts, and equity). These executive orders
stress the importance of quantifying both costs and benefits, of
reducing costs, of harmonizing rules, and of promoting flexibility.
This rulemaking has been designated a ``significant regulatory
action,'' although not economically significant, under section 3(f) of
Executive Order 12866. Accordingly, this rule has been reviewed by the
Office of Management and Budget (OMB).
Executive Order 12988
The Department of State has reviewed this rulemaking in light of
sections 3(a) and 3(b)(2) of Executive Order 12988 to eliminate
ambiguity, minimize litigation, establish clear legal standards, and
reduce burden.
Executive Order 13175
The Department of State has determined that this rulemaking will
not have tribal implications, will not impose substantial direct
compliance costs on Indian tribal governments, and will not preempt
tribal law. Accordingly, the requirements of Executive Order 13175 do
not apply to this rulemaking.
Paperwork Reduction Act
This rule does not impose or revise any reporting or recordkeeping
requirements subject to the Paperwork Reduction Act, 44 U.S.C. Chapter
35.
List of Subjects
22 CFR Parts 120 and 121
Arms and munitions, Classified information, Exports.
22 CFR Part 123
Arms and munitions, Exports, Reporting and recordkeeping
requirements.
22 CFR Part 126
Arms and munitions, Exports.
22 CFR Part 130
Arms and munitions, Campaign funds, Confidential business
information, Exports, Reporting and recordkeeping requirements.
Accordingly, the Department of State amends 22 CFR chapter I as
follows:
PART 120--PURPOSE AND DEFINITIONS
0
1. The authority citation for part 120 continues to read as follows:
Authority: Secs. 2, 38, and 71, Pub. L. 90-629, 90 Stat. 744
(22 U.S.C. 2752, 2778, 2797); 22 U.S.C. 2794; 22 U.S.C. 2651a; Pub.
L. 105-261, 112 Stat. 1920; Pub. L. 111-266; Section 1261, Pub. L.
112-239; E.O. 13637, 78 FR 16129.
0
2. Section 120.6 is revised to read as follows:
Sec. 120.6 Defense article.
Defense article means any item or technical data designated in
Sec. 121.1 of this subchapter. The policy described in Sec. 120.3 is
applicable to designations of additional items. This term includes
technical data recorded or stored in any physical form, models, mockups
or other items that reveal technical data directly relating to items
designated in Sec. 121.1 of this subchapter. It also includes
forgings, castings, and other unfinished products, such as extrusions
and machined bodies, that have reached a stage in manufacturing where
they are clearly identifiable by mechanical properties, material
composition, geometry, or function as defense articles. It does not
include basic marketing information on function or purpose or general
system descriptions.
0
3. Section 120.10 is amended by revising paragraph (a)(4) to read as
follows:
Sec. 120.10 Technical data.
(a) * * *
(4) Software (see Sec. 120.45(f)) directly related to defense
articles.
* * * * *
0
4. Section 120.41 is amended by revising paragraph (a) introductory
text, paragraph (a)(2), and the note to paragraph (b), to read as
follows:
Sec. 120.41 Specially designed.
(a) Except for commodities or software described in paragraph (b)
of
[[Page 61228]]
this section, a commodity or software (see Sec. 120.45(f)) is
specially designed if it:
* * * * *
(2) Is a part (see Sec. 120.45 (d)), component (see Sec.
120.45(b)), accessory (see Sec. 120.45(c)), attachment (see Sec.
120.45(c)), or software for use in or with a defense article.
* * * * *
Note to paragraph (b): The term ``enumerated'' refers to any
article on the U.S. Munitions List or the Commerce Control List and not
in a ``catch-all'' control. A ``catch-all'' control is one that does
not refer to specific types of parts, components, accessories, or
attachments, but rather controls unspecified parts, components,
accessories, or attachments only if they were specially designed for an
enumerated item.
* * * * *
0
5. Section 120.45 is added to read as follows:
Sec. 120.45 End-items, components, accessories, attachments, parts,
firmware, software, systems, and equipment.
(a) An end-item is a system, equipment, or an assembled article
ready for its intended use. Only ammunition or fuel or other energy
source is required to place it in an operating state.
(b) A component is an item that is useful only when used in
conjunction with an end-item. A major component includes any assembled
element that forms a portion of an end-item without which the end-item
is inoperable. A minor component includes any assembled element of a
major component.
(c) Accessories and attachments are associated articles for any
component, equipment, system, or end-item, and which are not necessary
for its operation, but which enhance its usefulness or effectiveness.
(d) A part is any single unassembled element of a major or a minor
component, accessory, or attachment which is not normally subject to
disassembly without the destruction or the impairment of designed use.
(e) Firmware and any related unique support tools (such as
computers, linkers, editors, test case generators, diagnostic checkers,
library of functions, and system test diagnostics) directly related to
equipment or systems covered under any category of the U.S. Munitions
List are considered as part of the end-item or component. Firmware
includes but is not limited to circuits into which software has been
programmed.
(f) Software includes but is not limited to the system functional
design, logic flow, algorithms, application programs, operating
systems, and support software for design, implementation, test,
operation, diagnosis and repair. A person who intends to export only
software should, unless it is specifically enumerated in Sec. 121.1 of
this subchapter (e.g., USML Category XIII(b)), apply for a technical
data license pursuant to part 125 of this subchapter.
(g) A system is a combination of parts, components, accessories,
attachments, firmware, software, equipment, or end-items that operate
together to perform a function.
Note to paragraph (g): The industrial standards established by
INCOSE and NASA provide examples for when commodities and software
operate together to perform a function as a system. References to these
standards are included in this note to provide examples for when
commodities or software operate together to perform a function as a
system. See the INCOSE standards for what constitutes a system at:
https://g2sebok.incose.org/app/mss/asset.cfm?ID=INCOSE%20G2SEBOK%202.00&ST=F, and in INCOSE SE Handbook
v3.1 2007; ISO/IEC 15288:2008. See the NASA standards for examples of
what constitutes a system in NASA SE Handbook SP-2007-6105 Rev 1.
(h) Equipment is a combination of parts, components, accessories,
attachments, firmware, or software that operate together to perform a
function of, as, or for an end-item or system. Equipment may be a
subset of an end-item based on the characteristics of the equipment.
Equipment that meets the definition of an end-item is an end-item.
Equipment that does not meet the definition of an end-item is a
component, accessory, attachment, firmware, or software.
PART 121--THE UNITED STATES MUNITIONS LIST
0
6. The authority citation for part 121 continues to read as follows:
Authority: Secs. 2, 38, and 71, Pub. L. 90-629, 90 Stat. 744
(22 U.S.C. 2752, 2778, 2797); 22 U.S.C. 2651a; Pub. L. 105-261, 112
Stat. 1920; Section 1261, Pub. L. 112-239; E.O. 13637, 78 FR 16129.
0
7. Section 121.1 is amended by:
0
a. Revising the section heading;
0
b. Revising the final sentence of paragraph (b)(2);
0
c. Removing the word ``enumerated'' and adding in its place the word
``described'' in two places in paragraph (b)(2), in two places in
paragraph (i) of Category I, in two places in paragraph (k) of Category
II, in two places in paragraph (e) of Category III, in one place in
paragraph (i) of Category IV, in one place in Note 1 to paragraph (i)
of Category VI, in one place in Note to paragraph (h)(1) of Category
VIII, in one place in paragraph (i) of Category VIII, in one place in
paragraph (e) of Category IX, in one place in paragraph (e) of Category
X, in two places in paragraph (d) of Category XI, in two places in
paragraph (f) of Category XII, in two places in paragraph (l) of
Category XIII, in two places in paragraph (m) of Category XIV, in two
places in paragraph (f) of Category XV, in one place in paragraph (e)
of Category XVI, in two places in paragraph (f) of Category XVIII, in
one place in paragraph (g) of Category XIX, in one place in paragraph
(d) of Category XX;
0
d. Revising paragraph (a) of Category II;
0
e. Removing the word ``numerated'' in adding in its place the word
``described'' in paragraph (j) of Category V;
0
f. Revising paragraphs (a) and (b), and adding the note to paragraph
(b)(4), and the note to paragraphs (a) and (b) in Category VI;
0
g. Revising paragraphs (a) introductory text, (b), (c), and (e), and
adding the note to paragraph (c), and note 1, note 2, and note 3 to
Category VII in Category VII;
0
h. Revising paragraphs (a) introductory text, (a)(9), (a)(11), (a)(12),
(a)(13), adding paragraphs (a)(14), (a)(15), and (a)(16), revising
paragraphs (h)(3), (h)(6), (h)(13), (h)(15), and (h)(23), adding note 1
and note 2 to paragraph (a)(11), and note 1 to paragraph (a), and
redesignating the note to paragraph (a) as note 2 to paragraph (a) in
Category VIII;
0
i. Revising the title of Category IX, removing the note to paragraph
(e) of Category IX, and revising paragraph (e) of Category IX;
0
j. Adding note to paragraph (f)(1) in Category XIX; and
0
k. Revising paragraphs (a) introductory text, (a)(1), and (a)(4),
redesignating paragraphs (a)(6), (a)(7), and notes 1 through 3 of
paragraph (a)(7) as paragraphs (a)(7), (a)(8), and notes 1 through 3 of
paragraph (a)(8), respectively, adding a new paragraph (a)(6) and
revising paragraph (a)(7) in Category XX.
The revisions and additions read as follows:
Sec. 121.1 The United States Munitions List.
* * * * *
(b) * * *
[[Page 61229]]
(2) * * * Most U.S. Munitions List categories contain an entry on
technical data (see Sec. 120.10 of this subchapter) and defense
services (see Sec. 120.9 of this subchapter) related to the defense
articles described in that U.S. Munitions List category.
* * * * *
Category II--Guns and Armament
*(a) Guns over caliber .50 (i.e., 12.7 mm), whether towed,
airborne, self-propelled, or fixed, including but not limited to,
howitzers, mortars, cannons, recoilless rifles, and grenade launchers.
* * * * *
Category VI--Surface Vessels of War and Special Naval Equipment
*(a) Warships and other combatant vessels (i.e., battleships,
aircraft carriers, destroyers, frigates, cruisers, corvettes, littoral
combat ships, mine sweepers, mine hunters, mine countermeasure ships,
dock landing ships, amphibious assault ships), Coast Guard Cutters
(with or equivalent to those with U.S. designations WHEC, WMEC, WMSL,
or WPB for the purpose of this subchapter), or foreign-origin vessels
specially designed to provide functions equivalent to those of the
vessels listed above;
(b) Other vessels not controlled in paragraph (a) of this category,
as follows:
(1) High-speed air cushion vessels for transporting cargo and
personnel, ship-to-shore and across a beach, with a payload over 25
tons;
(2) Surface vessels integrated with nuclear propulsion plants or
specially designed to support naval nuclear propulsion plants;
(3) Vessels armed or specially designed to be used as a platform to
deliver munitions or otherwise destroy or incapacitate targets (e.g.,
firing lasers, launching torpedoes, rockets, or missiles, or firing
munitions greater than .50 caliber); or
(4) Vessels incorporating any mission systems controlled under this
subchapter.
Note to paragraph (b)(4): ``Mission systems'' are defined as
``systems'' (see Sec. 120.45(g) of this subchapter) that are defense
articles that perform specific military functions such as by providing
military communication, electronic warfare, target designation,
surveillance, target detection, or sensor capabilities.
Note to paragraphs (a) and (b): Vessels specially designed for
military use that are not identified in paragraph (a) or (b) of this
category are subject to the EAR under ECCN 8A609, including any
demilitarized vessels, regardless of origin or designation,
manufactured prior to 1950 and unmodified since 1949. Vessels with
modifications made to incorporate safety features required by law, are
cosmetic (e.g., different paint), or that add parts or components
otherwise available prior to 1950 are considered ``unmodified'' for the
purposes of this paragraph.
* * * * *
Category VII--Ground Vehicles
*(a) Armored combat ground vehicles as follows:
* * * * *
*(b) Ground vehicles (not enumerated in paragraph (a) of this
category) and trailers that are armed or are specially designed to be
used as a firing or launch platform to deliver munitions or otherwise
destroy or incapacitate targets (e.g., firing lasers, launching
rockets, firing missiles, firing mortars, firing artillery rounds, or
firing other ammunition greater than .50 caliber) (MT if specially
designed for rockets, space launch vehicles, missiles, drones, or
unmanned aerial vehicles capable of delivering a payload of at least
500 kg to a range of at least 300 km).
(c) Ground vehicles and trailers equipped with any mission systems
controlled under this subchapter (MT if specially designed for rockets,
space launch vehicles, missiles, drones, or unmanned aerial vehicles
capable of delivering a payload of at least 500 kg to a range of at
least 300 km).
Note to paragraph (c): ``Mission systems'' are defined as
``systems'' (see Sec. 120.45(g) of this subchapter) that are defense
articles that perform specific military functions, such as by providing
military communication, target designation, surveillance, target
detection, or sensor capabilities.
* * * * *
*(e) Armored support vehicles capable of off-road or amphibious use
specially designed to transport or deploy personnel or materiel, or to
move with other vehicles over land in close support of combat vehicles
or troops (e.g., personnel carriers, resupply vehicles, combat engineer
vehicles, recovery vehicles, reconnaissance vehicles, bridge launching
vehicles, ambulances, and command and control vehicles).
Note 1 to Category VII: Ground vehicles specially designed for
military applications that are not identified in this category are
subject to the EAR under ECCN 0A606, including any unarmed ground
vehicles, regardless of origin or designation, manufactured prior to
1956 and unmodified since 1955. Ground vehicles with modifications made
to incorporate safety features required by law, are cosmetic (e.g.,
different paint, repositioning of bolt holes), or that add parts or
components otherwise available prior to 1956 are considered
``unmodified'' for the purposes of this paragraph. ECCN 0A606 also
includes unarmed vehicles derived from otherwise EAR99 civilian
vehicles that have been modified or otherwise fitted with materials to
provide ballistic protection, including protection to level III
(National Institute of Justice Standard 0108.01, September 1985) or
better and that do not have reactive or electromagnetic armor.
Note 2 to Category VII: Armored ground vehicles are (i) ground
vehicles that have integrated, fully armored hulls or cabs, or (ii)
ground vehicles on which add-on armor has been installed to provide
ballistic protection to level III (National Institute of Justice
Standard 0108.01, September 1985) or better. Armored support vehicles
do not include those that are merely capable of being equipped with
add-on armor.
Note 3 to Category VII: Ground vehicles include any vehicle meeting
the definitions or control parameters regardless of the surface (e.g.,
highway, off-road, rail) upon which the vehicle is designed to operate.
* * * * *
Category VIII--Aircraft and Related Articles
(a) Aircraft, as follows:
* * * * *
(9) Air refueling aircraft;
* * * * *
(11) Aircraft incorporating any mission system controlled under
this subchapter;
Note 1 to paragraph (a)(11): ``Mission systems'' are defined as
``systems'' (see Sec. 120.45(g) of this subchapter) that are defense
articles that perform specific military functions such as by providing
military communication, electronic warfare, target designation,
surveillance, target detection, or sensor capabilities.
Note 2 to paragraph (a)(11): This does not include tethered
aerostats. Mission systems incorporated on otherwise EAR-controlled
aerostats are controlled as the mission systems themselves just as if
they were mounted, for example, on a tower or a pole.
(12) Aircraft capable of being refueled in flight including hover-
in-flight refueling (HIFR);
*(13) Optionally Piloted Vehicles (OPV) (i.e. aircraft specially
designed to operate with and without a pilot physically located in the
aircraft) (MT if the OPV has a range equal to or greater than 300km);
[[Page 61230]]
(14) Aircraft with a roll-on/roll-off ramp, capable of airlifting
payloads over 35,000 lbs. to ranges over 2,000 nm without being
refueled in-flight, and landing onto short or unimproved airfields;
*(15) Aircraft not enumerated in paragraphs (a)(1) through (a)(14)
as follows:
(i) U.S.-origin aircraft that bear an original military designation
of A, B, E, F, K, M, P, R, or S; or
(ii) Foreign-origin aircraft specially designed to provide
functions equivalent to those of the aircraft listed in paragraph
(a)(15)(i) of this category; or
(16) are armed or are specially designed to be used as a platform
to deliver munitions or otherwise destroy targets (e.g., firing lasers,
launching rockets, firing missiles, dropping bombs, or strafing);
Note 1 to paragraph (a): Aircraft specially designed for military
applications that are not identified in paragraph (a) of this section
are subject to the EAR and classified as ECCN 9A610, including any
unarmed military aircraft, regardless of origin or designation,
manufactured prior to 1956 and unmodified since manufacture. Aircraft
with modifications made to incorporate safety of flight features or
other FAA or NTSB modifications such as transponders and air data
recorders are considered ``unmodified'' for the purposes of this
paragraph.
* * * * *
(h) * * *
(3) Tail boom folding systems, stabilator folding systems or
automatic rotor blade folding systems, and specially designed parts and
components therefor;
* * * * *
(6) Bomb racks, missile launchers, missile rails, weapon pylons,
pylon-to-launcher adapters, unmanned aerial vehicle (UAV) airborne
launching systems, external stores support systems for ordnance or
weapons, and specially designed parts and components therefor (MT if
the bomb rack, missile launcher, missile rail, weapon pylon, pylon-to-
launcher adapter, UAV airborne launching system, or external stores
support system is for a UAV, drone, or missile that has a ``range''
equal to or greater than 300 km);
* * * * *
(13) Aircraft Lithium-ion batteries that provide greater than 38VDC
nominal;
* * * * *
(15) Integrated helmets incorporating optical sights or slewing
devices, which include the ability to aim, launch, track, or manage
munitions (e.g., Helmet Mounted Cueing Systems, Joint Helmet Mounted
Cueing Systems (JHMCS), Helmet Mounted Displays, Display and Sight
Helmets (DASH)), and specially designed parts, components, accessories,
and attachments therefor;
* * * * *
(23) Electricity-generating fuel cells specially designed for
aircraft controlled in this category or controlled in ECCN 9A610;
* * * * *
Category IX--Military Training Equipment and Training
* * * * *
(e) Technical data (see Sec. 120.10 of this subchapter) and
defense services (see Sec. 120.9 of this subchapter):
(1) Directly related to the defense articles enumerated in
paragraphs (a) and (b) of this category;
(2) Directly related to the software and associated databases
enumerated in paragraph (b)(4) of this category even if no defense
articles are used or transferred; or
(3) Military training (see, Sec. 120.9(a)(3) of this subchapter)
not directly related to defense articles or technical data enumerated
in this subchapter.
* * * * *
Category XIX--Gas Turbine Engines and Associated Equipment
* * * * *
(f) * * *
(1) * * *
Note to paragraph (f)(1): Specially designed (see Sec.
120.41(b)(3)(ii) of this subchapter) does not control parts,
components, accessories, and attachments that are common to engines
enumerated in paragraph (a) through (d) of this category but not
identified in paragraph (f)(1), and those identified in paragraph
(f)(1). For example, a part common to only the F110 and F136 is not
specially designed for purposes of the ITAR. A part common to only the
F119 and F135--two engine models identified in paragraph (f)(1)--is
specially designed.
* * * * *
Category XX--Submersible Vessels and Related Articles
(a) Submersible and semi-submersible vessels that are:
*(1) Submarines specially designed for military use;
* * * * *
(4) Armed or are specially designed to be used as a platform to
deliver munitions or otherwise destroy or incapacitate targets (e.g.,
firing torpedoes, launching rockets, firing missiles, deploying mines,
deploying countermeasures) or deploy military payloads;
* * * * *
(6) Integrated with nuclear propulsion systems;
(7) Equipped with any mission systems controlled under this
subchapter; or
Note to paragraph (a)(7): ``Mission system'' is defined as a
``system'' (see Sec. 120.45(g) of this subchapter) that are defense
articles that perform specific military functions such as by providing
military communication, electronic warfare, target designation,
surveillance, target detection, or sensor capabilities.
* * * * *
0
8. Sections 121.2, 121.3, 121.4, 121.8, 121.10, 121.14, and 121.15 are
removed and reserved.
PART 123--LICENSES FOR THE EXPORT AND TEMPORARY IMPORT OF DEFENSE
ARTICLES
0
9. The authority citation for part 123 continues to read as follows:
Authority: Secs. 2, 38, and 71, Pub. L. 90-629, 90 Stat. 744 (22
U.S.C. 2752, 2778, 2797); 22 U.S.C. 2753; 22 U.S.C. 2651a; 22 U.S.C.
2776; Pub. L. 105-261, 112 Stat. 1920; Sec. 1205(a), Pub. L. 107-
228; Section 1261, Pub. L. 112-239; E.O. 13637, 78 FR 16129.
0
10. Section 123.1 is amended by removing the word ``enumerated'' and
adding in its place the word ``described'' in one place in paragraph
(b)(1).
0
11. Section 123.16 is amended by revising paragraph (b)(4) to read as
follows:
Sec. 123.16 Exemptions of general applicability.
* * * * *
(b) * * *
(4) Port Directors of U.S. Customs and Border Protection shall
permit the export without a license, of unclassified models or mock-ups
of defense articles, provided that such models or mock-ups are
inoperable and do not reveal any technical data in excess of that which
is exempted from the licensing requirements of Sec. 125.4(b) of this
subchapter and do not contain components (see Sec. 120.45(b) of this
subchapter) covered by the U.S. Munitions List (see Sec. 121.1 of this
subchapter). Some models or mockups built to scale or constructed of
original materials can reveal technical data. U.S. persons who avail
themselves of this exemption must provide a written certification to
the Port Director of U.S. Customs and Border Protection that these
conditions are met. This exemption does not imply that the
[[Page 61231]]
Directorate of Defense Trade Controls will approve the export of any
defense articles for which models or mocks-ups have been exported
pursuant to this exemption.
* * * * *
PART 126--GENERAL POLICIES AND PROVISIONS
0
12. The authority citation for part 126 continues to read as follows:
Authority: Secs. 2, 38, 40, 42, and 71, Pub. L. 90-629, 90 Stat.
744 (22 U.S.C. 2752, 2778, 2780, 2791, and 2797); 22 U.S.C. 2651a;
22 U.S.C. 287c; E.O. 12918, 59 FR 28205; 3 CFR, 1994 Comp., p. 899;
Sec. 1225, Pub. L. 108-375; Sec. 7089, Pub. L. 111-117; Pub. L. 111-
266; Sections 7045 and 7046, Pub. L. 112-74; E.O. 13637, 78 FR
16129.
Sec. 126.1 [Amended]
0
13. Section 126.1 is amended by removing the word ``enumerated'' and
adding in its place the word ``described'' in one place in paragraph
(c).
0
14. Supplement No. 1 to part 126 is revised to read as follows:
Supplement No. 1 to Part 126
Supplement No. 1*
[*An ``X'' in the chart indicates that the item is excluded from use
under the exemption referenced in the top of the column. An item
excluded in any one row is excluded regardless of whether other rows may
contain a description that would include the item.]
------------------------------------------------------------------------
(CA) Sec. (AS) Sec. (UK) Sec.
USML Category Exclusion 126.5 126.16 126.17
------------------------------------------------------------------------
I-XXI.......... Classified defense X X X
articles and
services. See Note 1.
I-XXI.......... Defense articles X X X
listed in the Missile
Technology Control
Regime (MTCR) Annex.
I-XXI.......... U.S. origin defense ......... X X
articles and services
used for marketing
purposes and not
previously licensed
for export in
accordance with this
subchapter.
I-XXI.......... Defense services for X ......... .........
or technical data
related to defense
articles identified
in this supplement as
excluded from the
Canadian exemption.
I-XXI.......... Any transaction X ......... .........
involving the export
of defense articles
and services for
which congressional
notification is
required in
accordance with Sec.
123.15 and Sec.
124.11 of this
subchapter.
I-XXI.......... U.S. origin defense ......... X X
articles and services
specific to
developmental systems
that have not
obtained written
Milestone B approval
from the U.S.
Department of Defense
milestone approval
authority, unless
such export is
pursuant to a written
solicitation or
contract issued or
awarded by the U.S.
Department of Defense
for an end-use
identified in
paragraph (e)(1),
(e)(2), or (e)(4) of
Sec. 126.16 or Sec.
126.17 of this
subchapter and is
consistent with other
exclusions of this
supplement.
I-XXI.......... Nuclear weapons X ......... .........
strategic delivery
systems and all
components, parts,
accessories, and
attachments
specifically designed
for such systems and
associated equipment.
I-XXI.......... Defense articles and ......... X X
services specific to
the existence or
method of compliance
with anti-tamper
measures, where such
measures are readily
identifiable, made at
originating
Government direction.
I-XXI.......... Defense articles and ......... X X
services specific to
reduced observables
or counter low
observables in any
part of the spectrum.
See Note 2.
I-XXI.......... Defense articles and ......... X X
services specific to
sensor fusion beyond
that required for
display or
identification
correlation. See Note
3.
I-XXI.......... Defense articles and ......... X X
services specific to
the automatic target
acquisition or
recognition and
cueing of multiple
autonomous unmanned
systems.
I-XXI.......... Nuclear power ......... ......... X
generating equipment
or propulsion
equipment (e.g.,
nuclear reactors),
specifically designed
for military use and
components therefor,
specifically designed
for military use. See
also Sec. 123.20 of
this subchapter.
I-XXI.......... Libraries (parametric ......... ......... X
technical databases)
specially designed
for military use with
equipment controlled
on the USML. See Note
13.
I-XXI.......... Defense services or X ......... .........
technical data
specific to applied
research as defined
in Sec. 125.4(c)(3)
of this subchapter,
design methodology as
defined in Sec.
125.4(c)(4) of this
subchapter,
engineering analysis
as defined in Sec.
125.4(c)(5) of this
subchapter, or
manufacturing know-
how as defined in
Sec. 125.4(c)(6) of
this subchapter. See
Note 12.
I-XXI.......... Defense services other X ......... .........
than those required
to prepare a quote or
bid proposal in
response to a written
request from a
department or agency
of the United States
Federal Government or
from a Canadian
Federal, Provincial,
or Territorial
Government; or
defense services
other than those
required to produce,
design, assemble,
maintain or service a
defense article for
use by a registered
U.S. company, or a
U.S. Federal
Government Program,
or for end-use in a
Canadian Federal,
Provincial, or
Territorial
Government Program.
See Note 14.
I.............. Firearms, close X ......... .........
assault weapons, and
combat shotguns.
II(k).......... Software source code ......... X X
related to USML
Category II(c),
II(d), or II(i). See
Note 4.
II(k).......... Manufacturing know-how X X X
related to USML
Category II(d). See
Note 5.
III............ Ammunition for X ......... .........
firearms, close
assault weapons, and
combat shotguns
listed in USML
Category I.
III............ Defense articles and ......... ......... X
services specific to
ammunition and fuse
setting devices for
guns and armament
controlled in USML
Category II.
III(e)......... Manufacturing know-how X X X
related to USML
Category III(d)(1) or
III(d)(2) and their
specially designed
components. See Note
5.
III(e)......... Software source code ......... X X
related to USML
Category III(d)(1) or
III(d)(2). See Note 4.
IV............. Defense articles and X X X
services specific to
man-portable air
defense systems
(MANPADS). See Note 6.
IV............. Defense articles and ......... ......... X
services specific to
rockets, designed or
modified for non-
military applications
that do not have a
range of 300 km
(i.e., not controlled
on the MTCR Annex).
IV............. Defense articles and ......... X X
services specific to
torpedoes.
IV............. Defense articles and X X X
services specific to
anti-personnel
landmines. See Note
15.
[[Page 61232]]
IV............. Defense articles and X X X
services specific to
cluster munitions.
IV(i).......... Software source code ......... X X
related to USML
Category IV(a),
IV(b), IV(c), or
IV(g). See Note 4.
IV(i).......... Manufacturing know-how X X X
related to USML
Category IV(a),
IV(b), IV(d), or
IV(g) and their
specially designed
components. See Note
5.
V.............. The following ......... ......... X
energetic materials
and related
substances:.
a. TATB
(triaminotrinitrobenz
ene) (CAS 3058-38-6);.
b. Explosives
controlled in USML
Category V(a)(38);.
c. Iron powder (CAS
7439-89-6) with
particle size of 3
micrometers or less
produced by reduction
of iron oxide with
hydrogen;.
d. BOBBA-8 (bis(2-
methylaziridinyl)2-(2-
hydroxypropanoxy)
propylamino phosphine
oxide), and other
MAPO derivatives;.
e. N-methyl-p-
nitroaniline (CAS 100-
15-2); or.
f.
Trinitrophenylmethyln
itramine (tetryl)
(CAS 479-45-8).
V(a)(13)....... ANF or ANAzF as ......... ......... X
described in USML
Category
V(a)(13)(iii) and
(iv).
V(a)(23)....... Difluoraminated ......... ......... X
derivative of RDX as
described in USML
Category
V(a)(23)(iii).
V(c)(7)........ Pyrotechnics and ......... ......... X
pyrophorics
specifically
formulated for
military purposes to
enhance or control
radiated energy in
any part of the IR
spectrum.
V(d)(3)........ Bis-2, 2- ......... ......... X
dinitropropylnitrate
(BDNPN).
V(i)........... Developmental ......... X X
explosives,
propellants,
pyrotechnics, fuels,
oxidizers, binders,
additives, or
precursors therefor,
funded by the
Department of Defense
via contract or other
funding authorization
in accordance with
notes 1 to 3 for USML
Category V(i). This
exclusion does not
apply if such export
is pursuant to a
written solicitation
or contract issued or
awarded by the U.S.
Department of Defense
for an end-use
identified in
paragraph (e)(1),
(e)(2), or (e)(4) of
Sec. 126.16 or Sec.
126.17 of this
subchapter and is
consistent with other
exclusions of this
supplement.
VI............. Defense articles and ......... ......... X
services specific to
cryogenic equipment,
and specially
designed components
or accessories
therefor, specially
designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne or space
applications, capable
of operating while in
motion and of
producing or
maintaining
temperatures below
103 K (-170[deg]C).
VI............. Defense articles and ......... ......... X
services specific to
superconductive
electrical equipment
(rotating machinery
and transformers)
specially designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne, or space
applications and
capable of operating
while in motion.
This, however, does
not include direct
current hybrid
homopolar generators
which have single-
pole normal metal
armatures that rotate
in a magnetic field
produced by
superconducting
windings, provided
those windings are
the only
superconducting
component in the
generator.
VI............. Defense articles and ......... X X
services specific to
naval technology and
systems relating to
acoustic spectrum
control and
awareness. See Note
10.
VI(a).......... Nuclear powered X X X
vessels.
VI(e).......... Defense articles and X X X
services specific to
naval nuclear
propulsion equipment.
See Note 7.
VI(g).......... Software source code ......... X X
related to USML
Category VI(a) or
VI(c). See Note 4.
VII............ Defense articles and ......... ......... X
services specific to
cryogenic equipment,
and specially
designed components
or accessories
therefor, specially
designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne or space
applications, capable
of operating while in
motion and of
producing or
maintaining
temperatures below
103 K (-170[deg]C).
VII............ Defense articles and ......... ......... X
services specific to
superconductive
electrical equipment
(rotating machinery
and transformers)
specially designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne, or space
applications and
capable of operating
while in motion.
This, however, does
not include direct
current hybrid
homopolar generators
that have single-pole
normal metal
armatures which
rotate in a magnetic
field produced by
superconducting
windings, provided
those windings are
the only
superconducting
component in the
generator.
VIII........... Defense articles and ......... ......... X
services specific to
cryogenic equipment,
and specially
designed components
and accessories
therefor, specially
designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne or space
applications, capable
of operating while in
motion and of
producing or
maintaining
temperatures below
103 K (-170[deg]C).
VIII........... Defense articles and ......... ......... X
services specific to
superconductive
electrical equipment
(rotating machinery
and transformers)
specially designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne, or space
applications and
capable of operating
while in motion.
This, however, does
not include direct
current hybrid
homopolar generators
which have single-
pole normal metal
armatures that rotate
in a magnetic field
produced by
superconducting
windings, provided
those windings are
the only
superconducting
component in the
generator.
VIII(a)........ All USML Category X ......... .........
VIII(a) items.
VIII(f)........ Developmental aircraft X ......... .........
parts, components,
accessories, and
attachments
identified in USML
Category VIII(f).
VIII(i)........ Manufacturing know-how X X X
related to USML
Category VIII(a) or
VIII(e), and
specially designed
parts or components
therefor. See Note 5.
VIII(i)........ Software source code ......... X X
related to USML
Category VIII(a) or
VIII(e). See Note 4.
IX............. Training or simulation ......... X X
equipment for Man
Portable Air Defense
Systems (MANPADS).
See Note 6.
IX(e).......... Software source code ......... X X
related to USML
Category IX(a) or
IX(b). See Note 4.
IX(e).......... Software that is both ......... ......... X
specifically designed
or modified for
military use and
specifically designed
or modified for
modeling or
simulating military
operational scenarios.
[[Page 61233]]
X(e)........... Manufacturing know-how X X X
related to USML
Category X(a)(1) or
X(a)(2), and
specially designed
components therefor.
See Note 5.
XI(a).......... Defense articles and ......... X X
services specific to
countermeasures and
counter-
countermeasures See
Note 9.
XI(a).......... High Frequency and ......... X .........
Phased Array
Microwave Radar
systems, with
capabilities such as
search, acquisition,
tracking, moving
target indication,
and imaging radar
systems. See Note 16.
XI............. Defense articles and ......... X X
services specific to
naval technology and
systems relating to
acoustic spectrum
control and
awareness. See Note
10.
XI(b), XI(c), Defense articles and ......... X X
XI(d). services specific to
USML Category XI (b)
(e.g., communications
security (COMSEC) and
TEMPEST).
XI(d).......... Software source code ......... X X
related to USML
Category XI(a). See
Note 4.
XI(d).......... Manufacturing know-how X X X
related to USML
Category XI(a)(3) or
XI(a)(4), and
specially designed
components therefor.
See Note 5.
XII............ Defense articles and ......... X X
services specific to
countermeasures and
counter-
countermeasures. See
Note 9.
XII............ Defense articles and X ......... .........
services specific to
USML Category XII(c)
articles, except any
1st- and 2nd-
generation image
intensification tubes
and 1st- and 2nd-
generation image
intensification night
sighting equipment.
End-items in USML
Category XII(c) and
related technical
data limited to basic
operations,
maintenance, and
training information
as authorized under
the exemption in Sec.
125.4(b)(5) of this
subchapter may be
exported directly to
a Canadian Government
entity (i.e.,
federal, provincial,
territorial, or
municipal) consistent
with Sec. 126.5,
other exclusions, and
the provisions of
this subchapter.
XII............ Technical data or X X X
defense services for
night vision
equipment beyond
basic operations,
maintenance, and
training data.
However, the AS and
UK Treaty exemptions
apply when such
export is pursuant to
a written
solicitation or
contract issued or
awarded by the U.S.
Department of Defense
for an end-use
identified in
paragraph (e)(1),
(e)(2), or (e)(4) of
Sec. 126.16 or Sec.
126.17 of this
subchapter and is
consistent with other
exclusions of this
supplement.
XII(f)......... Manufacturing know-how X X X
related to USML
Category XII(d) and
specially designed
components therefor.
See Note 5.
XII(f)......... Software source code ......... X X
related to USML
Category XII(a),
XII(b), XII(c), or
XII(d). See Note 4.
XIII(b)........ Defense articles and ......... X X
services specific to
USML Category XIII(b)
(Military Information
Security Assurance
Systems,
cryptographic
devices, software,
and components).
XIII(d)........ Carbon/carbon billets ......... ......... X
and preforms which
are reinforced in
three or more
dimensional planes,
specifically
designed, developed,
modified, configured
or adapted for
defense articles.
XIII(e)........ Defense articles and ......... ......... X
services specific to
armored plate
manufactured to
comply with a
military standard or
specification or
suitable for military
use. See Note 11.
XIII(g)........ Defense articles and ......... ......... X
services related to
concealment and
deception equipment
and materials.
XIII(h)........ Energy conversion ......... ......... X
devices other than
fuel cells.
XIII(j)........ Defense articles and ......... X X
services related to
hardware associated
with the measurement
or modification of
system signatures for
detection of defense
articles as described
in Note 2.
XIII(l)........ Software source code ......... X X
related to USML
Category XIII(a). See
Note 4.
XIV............ Defense articles and ......... X X
services related to
toxicological agents,
including chemical
agents, biological
agents, and
associated equipment.
XIV(a), XIV(b), Chemical agents listed X ......... .........
XIV(d), in USML Category
XIV(e), XIV(f). XIV(a), (d) and (e),
biological agents and
biologically derived
substances in USML
Category XIV(b), and
equipment listed in
USML Category XIV(f)
for dissemination of
the chemical agents
and biological agents
listed in USML
Category XIV(a), (b),
(d), and (e).
XV(a).......... Defense articles and X X X
services specific to
spacecraft/
satellites. However,
the Canadian
exemption may be used
for commercial
communications
satellites that have
no other type of
payload.
XV(b).......... Defense articles and ......... X X
services specific to
ground control
stations for
spacecraft telemetry,
tracking, and
control. Defense
articles and services
are not excluded
under this entry if
they do not control
the spacecraft.
Receivers for
receiving satellite
transmissions are
also not excluded
under this entry.
XV(c).......... Defense articles and ......... X X
services specific to
GPS/PPS security
modules.
XV(c).......... Defense articles X ......... .........
controlled in USML
Category XV(c) except
end-items for end-use
by the Federal
Government of Canada
exported directly or
indirectly through a
Canadian-registered
person.
XV(e).......... Anti-jam systems with X ......... .........
the ability to
respond to incoming
interference by
adaptively reducing
antenna gain
(nulling) in the
direction of the
interference.
XV(e).......... Antennas having any of X ......... .........
the following:.
a. Aperture (overall
dimension of the
radiating portions of
the antenna) greater
than 30 feet;.
b. All sidelobes less
than or equal to -35
dB relative to the
peak of the main
beam; or.
c. Designed, modified,
or configured to
provide coverage area
on the surface of the
earth less than 200
nautical miles in
diameter, where
``coverage area'' is
defined as that area
on the surface of the
earth that is
illuminated by the
main beam width of
the antenna (which is
the angular distance
between half power
points of the beam).
XV(e).......... Optical intersatellite X ......... .........
data links (cross
links) and optical
ground satellite
terminals.
[[Page 61234]]
XV(e).......... Spaceborne X ......... .........
regenerative baseband
processing (direct up
and down conversion
to and from baseband)
equipment.
XV(e).......... Propulsion systems X ......... .........
which permit
acceleration of the
satellite on-orbit
(i.e., after mission
orbit injection) at
rates greater than
0.1 g.
XV(e).......... Attitude control and X ......... .........
determination systems
designed to provide
spacecraft pointing
determination and
control or payload
pointing system
control better than
0.02 degrees per axis.
XV(e).......... All specifically X ......... .........
designed or modified
systems, components,
parts, accessories,
attachments, and
associated equipment
for all USML Category
XV(a) items, except
when specifically
designed or modified
for use in commercial
communications
satellites.
XV(e).......... Defense articles and ......... X X
services specific to
spacecraft and ground
control station
systems (only for
telemetry, tracking
and control as
controlled in USML
Category XV(b)),
subsystems,
components, parts,
accessories,
attachments, and
associated equipment.
XV(f).......... Technical data and X X X
defense services
directly related to
the other defense
articles excluded
from the exemptions
for USML Category XV.
XVI............ Defense articles and X X X
services specific to
design and testing of
nuclear weapons.
XVII........... Classified articles, X X X
and technical data
and defense services
relating thereto, not
elsewhere enumerated.
See Note 1.
XVIII.......... Defense articles and ......... X X
services specific to
directed energy
weapon systems.
XIX(e), Defense articles and ......... X X
XIX(f)(1), services specific to
XIX(f)(2), gas turbine engine
XIX(g). hot section
components and to
Full Authority
Digital Engine
Control Systems
(FADEC) or Digital
Electronic Engine
Controls (DEEC). See
Note 8.
XIX(g)......... Technical data and X X X
defense services for
gas turbine engine
hot sections. (This
does not include
hardware). See Note 8.
XX............. Defense articles and X X X
services related to
submersible vessels,
oceanographic, and
associated equipment.
XX............. Defense articles and ......... X X
services specific to
naval technology and
systems relating to
acoustic spectrum
control and
awareness. See Note
10.
XX............. Defense articles ......... ......... X
specific to cryogenic
equipment, and
specially designed
components or
accessories therefor,
specially designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne or space
applications, capable
of operating while in
motion and of
producing or
maintaining
temperatures below
103 K (-170[deg]C).
XX............. Defense articles ......... ......... X
specific to
superconductive
electrical equipment
(rotating machinery
and transformers)
specially designed or
configured to be
installed in a
vehicle for military
ground, marine,
airborne, or space
applications and
capable of operating
while in motion.
This, however, does
not include direct
current hybrid
homopolar generators
that have single-pole
normal metal
armatures which
rotate in a magnetic
field produced by
superconducting
windings, provided
those windings are
the only
superconducting
component in the
generator.
XX(a).......... Nuclear powered X X X
vessels.
XX(b).......... Defense articles and X X X
services specific to
naval nuclear
propulsion equipment.
See Note 7.
XX(c).......... Defense articles and ......... X X
services specific to
submarine combat
control systems.
XX(d).......... Software source code ......... X X
related to USML
Category XX(a). See
Note 4.
XXI............ Articles, and X X X
technical data and
defense services
relating thereto, not
otherwise enumerated
on the USML, but
placed in this
category by the
Director, Office of
Defense Trade
Controls Policy.
------------------------------------------------------------------------
Note 1: Classified defense articles and services are not eligible for
export under the Canadian exemptions. U.S. origin articles, technical
data, and services controlled in USML Category XVII are not eligible
for export under the UK Treaty exemption. U.S. origin classified
defense articles and services are not eligible for export under either
the UK or AS Treaty exemptions except when being released pursuant to a
U.S. Department of Defense written request, directive, or contract that
provides for the export of the defense article or service.
Note 2: The phrase ``any part of the spectrum'' includes radio frequency
(RF), infrared (IR), electro-optical, visual, ultraviolet (UV),
acoustic, and magnetic. Defense articles related to reduced observables
or counter reduced observables are defined as:
(a) Signature reduction (radio frequency (RF), infrared (IR), Electro-
Optical, visual, ultraviolet (UV), acoustic, magnetic, RF emissions) of
defense platforms, including systems, subsystems, components, materials
(including dual-purpose materials used for Electromagnetic Interference
(EM) reduction), technologies, and signature prediction, test and
measurement equipment and software, and material transmissivity/
reflectivity prediction codes and optimization software.
(b) Electronically scanned array radar, high power radars, radar
processing algorithms, periscope-mounted radar systems (PATRIOT),
LADAR, multistatic and IR focal plane array-based sensors, to include
systems, subsystems, components, materials, and technologies.
Note 3: Defense articles and services related to sensor fusion beyond
that required for display or identification correlation is defined as
techniques designed to automatically combine information from two or
more sensors/sources for the purpose of target identification,
tracking, designation, or passing of data in support of surveillance or
weapons engagement. Sensor fusion involves sensors such as acoustic,
infrared, electro optical, frequency, etc. Display or identification
correlation refers to the combination of target detections from
multiple sources for assignment of common target track designation.
Note 4: Software source code beyond that source code required for basic
operation, maintenance, and training for programs, systems, and/or
subsystems is not eligible for use of the UK or AS Treaty exemptions,
unless such export is pursuant to a written solicitation or contract
issued or awarded by the U.S. Department of Defense for an end-use
identified in paragraph (e)(1), (e)(2), or (e)(4) of Sec. 126.16 or
Sec. 126.17 of this subchapter and is consistent with other
exclusions of this supplement.
Note 5: Manufacturing know-how, as defined in Sec. 125.4(c)(6) of this
subchapter, is not eligible for use of the UK or AS Treaty exemptions,
unless such export is pursuant to a written solicitation or contract
issued or awarded by the U.S. Department of Defense for an end-use
identified in paragraph (e)(1), (e)(2), or (e)(4) of Sec. 126.16 or
Sec. 126.17 of this subchapter and is consistent with other
exclusions of this supplement.
[[Page 61235]]
Note 6: Defense articles and services specific to Man Portable Air
Defense Systems (MANPADS) includes missiles that can be used without
modification in other applications. It also includes production and
test equipment and components specifically designed or modified for
MANPAD systems, as well as training equipment specifically designed or
modified for MANPAD systems.
Note 7: Naval nuclear propulsion plants includes all of USML Category
VI(e). Naval nuclear propulsion information consists of technical data
that concern the design, arrangement, development, manufacture,
testing, operation, administration, training, maintenance, and repair
of the propulsion plants of naval nuclear-powered ships and prototypes,
including the associated shipboard and shore-based nuclear support
facilities. Examples of defense articles covered by this exclusion
include nuclear propulsion plants and nuclear submarine technologies or
systems; nuclear powered vessels (see USML Categories VI and XX).
Note 8: A complete gas turbine engine with embedded hot section
components or digital engine controls is eligible for export or
transfer under the Treaties. Technical data, other than those data
required for routine external maintenance and operation, related to the
hot section is not eligible for export under the Canadian exemption.
Technical data, other than those data required for routine external
maintenance and operation, related to the hot section or digital engine
controls, as well as individual hot section parts or components are not
eligible for the Treaty exemption whether shipped separately or
accompanying a complete engine. Gas turbine engine hot section exempted
defense article components and technology are combustion chambers and
liners; high pressure turbine blades, vanes, disks and related cooled
structure; cooled low pressure turbine blades, vanes, disks and related
cooled structure; cooled augmenters; and cooled nozzles. Examples of
gas turbine engine hot section developmental technologies are
Integrated High Performance Turbine Engine Technology (IHPTET),
Versatile, Affordable Advanced Turbine Engine (VAATE), and Ultra-
Efficient Engine Technology (UEET), which are also excluded from export
under the exemptions.
Note 9: Examples of countermeasures and counter-countermeasures related
to defense articles not exportable under the AS or UK Treaty exemptions
are:
(a) IR countermeasures;
(b) Classified techniques and capabilities;
(c) Exports for precision radio frequency location that directly or
indirectly supports fire control and is used for situation awareness,
target identification, target acquisition, and weapons targeting and
Radio Direction Finding (RDF) capabilities. Precision RF location is
defined as angle of arrival accuracy of less than five degrees (RMS)
and RF emitter location of less than ten percent range error;
(d) Providing the capability to reprogram; and
(e) Acoustics (including underwater), active and passive
countermeasures, and counter-countermeasures.
Note 10: Examples of defense articles covered by this exclusion include
underwater acoustic vector sensors; acoustic reduction; off-board,
underwater, active and passive sensing, propeller/propulsor
technologies; fixed mobile/floating/powered detection systems which
include in-buoy signal processing for target detection and
classification; autonomous underwater vehicles capable of long
endurance in ocean environments (manned submarines excluded); automated
control algorithms embedded in on-board autonomous platforms which
enable (a) group behaviors for target detection and classification, (b)
adaptation to the environment or tactical situation for enhancing
target detection and classification; ``intelligent autonomy''
algorithms that define the status, group (greater than 2) behaviors,
and responses to detection stimuli by autonomous, underwater vehicles;
and low frequency, broad band ``acoustic color,'' active acoustic
``fingerprint'' sensing for the purpose of long range, single pass
identification of ocean bottom objects, buried or otherwise (controlled
under Category USML XI(a)(1), (a)(2), (b), (c), and (d)).
Note 11: This exclusion does not apply to the platforms (e.g., vehicles)
for which the armored plates are applied. For exclusions related to the
platforms, refer to the other exclusions in this list, particularly for
the category in which the platform is controlled.
The excluded defense articles include constructions of metallic or non-
metallic materials or combinations thereof specially designed to
provide protection for military systems. The phrase ``suitable for
military use'' applies to any articles or materials which have been
tested to level IIIA or above IAW NIJ standard 0108.01 or comparable
national standard. This exclusion does not include military helmets,
body armor, or other protective garments which may be exported IAW the
terms of the AS or UK Treaty.
Note 12: Defense services or technical data specific to applied research
(Sec. 125.4(c)(3) of this subchapter), design methodology (Sec.
125.4(c)(4) of this subchapter), engineering analysis (Sec.
125.4(c)(5) of this subchapter), or manufacturing know-how (Sec.
125.4(c)(6) of this subchapter) are not eligible for export under the
Canadian exemptions. However, this exclusion does not include defense
services or technical data specific to build-to-print as defined in
Sec. 125.4(c)(1) of this subchapter, build/design-to-specification as
defined in Sec. 125.4(c)(2) of this subchapter, or basic research as
defined in Sec. 125.4(c)(3) of this subchapter, or maintenance (i.e.,
inspection, testing, calibration or repair, including overhaul,
reconditioning and one-to-one replacement of any defective items parts
or components, but excluding any modification, enhancement, upgrade or
other form of alteration or improvement that changes the basic
performance of the item) of non-excluded defense articles which may be
exported subject to other exclusions or terms of the Canadian
exemptions.
Note 13: The term ``libraries'' (parametric technical databases) means a
collection of technical information of a military nature, reference to
which may enhance the performance of military equipment or systems.
Note 14: In order to utilize the authorized defense services under the
Canadian exemption, the following must be complied with:
(a) The Canadian contractor and subcontractor must certify, in
writing, to the U.S. exporter that the technical data and defense
services being exported will be used only for an activity
identified in Supplement No. 1 to part 126 of this subchapter and
in accordance with Sec. 126.5 of this subchapter; and.
(b) A written arrangement between the U.S. exporter and the Canadian
recipient must:.
(1) Limit delivery of the defense articles being produced
directly to an identified manufacturer in the United States
registered in accordance with part 122 of this subchapter; a
department or agency of the United States Federal Government; a
Canadian-registered person authorized in writing to manufacture
defense articles by and for the Government of Canada; a
Canadian Federal, Provincial, or Territorial Government;.
(2) Prohibit the disclosure of the technical data to any other
contractor or subcontractor who is not a Canadian-registered
person;.
(3) Provide that any subcontract contain all the limitations of
Sec. 126.5 of this subchapter;.
(4) Require that the Canadian contractor, including
subcontractors, destroy or return to the U.S. exporter in the
United States all of the technical data exported pursuant to
the contract or purchase order upon fulfillment of the
contract, unless for use by a Canadian or United States
Government entity that requires in writing the technical data
be maintained. The U.S. exporter must be provided written
certification that the technical data is being retained or
destroyed; and.
[[Page 61236]]
(5) Include a clause requiring that all documentation created
from U.S. origin technical data contain the statement that,
``This document contains technical data, the use of which is
restricted by the U.S. Arms Export Control Act. This data has
been provided in accordance with, and is subject to, the
limitations specified in Sec. 126.5 of the International
Traffic in Arms Regulations (ITAR). By accepting this data, the
consignee agrees to honor the requirements of the ITAR.''.
(c) The U.S. exporter must provide the Directorate of Defense Trade
Controls a semi-annual report regarding all of their on-going
activities authorized under Sec. 126.5 of this subchapter. The
report shall include the article(s) being produced; the end-
user(s); the end-item into which the product is to be incorporated;
the intended end-use of the product; and the names and addresses of
all the Canadian contractors and subcontractors..
Note 15: This exclusion does not apply to demining equipment in support
of the clearance of landmines and unexploded ordnance for humanitarian
purposes.
As used in this exclusion, ``anti-personnel landmine'' means any mine
placed under, on, or near the ground or other surface area, or
delivered by artillery, rocket, mortar, or similar means or dropped
from an aircraft and which is designed to be detonated or exploded by
the presence, proximity, or contact of a person; any device or material
which is designed, constructed, or adapted to kill or injure and which
functions unexpectedly when a person disturbs or approaches an
apparently harmless object or performs an apparently safe act; any
manually-emplaced munition or device designed to kill, injure, or
damage and which is actuated by remote control or automatically after a
lapse of time.
Note 16: The radar systems described are controlled in USML Category
XI(a)(3)(i) through (v). As used in this entry, the term ``systems''
includes equipment, devices, software, assemblies, modules, components,
practices, processes, methods, approaches, schema, frameworks, and
models.
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PART 130--POLITICAL CONTRIBUTIONS, FEES AND COMMISSIONS
0
15. The authority citation for part 130 continues to read as follows:
Authority: Sec. 39, Pub. L. 94-329, 90 Stat. 767 (22 U.S.C.
2779); 22 U.S.C. 2651a; E.O. 13637, 78 FR 16129.
0
16. Section 130.8 is amended by revising the introductory text of
paragraph (a) to read as follows:
Sec. 130.8 Vendor.
(a) Vendor means any distributor or manufacturer who, directly or
indirectly, furnishes to an applicant or supplier defense articles
valued in an amount of $500,000 or more which are end-items or major
components as defined in Sec. 120.45 of this subchapter. It also means
any person who, directly or indirectly, furnishes to an applicant or
supplier defense articles or services valued in an amount of $500,000
or more when such articles or services are to be delivered (or
incorporated in defense articles or defense services to be delivered)
to or for the use of the armed forces of a foreign country or
international organization under:
* * * * *
Rose E. Gottemoeller,
Under Secretary, Arms Control and International Security, Department of
State.
[FR Doc. 2014-23792 Filed 10-9-14; 8:45 am]
BILLING CODE 4710-05-P