Amendment to the International Traffic in Arms Regulations: Revision of U.S. Munitions List Category XV; Correction, 66608-66615 [2014-26631]
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66608
Federal Register / Vol. 79, No. 217 / Monday, November 10, 2014 / Rules and Regulations
5. On page 57345, in the first column,
57th line, amendment 64.c is removed
and amendments 64.d, 64.e, 64.f, 64.g,
64.h, and 64.i are redesignated as
amendments 64.c, 64.d, 64.e, 64.f, 64.g,
and 64.h, respectively.
■
Dated: November 3, 2014.
Brent J. Fields,
Secretary.
[FR Doc. 2014–26504 Filed 11–7–14; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF STATE
22 CFR Parts 121, 123, 125, and 126
RIN 1400–AD33
[Public Notice: 8942]
Amendment to the International Traffic
in Arms Regulations: Revision of U.S.
Munitions List Category XV; Correction
Department of State.
Final rule, correction.
AGENCY:
ACTION:
On May 24, 2013, the
Department of State published a rule (78
FR 31444) proposing to amend the
International Traffic in Arms
Regulations (ITAR) by revising Category
XV of the U.S Munitions List (USML) as
part of the President’s Export Control
Reform (ECR) effort. After review of
comments to the proposed rule, on May
13, 2014, the Department published an
interim final rule that allowed a final
comment period until June 27, 2014.
The Department is now making final the
interim final rule and correcting the
interim final rule that appeared in the
Federal Register of May 13, 2014.
DATES: This rule is effective November
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, Category XV Final
Rule.
SUMMARY:
The
Department provides the following
modification and corrections to the rule,
‘‘Amendment to the International
Traffic in Arms Regulations: Revision of
U.S. Munitions List Category XV,’’
published on May 13, 2014, and
effective on November 10, 2014 (79 FR
27180).
The changes in this rule are meant to
clarify the regulation by revising certain
text and providing conforming updates
to Supplement No. 1 to part 126, taking
into account revisions made to the
USML categories in the rule published
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SUPPLEMENTARY INFORMATION:
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on May 13, 2014. Additionally,
supplement No. 1 to part 126 is
amended by adding a note regarding the
use of the exemptions for transactions
that require congressional notification
(Note 17) due to confusion as to when
the exemptions may be used in
furtherance of properly notified
agreements.
Pursuant to ECR, the Department of
Commerce has been publishing
revisions to the Export Administration
Regulations, including various revisions
to the Commerce Control List (CCL).
Revision of the USML and CCL are
coordinated so there is uninterrupted
regulatory coverage for items moving
from the jurisdiction of the Department
of State to that of the Department of
Commerce. The Department of
Commerce’s companion to this notice
(see ‘‘Revisions to the Export
Administration Regulations: Control of
Spacecraft Systems and Related Items
That the President Determines No
Longer Warrant Control Under the
United States Munitions List,’’ 79 FR
27418) is also published in this edition
of the Federal Register.
The following modifications and
corrections are made to the rule, FR
Doc. 2014–10806, published on May 13,
2014 (79 FR 27180):
PART 121
§ 121.1
[CORRECTED]
[Corrected]
1A. On page 27185, in the third
column, in amendatory instruction 4,
add ‘‘paragraph (d)(1) of U.S. Munitions
List Category XIII,’’ before ‘‘paragraph (i)
of U.S. Munitions List Category IV’’.
■ 1B. On page 27185, in the third
column, in Category IV, paragraph (i),
‘‘enumerated’’ is removed and
‘‘described’’ is added in its place and on
page 27186 in the first column, in
Category IV, paragraph (i), ‘‘to a foreign
person’’ is added following ‘‘(including
training)’’ in two places.
■
2. On page 27186, in the first column,
before Category XV the following is
added:
■
Category XIII—Materials and
Miscellaneous Articles
*
*
*
*
*
(d) Materials, as follows:
*(1) Ablative materials fabricated or
semi-fabricated from advanced
composites (e.g., silica, graphite, carbon,
carbon/carbon, and boron filaments)
specially designed for the articles in
USML Category IV or XV (MT if usable
for nozzles, re-entry vehicles, nose tips,
or nozzle flaps usable in rockets, space
launch vehicles (SLVs), or missiles
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capable of achieving a range greater than
or equal to 300 km); or
*
*
*
*
*
■ 3. On page 27186, in the second
column, in Category XV, paragraph
(a)(10), ‘‘assembly’’ is removed and
‘‘surveillance, assembly, repair,’’ is
added in its place.
■ 4. On page 27186, in the second
column, in Category XV, paragraph
(a)(11), ‘‘[Reserved]’’ is removed and
‘‘Provide for sub-orbital or in-space
human habitation and have integrated
propulsion other than that required for
attitude control;’’ is added in its place.
■ 5. On page 27186, in the second
column, in Category XV, paragraph
(a)(12) is removed and ‘‘That are not
commercial communications satellites
and that have integrated propulsion
other than for attitude control or
achieving initial orbit;’’ is added in its
place.
■ 6. On page 27187, in the first column,
in Category XV, Note to paragraph (c) is
retitled ‘‘Note to paragraph (c)(3)’’, it is
moved to below paragraph (c)(3), and
‘‘Articles do not become subject to the
EAR until integrated into the item
subject to the EAR. Export, reexport,
retransfer, or temporary import of, and
technical data and defense services
directly related to, defense articles
intended to be integrated remain subject
to the ITAR.’’ is added to the end.
■ 7. On page 27187, in the second
column, in Category XV:
■ a. In paragraph (e)(11)(ii) ‘‘or’’ is
removed;
■ b. In paragraph (e)(11)(iii), ‘‘)’’ is
added before the semi-colon and ‘‘or’’ is
added after the semi-colon; and
■ c. Paragraph (e)(11)(iv) is added
reading ‘‘(iv) Plasma based propulsion
systems;’’
■ 8. On page 27187, in the third column,
in Category XV, Note 2 to paragraph
(e)(18), ‘‘XXXX XX’’ is removed and
‘‘May 13’’ is added in its place.
■ 9. On page 27188, in the first column,
in Category XV, Note 2 to paragraph (e),
‘‘Articles do not become subject to the
EAR until integrated into the item
subject to the EAR. Export, reexport,
retransfer, or temporary import of, and
technical data and defense services
directly related to defense articles
intended to be integrated remain subject
to the ITAR.’’ is added to the end.
■ 10. On page 27188, in the second
column, in Category XV, paragraph (f),
‘‘enumerated’’ is removed and
‘‘described’’ is added in its place.
■ 11. On page 27188, in the second
column, in Category XV, Note 1 to
paragraph (f):
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a. The word ‘‘certain’’ is added before
the second instance of ‘‘technical data’’;
■ b. The word ‘‘enumerated’’ is removed
and ‘‘described’’ is added in its place;
and
■ c. The word ‘‘includes’’ is removed
and ‘‘only applies to’’ is added in its
place.
■
PART 123
[CORRECTED]
12. On page 27189, in the first
column, before Part 124—
AGREEMENTS, OFF-SHORE
PROCUREMENT, AND OTHER
DEFENSE SERVICES add the following
amendments:
■
PART 123—LICENSES FOR THE
EXPORT AND TEMPORARY IMPORT
OF DEFENSE ARTICLES
5. The authority citation for part 123
continues to read as follows:
■
Authority: Secs. 2, 38, and 71, 90, 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.
6. Section 123.16 is amended by
removing and reserving paragraph
(b)(10).
■ 7. Section 123.20 is amended by
revising paragraph (a) to read as follows:
■
§ 123.20
Nuclear-related controls.
(a) The provisions of this subchapter
do not apply to articles, technical data,
or services in Category VI, Category XV,
Category XVI, or Category XX of § 121.1
of this subchapter to the extent that
exports of such articles, technical data,
or services are controlled by the
Department of Energy or the Nuclear
Regulatory Commission pursuant to the
Atomic Energy Act of 1954, as amended,
and the Nuclear Non-Proliferation Act
of 1978, as amended, or is a government
transfer authorized pursuant to these
Acts. For Department of Commerce
controls, see 15 CFR 742.3 and 744.2,
administered pursuant to Section 309(c)
of the Nuclear Nonproliferation Act of
1978, as amended (42 U.S.C. 2139a(c)),
and 15 CFR 744.5, which are not subject
to this subchapter.
*
*
*
*
*
PART 125
[CORRECTED]
Authority: Secs. 2 and 38, 90, 90 Stat. 744
(22 U.S.C. 2752, 2778); 22 U.S.C. 2651a; E.O.
13637, 78 FR 16129.
10. Section 125.4 is amended by
removing and reserving paragraph (d).
■
PART 126
[CORRECTED]
14. On page 27189, in the second
column, before the signature, add the
following amendments:
■
PART 126—GENERAL POLICIES AND
PROVISIONS
11. 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.
12. Supplement No. 1 to part 126 is
revised to read as follows:
■
13. On page 27189, in the second
column, before the signature, add the
following amendments:
■
PART 125—LICENSES FOR THE
EXPORT OF TECHNICAL DATA AND
CLASSIFIED DEFENSE ARTICLES
9. The authority citation for part 123
continues to read as follows:
■
66609
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 .......................................
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. See Note 17.
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.
X
X
X
X
X
X
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X
X
X
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X
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X
X
X
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I–XXI .......................................
I–XXI .......................................
I–XXI .......................................
I–XXI .......................................
I–XXI .......................................
I–XXI .......................................
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USML Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
I–XXI .......................................
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.
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).
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X
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X
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X
I–XXI .......................................
I–XXI .......................................
I ...............................................
II(k) .........................................
II(k) .........................................
III .............................................
III .............................................
III(e) ........................................
III(e) ........................................
IV ............................................
IV ............................................
IV ............................................
IV ............................................
IV ............................................
IV(i) .........................................
IV(i) .........................................
V .............................................
V(a)(13) ..................................
V(a)(23) ..................................
V(c)(7) .....................................
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V(d)(3) ....................................
V(i) ..........................................
VI ............................................
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66611
USML Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
VI ............................................
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 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 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.
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 countercountermeasures. 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).
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 countercountermeasures. See Note 9.
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X
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X
X
X
X
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X
X
VI ............................................
VI(a) ........................................
VI(e) ........................................
VI(g) ........................................
VII ...........................................
VII ...........................................
VIII ..........................................
VIII ..........................................
VIII(a) ......................................
VIII(f) .......................................
VIII(i) .......................................
VIII(i) .......................................
IX ............................................
IX(e) ........................................
IX(e) ........................................
X(e) .........................................
XI(a) ........................................
XI(a) ........................................
XI ............................................
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XI(d) ........................................
XI(d) ........................................
XII ...........................................
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USML Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
XII ...........................................
Defense articles and services specific to USML Category XII(c) articles, except any 1st- and 2nd-generation image intensification tubes and 1stand 2nd-generation image intensification night sighting equipment. Enditems 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).
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)
Propulsion systems which permit acceleration of the satellite on-orbit (i.e.,
after mission orbit injection) at rates greater than 0.1 g.
Attitude determination and control systems designed to provide spacecraft
pointing determination and control or payload pointing system control
better than 0.02 degrees per axis.
................
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X
X
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X
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X
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X
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X
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X
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X
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X
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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) .......................................
XV(e) ......................................
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XV(e)(12) ................................
XV(e)(10) ................................
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(UK)
§ 126.17
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66613
USML Category
Exclusion
(CA)
§ 126.5
(AS)
§ 126.16
(UK)
§ 126.17
XV(e) ......................................
All parts, components, accessories, attachments, equipment, or systems
for USML Category XV(a) items, except when specially designed for use
in commercial communications satellites.
Defense articles and services specific to spacecraft, ground control station
systems (only for spacecraft control as controlled in USML Category
XV(b)), subsystems, components, parts, accessories, attachments, and
associated equipment controlled in Category XV.
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.
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 singlepole 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.
X
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X
X
X
X
X
X
X
X
X
X
X
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X
X
X
X
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X
X
X
X
X
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X
X
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X
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X
X
X
X
X
X
X
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X
X
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X
X
X
X
X
XV(e) ......................................
XV(f) .......................................
XVI ..........................................
XVII .........................................
XVIII ........................................
XIX(e), XIX(f)(1), XIX(f)(2),
XIX(g).
XIX(g) .....................................
XX ...........................................
XX ...........................................
XX ...........................................
XX ...........................................
XX(a) ......................................
XX(b) ......................................
XX(c) .......................................
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XX(d) ......................................
XXI ..........................................
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.
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.
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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-toprint 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
(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.
Note 17: This exclusion does not apply to the export of defense articles previously notified to Congress pursuant to § 123.15 or § 124.11 of this
subchapter. For use of the Australian and UK exemptions for congressional notification, see § 126.16(o) and § 126.17(o).
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66615
Rose E. Gottemoeller,
Under Secretary, Arms Control and
International Security, Department of State.
impracticable, unnecessary, or contrary
to the public interest; for this reason, the
rule is effective upon publication.
18, 2011, and affirms that this regulation
is consistent with the guidance therein.
[FR Doc. 2014–26631 Filed 11–7–14; 8:45 am]
Regulatory Flexibility Act
22 CFR Part 126
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.
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.
[Public Notice 8943]
Unfunded Mandates Reform Act of 1995
Executive Order 13175
RIN 1400–AD73
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.
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 pre-empt tribal law.
Accordingly, the provisions of
Executive Order 13175 do not apply to
this rulemaking.
Small Business Regulatory Enforcement
Fairness Act of 1996
This rule does not impose any new
reporting or record-keeping
requirements subject to the Paperwork
Reduction Act, 44 U.S.C. Chapter 35.
BILLING CODE 4710–25–P
DEPARTMENT OF STATE
Amendment to the International Traffic
in Arms Regulations: Policy on
Exports to Vietnam
Department of State.
Final rule.
AGENCY:
ACTION:
The Department of State is
revising the International Traffic in
Arms Regulations (ITAR) to reflect a
change in its policy on exports to
Vietnam.
SUMMARY:
This rule is effective on
November 10, 2014.
DATES:
Mr.
C. Edward Peartree, Director, Office of
Defense Trade Controls Policy,
Department of State, telephone (202)
663–2792; email
DDTCPublicComments@state.gov.
ATTN: Regulatory Change, Exports to
Vietnam.
FOR FURTHER INFORMATION CONTACT:
The
Department has determined that is in
the best interests of U.S. foreign policy,
national security, and human rights
concerns that exports of lethal defense
articles and defense services to Vietnam
may be authorized on a case-by-case
basis when in support of maritime
security and domain awareness.
SUPPLEMENTARY INFORMATION:
Regulatory Analysis and Notices
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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 sections 553 (rulemaking) and 554
(adjudications) of the Administrative
Procedure Act (APA), pursuant to 5
U.S.C. 553(a)(1). Since the Department
is of the opinion that this rule is exempt
from 5 U.S.C 553, it is the view of the
Department that the provisions of
Section 553(d) do not apply to this
rulemaking. Therefore, this rule is
effective upon publication. The
Department also finds that, given the
national security issues surrounding
U.S. policy toward Vietnam, notice and
public procedure on this rule would be
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This rulemaking has been found not
to be a major rule within the meaning
of the Small Business Regulatory
Enforcement Fairness Act of 1996.
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 Order 12866
Executive Order 13563
The Department of State has
considered this rule in light of
Executive Order 13563, dated January
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Paperwork Reduction Act
List of Subjects in 22 CFR Part 126
Arms and munitions, Exports.
For the reasons set forth above, 22
CFR part 126 is amended as follows:
PART 126—GENERAL POLICIES AND
PROVISIONS
1. 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.
2. Section 126.1(l) is revised to read as
follows:
■
§ 126.1 Prohibited exports, imports, and
sales to or from certain countries.
*
The Department 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 governing
the conduct of this function are exempt
from the requirements of Executive
Order 12866. However, the Department
has reviewed the rule to ensure its
consistency with the regulatory
philosophy and principles set forth in
the Executive Order.
PO 00000
Executive Order 12988
*
*
*
*
(l) Vietnam. It is the policy of the
United States to deny licenses or other
approvals for exports or imports of
defense articles and defense services
destined for or originating in Vietnam,
except that a license or other approval
may be issued, on a case-by-case basis,
for:
(1) Lethal defense articles and defense
services to enhance maritime security
capabilities and domain awareness;
(2) Non-lethal defense articles and
defense services; or,
(3) Non-lethal, safety-of-use defense
articles (e.g., cartridge actuated devices,
propellant actuated devices and
technical manuals for military aircraft
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]]>Agencies
[Federal Register Volume 79, Number 217 (Monday, November 10, 2014)]
[Rules and Regulations]
[Pages 66608-66615]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-26631]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
22 CFR Parts 121, 123, 125, and 126
RIN 1400-AD33
[Public Notice: 8942]
Amendment to the International Traffic in Arms Regulations:
Revision of U.S. Munitions List Category XV; Correction
AGENCY: Department of State.
ACTION: Final rule, correction.
-----------------------------------------------------------------------
SUMMARY: On May 24, 2013, the Department of State published a rule (78
FR 31444) proposing to amend the International Traffic in Arms
Regulations (ITAR) by revising Category XV of the U.S Munitions List
(USML) as part of the President's Export Control Reform (ECR) effort.
After review of comments to the proposed rule, on May 13, 2014, the
Department published an interim final rule that allowed a final comment
period until June 27, 2014. The Department is now making final the
interim final rule and correcting the interim final rule that appeared
in the Federal Register of May 13, 2014.
DATES: This rule is effective November 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, Category XV Final Rule.
SUPPLEMENTARY INFORMATION: The Department provides the following
modification and corrections to the rule, ``Amendment to the
International Traffic in Arms Regulations: Revision of U.S. Munitions
List Category XV,'' published on May 13, 2014, and effective on
November 10, 2014 (79 FR 27180).
The changes in this rule are meant to clarify the regulation by
revising certain text and providing conforming updates to Supplement
No. 1 to part 126, taking into account revisions made to the USML
categories in the rule published on May 13, 2014. Additionally,
supplement No. 1 to part 126 is amended by adding a note regarding the
use of the exemptions for transactions that require congressional
notification (Note 17) due to confusion as to when the exemptions may
be used in furtherance of properly notified agreements.
Pursuant to ECR, the Department of Commerce has been publishing
revisions to the Export Administration Regulations, including various
revisions to the Commerce Control List (CCL). Revision of the USML and
CCL are coordinated so there is uninterrupted regulatory coverage for
items moving from the jurisdiction of the Department of State to that
of the Department of Commerce. The Department of Commerce's companion
to this notice (see ``Revisions to the Export Administration
Regulations: Control of Spacecraft Systems and Related Items That the
President Determines No Longer Warrant Control Under the United States
Munitions List,'' 79 FR 27418) is also published in this edition of the
Federal Register.
The following modifications and corrections are made to the rule,
FR Doc. 2014-10806, published on May 13, 2014 (79 FR 27180):
PART 121 [CORRECTED]
Sec. 121.1 [Corrected]
0
1A. On page 27185, in the third column, in amendatory instruction 4,
add ``paragraph (d)(1) of U.S. Munitions List Category XIII,'' before
``paragraph (i) of U.S. Munitions List Category IV''.
0
1B. On page 27185, in the third column, in Category IV, paragraph (i),
``enumerated'' is removed and ``described'' is added in its place and
on page 27186 in the first column, in Category IV, paragraph (i), ``to
a foreign person'' is added following ``(including training)'' in two
places.
0
2. On page 27186, in the first column, before Category XV the following
is added:
Category XIII--Materials and Miscellaneous Articles
* * * * *
(d) Materials, as follows:
*(1) Ablative materials fabricated or semi-fabricated from advanced
composites (e.g., silica, graphite, carbon, carbon/carbon, and boron
filaments) specially designed for the articles in USML Category IV or
XV (MT if usable for nozzles, re-entry vehicles, nose tips, or nozzle
flaps usable in rockets, space launch vehicles (SLVs), or missiles
capable of achieving a range greater than or equal to 300 km); or
* * * * *
0
3. On page 27186, in the second column, in Category XV, paragraph
(a)(10), ``assembly'' is removed and ``surveillance, assembly,
repair,'' is added in its place.
0
4. On page 27186, in the second column, in Category XV, paragraph
(a)(11), ``[Reserved]'' is removed and ``Provide for sub-orbital or in-
space human habitation and have integrated propulsion other than that
required for attitude control;'' is added in its place.
0
5. On page 27186, in the second column, in Category XV, paragraph
(a)(12) is removed and ``That are not commercial communications
satellites and that have integrated propulsion other than for attitude
control or achieving initial orbit;'' is added in its place.
0
6. On page 27187, in the first column, in Category XV, Note to
paragraph (c) is retitled ``Note to paragraph (c)(3)'', it is moved to
below paragraph (c)(3), and ``Articles do not become subject to the EAR
until integrated into the item subject to the EAR. Export, reexport,
retransfer, or temporary import of, and technical data and defense
services directly related to, defense articles intended to be
integrated remain subject to the ITAR.'' is added to the end.
0
7. On page 27187, in the second column, in Category XV:
0
a. In paragraph (e)(11)(ii) ``or'' is removed;
0
b. In paragraph (e)(11)(iii), ``)'' is added before the semi-colon and
``or'' is added after the semi-colon; and
0
c. Paragraph (e)(11)(iv) is added reading ``(iv) Plasma based
propulsion systems;''
0
8. On page 27187, in the third column, in Category XV, Note 2 to
paragraph (e)(18), ``XXXX XX'' is removed and ``May 13'' is added in
its place.
0
9. On page 27188, in the first column, in Category XV, Note 2 to
paragraph (e), ``Articles do not become subject to the EAR until
integrated into the item subject to the EAR. Export, reexport,
retransfer, or temporary import of, and technical data and defense
services directly related to defense articles intended to be integrated
remain subject to the ITAR.'' is added to the end.
0
10. On page 27188, in the second column, in Category XV, paragraph (f),
``enumerated'' is removed and ``described'' is added in its place.
0
11. On page 27188, in the second column, in Category XV, Note 1 to
paragraph (f):
[[Page 66609]]
0
a. The word ``certain'' is added before the second instance of
``technical data'';
0
b. The word ``enumerated'' is removed and ``described'' is added in its
place; and
0
c. The word ``includes'' is removed and ``only applies to'' is added in
its place.
PART 123 [CORRECTED]
0
12. On page 27189, in the first column, before Part 124--AGREEMENTS,
OFF-SHORE PROCUREMENT, AND OTHER DEFENSE SERVICES add the following
amendments:
PART 123--LICENSES FOR THE EXPORT AND TEMPORARY IMPORT OF DEFENSE
ARTICLES
0
5. The authority citation for part 123 continues to read as follows:
Authority: Secs. 2, 38, and 71, 90, 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
6. Section 123.16 is amended by removing and reserving paragraph
(b)(10).
0
7. Section 123.20 is amended by revising paragraph (a) to read as
follows:
Sec. 123.20 Nuclear-related controls.
(a) The provisions of this subchapter do not apply to articles,
technical data, or services in Category VI, Category XV, Category XVI,
or Category XX of Sec. 121.1 of this subchapter to the extent that
exports of such articles, technical data, or services are controlled by
the Department of Energy or the Nuclear Regulatory Commission pursuant
to the Atomic Energy Act of 1954, as amended, and the Nuclear Non-
Proliferation Act of 1978, as amended, or is a government transfer
authorized pursuant to these Acts. For Department of Commerce controls,
see 15 CFR 742.3 and 744.2, administered pursuant to Section 309(c) of
the Nuclear Nonproliferation Act of 1978, as amended (42 U.S.C.
2139a(c)), and 15 CFR 744.5, which are not subject to this subchapter.
* * * * *
PART 125 [CORRECTED]
0
13. On page 27189, in the second column, before the signature, add the
following amendments:
PART 125--LICENSES FOR THE EXPORT OF TECHNICAL DATA AND CLASSIFIED
DEFENSE ARTICLES
0
9. The authority citation for part 123 continues to read as follows:
Authority: Secs. 2 and 38, 90, 90 Stat. 744 (22 U.S.C. 2752,
2778); 22 U.S.C. 2651a; E.O. 13637, 78 FR 16129.
0
10. Section 125.4 is amended by removing and reserving paragraph (d).
PART 126 [CORRECTED]
0
14. On page 27189, in the second column, before the signature, add the
following amendments:
PART 126--GENERAL POLICIES AND PROVISIONS
0
11. 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.
0
12. Supplement No. 1 to part 126 is revised to read as follows:
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 articles and X X X
services. See Note 1.
I-XXI.................................... Defense articles listed in the X X X
Missile Technology Control
Regime (MTCR) Annex.
I-XXI.................................... U.S. origin defense articles and .......... X X
services used for marketing
purposes and not previously
licensed for export in
accordance with this subchapter.
I-XXI.................................... Defense services for or technical X .......... ..........
data related to defense articles
identified in this supplement as
excluded from the Canadian
exemption.
I-XXI.................................... Any transaction involving the X .......... ..........
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. See Note 17.
I-XXI.................................... U.S. origin defense articles and .......... X X
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 strategic X .......... ..........
delivery systems and all
components, parts, accessories,
and attachments specifically
designed for such systems and
associated equipment.
I-XXI.................................... Defense articles and services .......... X X
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 services .......... X X
specific to reduced observables
or counter low observables in
any part of the spectrum. See
Note 2.
I-XXI.................................... Defense articles and services .......... X X
specific to sensor fusion beyond
that required for display or
identification correlation. See
Note 3.
I-XXI.................................... Defense articles and services .......... X X
specific to the automatic target
acquisition or recognition and
cueing of multiple autonomous
unmanned systems.
I-XXI.................................... Nuclear power generating .......... .......... X
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.
[[Page 66610]]
I-XXI.................................... Libraries (parametric technical .......... .......... X
databases) specially designed
for military use with equipment
controlled on the USML. See Note
13.
I-XXI.................................... Defense services or technical X .......... ..........
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 than those X .......... ..........
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 assault weapons, X .......... ..........
and combat shotguns.
II(k).................................... Software source code related to .......... X X
USML Category II(c), II(d), or
II(i). See Note 4.
II(k).................................... Manufacturing know-how related to X X X
USML Category II(d). See Note 5.
III...................................... Ammunition for firearms, close X .......... ..........
assault weapons, and combat
shotguns listed in USML Category
I.
III...................................... Defense articles and services .......... .......... X
specific to ammunition and fuse
setting devices for guns and
armament controlled in USML
Category II.
III(e)................................... Manufacturing know-how related to X X X
USML Category III(d)(1) or
III(d)(2) and their specially
designed components. See Note 5.
III(e)................................... Software source code related to .......... X X
USML Category III(d)(1) or
III(d)(2). See Note 4.
IV....................................... Defense articles and services X X X
specific to man-portable air
defense systems (MANPADS). See
Note 6.
IV....................................... Defense articles and services .......... .......... X
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 services .......... X X
specific to torpedoes.
IV....................................... Defense articles and services X X X
specific to anti-personnel
landmines. See Note 15.
IV....................................... Defense articles and services X X X
specific to cluster munitions.
IV(i).................................... Software source code related to .......... X X
USML Category IV(a), IV(b),
IV(c), or IV(g). See Note 4.
IV(i).................................... Manufacturing know-how related to X X X
USML Category IV(a), IV(b),
IV(d), or IV(g) and their
specially designed components.
See Note 5.
V........................................ The following energetic materials .......... .......... X
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).
V(a)(13)................................. ANF or ANAzF as described in USML .......... .......... X
Category V(a)(13)(iii) and (iv).
V(a)(23)................................. Difluoraminated derivative of RDX .......... .......... X
as described in USML Category
V(a)(23)(iii).
V(c)(7).................................. Pyrotechnics and pyrophorics .......... .......... X
specifically formulated for
military purposes to enhance or
control radiated energy in any
part of the IR spectrum.
V(d)(3).................................. Bis-2, 2-dinitropropylnitrate .......... .......... X
(BDNPN).
V(i)..................................... Developmental explosives, .......... X X
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 services .......... .......... 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).
[[Page 66611]]
VI....................................... Defense articles and services .......... .......... 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
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 services .......... X X
specific to naval technology and
systems relating to acoustic
spectrum control and awareness.
See Note 10.
VI(a).................................... Nuclear powered vessels.......... X X X
VI(e).................................... Defense articles and services X X X
specific to naval nuclear
propulsion equipment. See Note 7.
VI(g).................................... Software source code related to .......... X X
USML Category VI(a) or VI(c).
See Note 4.
VII...................................... Defense articles and services .......... .......... 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).
VII...................................... Defense articles and services .......... .......... 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
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..................................... Defense articles and services .......... .......... X
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 services .......... .......... 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
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 VIII(a) items.. X .......... ..........
VIII(f).................................. Developmental aircraft parts, X .......... ..........
components, accessories, and
attachments identified in USML
Category VIII(f).
VIII(i).................................. Manufacturing know-how related to X X X
USML Category VIII(a) or
VIII(e), and specially designed
parts or components therefor.
See Note 5.
VIII(i).................................. Software source code related to .......... X X
USML Category VIII(a) or
VIII(e). See Note 4.
IX....................................... Training or simulation equipment .......... X X
for Man Portable Air Defense
Systems (MANPADS). See Note 6.
IX(e).................................... Software source code related to .......... X X
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.
X(e)..................................... Manufacturing know-how related to X X X
USML Category X(a)(1) or
X(a)(2), and specially designed
components therefor. See Note 5.
XI(a).................................... Defense articles and services .......... X X
specific to countermeasures and
counter-countermeasures. See
Note 9.
XI(a).................................... High Frequency and Phased Array .......... X ..........
Microwave Radar systems, with
capabilities such as search,
acquisition, tracking, moving
target indication, and imaging
radar systems. See Note 16.
XI....................................... Defense articles and services .......... X X
specific to naval technology and
systems relating to acoustic
spectrum control and awareness.
See Note 10.
XI(b), XI(c), XI(d)...................... Defense articles and services .......... X X
specific to USML Category XI (b)
(e.g., communications security
(COMSEC) and TEMPEST).
XI(d).................................... Software source code related to .......... X X
USML Category XI(a). See Note 4.
XI(d).................................... Manufacturing know-how related to X X X
USML Category XI(a)(3) or
XI(a)(4), and specially designed
components therefor. See Note 5.
XII...................................... Defense articles and services .......... X X
specific to countermeasures and
counter-countermeasures. See
Note 9.
[[Page 66612]]
XII...................................... Defense articles and 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 defense X X X
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 related to X X X
USML Category XII(d) and
specially designed components
therefor. See Note 5.
XII(f)................................... Software source code related to .......... X X
USML Category XII(a), XII(b),
XII(c), or XII(d). See Note 4.
XIII(b).................................. Defense articles and services .......... X X
specific to USML Category
XIII(b) (Military Information
Security Assurance Systems,
cryptographic devices, software,
and components).
XIII(d).................................. Carbon/carbon billets and .......... .......... X
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 services .......... .......... X
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 services .......... .......... X
related to concealment and
deception equipment and
materials.
XIII(h).................................. Energy conversion devices other .......... .......... X
than fuel cells.
XIII(j).................................. Defense articles and services .......... X X
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 related to .......... X X
USML Category XIII(a). See Note
4.
XIV...................................... Defense articles and services .......... X X
related to toxicological agents,
including chemical agents,
biological agents, and
associated equipment.
XIV(a), XIV(b), XIV(d), XIV(e), XIV(f)... Chemical agents listed in USML X .......... ..........
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).
XV(a).................................... Defense articles and services X X X
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 services .......... X X
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 services .......... X X
specific to GPS/PPS security
modules.
XV(c).................................... Defense articles controlled in X .......... ..........
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 the ability X .......... ..........
to respond to incoming
interference by adaptively
reducing antenna gain (nulling)
in the direction of the
interference.
XV(e)(1)................................. Antennas having any of the X .......... ..........
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)(12)................................ Propulsion systems which permit X .......... ..........
acceleration of the satellite on-
orbit (i.e., after mission orbit
injection) at rates greater than
0.1 g.
XV(e)(10)................................ Attitude determination and X .......... ..........
control systems designed to
provide spacecraft pointing
determination and control or
payload pointing system control
better than 0.02 degrees per
axis.
[[Page 66613]]
XV(e).................................... All parts, components, X .......... ..........
accessories, attachments,
equipment, or systems for USML
Category XV(a) items, except
when specially designed for use
in commercial communications
satellites.
XV(e).................................... Defense articles and services .......... X X
specific to spacecraft, ground
control station systems (only
for spacecraft control as
controlled in USML Category
XV(b)), subsystems, components,
parts, accessories, attachments,
and associated equipment
controlled in Category XV.
XV(f).................................... Technical data and defense X X X
services directly related to the
other defense articles excluded
from the exemptions for USML
Category XV.
XVI...................................... Defense articles and services X X X
specific to design and testing
of nuclear weapons.
XVII..................................... Classified articles, and X X X
technical data and defense
services relating thereto, not
elsewhere enumerated. See Note 1.
XVIII.................................... Defense articles and services .......... X X
specific to directed energy
weapon systems.
XIX(e), XIX(f)(1), XIX(f)(2), XIX(g)..... Defense articles and services .......... X X
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.
XIX(g)................................... Technical data and defense X X X
services for gas turbine engine
hot sections. (This does not
include hardware). See Note 8.
XX....................................... Defense articles and services X X X
related to submersible vessels,
oceanographic, and associated
equipment.
XX....................................... Defense articles and services .......... X X
specific to naval technology and
systems relating to acoustic
spectrum control and awareness.
See Note 10.
XX....................................... Defense articles specific to .......... .......... X
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 specific to .......... .......... X
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 vessels.......... X X X
XX(b).................................... Defense articles and services X X X
specific to naval nuclear
propulsion equipment. See Note 7.
XX(c).................................... Defense articles and services .......... X X
specific to submarine combat
control systems.
XX(d).................................... Software source code related to .......... X X
USML Category XX(a). See Note 4.
XXI...................................... Articles, and technical data and X X X
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.
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.
[[Page 66614]]
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
(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.
Note 17: This exclusion does not apply to the export of defense articles previously notified to Congress
pursuant to Sec. 123.15 or Sec. 124.11 of this subchapter. For use of the Australian and UK exemptions for
congressional notification, see Sec. 126.16(o) and Sec. 126.17(o).
[[Page 66615]]
Rose E. Gottemoeller,
Under Secretary, Arms Control and International Security, Department of
State.
[FR Doc. 2014-26631 Filed 11-7-14; 8:45 am]
BILLING CODE 4710-25-P
