Amendment to the International Traffic in Arms Regulations: Continued Implementation of Export Control Reform; Correction
Federal Register, Volume 79 Issue 1 (Thursday, January 2, 2014)
Federal Register Volume 79, Number 1 (Thursday, January 2, 2014)
Rules and Regulations
Pages 26-34
From the Federal Register Online via the Government Printing Office www.gpo.gov
FR Doc No: 2013-30625
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DEPARTMENT OF STATE
22 CFR Parts 120, 121, 123, 124, and 126
Public Notice 8566
RIN 1400-AD40
Amendment to the International Traffic in Arms Regulations: Continued Implementation of Export Control Reform; Correction
AGENCY: Department of State.
ACTION: Final rule, correction.
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SUMMARY: The Department of State is correcting a final rule that appeared in the Federal Register of July 8, 2013 (78 FR 40922). That rule amended the International Traffic in Arms Regulations (ITAR) to revise four U.S. Munitions List (USML) categories and provide new and revised definitions.
DATES: This rule is effective January 6, 2014.
FOR FURTHER INFORMATION CONTACT: Ms. Sarah J. Heidema, Deputy Director, Office of Defense Trade Controls Policy, Department of State, telephone (202) 663-2809; email DDTCResponseTeam@state.gov. ATTN: Regulatory Change, Corrections to Second ECR Final Rule.
SUPPLEMENTARY INFORMATION: The Department provides the following corrections to the rule, ``Amendment to the International Traffic in Arms Regulations: Continued Implementation of Export Control Reform,'' published on July 8, 2013 and effective on January 6, 2014 (78 FR 40922). As part of the President's Export Control Reform (ECR) effort, that rule amended the International Traffic in Arms Regulations (ITAR) to revise four U.S. Munitions List (USML) categories and provide new and revised definitions.
The changes in this rule are meant to clarify the regulation by correcting punctuation, providing exact effective dates for the paragraphs regarding developmental articles, and providing a revised Supplement No. 1 to part 126, which takes into account the changes made to the USML categories revised in the rule published on July 8, 2013.
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 the rule corrected in this notice (see ``Revisions to the Export Administration Regulations: Military Vehicles; Vessels of War; Submersible Vessels, Oceanographic Equipment; Related Items; and Auxiliary and Miscellaneous Items That the President Determines No Longer Warrant Control Under the United States Munitions List,'' 78 FR 40892) is also corrected in this edition of the Federal Register.
The following corrections are made to the rule, ``Amendment to the International Traffic in Arms Regulations: Continued Implementation of Export Control Reform,'' published on July 8, 2013:
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On page 40924, in the third column, in the second from last paragraph, after ``introduction,'' add the following: ``The Department also notes that paragraph (d)(1) controls ablative materials, articles the subject of unrevised USML Category IV(f). The Department reiterates the principle provided in the first rule implementing Export Control Reform (see 78 FR 22740): where there is overlap in control regarding a particular article, the control of the revised USML category supersedes that of the unrevised USML category.''
PART 121--CORRECTED
Sec. 121.1 Corrected
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On page 40928, in the first column, in Category VI, paragraph (c), a comma
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is placed after ``vessels'' and ``therefor.'' In Note 1 to paragraph (c), in the introductory text, ``developmental'' is removed, and a comma is placed after ``vessels'' and ``therefor.'' In Note 3 to paragraph (c), the text after ``dated'' is removed and replaced with ``July 8, 2014, or later.''
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On page 40928, in the third column, in paragraph (f)(8), a comma is placed after ``aircraft).'' In Note 2 to paragraph (f), remove ``also.''
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On page 40930, in the second column, in Category XIII, in Note 1 to paragraph (e)(7), in the introductory text, ``developmental'' is removed. In Note 3 to paragraph (e)(7), the text after ``dated'' is removed and replaced with ``July 8, 2014, or later.''
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On page 40931, in the second column, in paragraph (m)(9), the formula is replaced with the following:
GRAPHIC TIFF OMITTED TR02JA14.000
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On page 40931, in the third column, at the end of paragraph (m)(9), add the following: ``If witness plate is penetrated, Pr is the distance from the projectile to the front edge of the witness plate. If not penetrated, Pr is negative and is the distance from the back edge of the target to the projectile.'' In Category XX, in Note 1 to paragraph (a)(7), in the introductory text, ``developmental'' is removed. In Note 3 to paragraph (a)(7), the text after ``dated'' is removed and replaced with ``July 8, 2014, or later.''
PART 126--CORRECTED
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On page 40933, at the end of column three, before the signature, add the following amendments:
PART 126--GENERAL POLICIES AND PROVISIONS
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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.
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Supplement No. 1 to part 126 is revised to read as follows:
Supplement No. 1*
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(CA) Sec. (AS) Sec. (UK) Sec.
USML category Exclusion 126.5 126.16 126.17
----------------------------------------------------------------------------------------------------------------
I-XXI................................. Classified defense articles X X X
and 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 ............ X X
and services used for
marketing purposes and not
previously licensed for
export in accordance with
this subchapter.
I-XXI................................. Defense services for or X
technical 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.
I-XXI................................. U.S. origin defense articles ............ X X
and services specific to
developmental systems that
have not obtained written
Milestone B approval from the
U.S. Department of Defense
milestone approval authority,
unless such export is
pursuant to a written
solicitation or contract
issued or awarded by the U.S.
Department of Defense for an
end-use identified in
paragraph (e)(1), (e)(2), or
(e)(4) of Sec. 126.16 or
Sec. 126.17 of this
subchapter and is consistent
with other exclusions of this
supplement.
I-XXI................................. Nuclear weapons 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 therefore,
specifically designed for
military use. See also Sec.
123.20 of this subchapter.
I-XXI................................. Libraries (parametric ............ ............ X
technical databases)
specially designed for
military use with equipment
controlled on the USML. See
Note 13.
Page 28
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 X
those required to prepare a
quote or bid proposal in
response to a written request
from a department or agency
of the United States Federal
Government or from a Canadian
Federal, Provincial, or
Territorial Government; or
defense services other than
those required to produce,
design, assemble, maintain or
service a defense article for
use by a registered U.S.
company, or a U.S. Federal
Government Program, or for
end-use in a Canadian
Federal, Provincial, or
Territorial Government
Program. See Note 14.
I..................................... Firearms, close assault X
weapons, and combat shotguns.
II(k)................................. Software source code related ............ X X
to USML Category II(c),
II(d), or II(i). See Note 4.
II(k)................................. Manufacturing know-how related X X X
to 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 X X X
to USML Category III(d)(1) or
III(d)(2) and their specially
designed components. See Note
-
III(e)................................ Software source code related ............ X X
to 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. See Note 16.
IV(i)................................. Software source code related ............ X X
to USML Category IV(a),
IV(b), IV(c), or IV(g). See
Note 4.
IV(i)................................. Manufacturing know-how related X X X
to USML Category IV(a),
IV(b), IV(d), or IV(g) and
their specially designed
components See Note 5..
V..................................... The following energetic ............ ............ X
materials and related
substances:.
-
TATB
(triaminotrinitrobenzene)
(CAS 3058-38-6);.
-
Explosives controlled in
USML Category V(a)(32) or
V(a)(33);.
-
Iron powder (CAS 7439-89-6)
with particle size of 3
micrometers or less produced
by reduction of iron oxide
with hydrogen;.
-
BOBBA-8 (bis(2-
methylaziridinyl)2-(2-
hydroxypropanoxy) propylamino
phosphine oxide), and other
MAPO derivatives;.
-
N-methyl-p-nitroaniline
(CAS 100-15-2); or.
f.
Trinitrophenylmethylnitramine
(tetryl) (CAS 479-45-8).
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).
VI.................................... 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 (-170degC).
Page 29
VI.................................... 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.
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 ............ X X
to USML Category VI(a) or
VI(c) See Note 4.
VII................................... 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 (-170degC).
VII................................... 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.
VIII.................................. Defense articles specific to ............ ............ X
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 (-170degC).
VIII.................................. 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.
VIII(a)............................... All USML Category VIII(a) X
items.
VIII(f)............................... Developmental aircraft parts, X
components, accessories, and
attachments identified in
USML Category VIII(f).
VIII(i)............................... Manufacturing know-how related X X X
to USML Category VIII(a) or
VIII(e), and specially
designed parts or components
therefor. See Note 5.
VIII(i)............................... Software source code related ............ X X
to USML Category VIII(a) or
VIII(e). See Note 4.
IX.................................... Training or simulation ............ X X
equipment for Man Portable
Air Defense Systems
(MANPADS). See Note 6.
IX(e)................................. Software source code related ............ X X
to USML Category IX(a) or
IX(b). See Note 4.
IX(e)................................. Software that is both ............ ............ X
specifically designed or
modified for military use and
specifically designed or
modified for modeling or
simulating military
operational scenarios.
X(e).................................. Manufacturing know-how related X X X
to 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.
Page 30
XI(a)................................. High Frequency and Phased ............ X
Array Microwave Radar
systems, with capabilities
such as search, acquisition,
tracking, moving target
indication, and imaging radar
systems. See Note 17.
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 ............ X X
to USML Category XI(a). See
Note 4.
XI(d)................................. Manufacturing know-how related X X X
to 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.
XII................................... Defense articles and services X
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 X X X
to USML Category XII(d) and
specially designed components
therefor. See Note 5.
XII(f)................................ Software source code related ............ X X
to 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 ............ ............ X
other 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 ............ X X
to 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.
Page 31
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(d)................................. Defense articles and services X X X
specific to radiation-
hardened microelectronic
circuits.
XV(e)................................. Anti-jam systems with the X
ability to respond to
incoming interference by
adaptively reducing antenna
gain (nulling) in the
direction of the interference.
XV(e)................................. Antennas having any of the
following:.
-
Aperture (overall dimension
of the radiating portions of
the antenna) greater than 30
feet;.
-
All sidelobes less than or
equal to -35 dB relative to
the peak of the main beam; or.
-
Designed, modified, or X
configured to provide
coverage area on the surface
of the earth less than 200
nautical miles in diameter,
where ``coverage area'' is
defined as that area on the
surface of the earth that is
illuminated by the main beam
width of the antenna (which
is the angular distance
between half power points of
the beam).
XV(e)................................. Optical intersatellite data X
links (cross links) and
optical ground satellite
terminals.
XV(e)................................. Spaceborne regenerative X
baseband processing (direct
up and down conversion to and
from baseband) equipment.
XV(e)................................. Propulsion systems which X
permit acceleration of the
satellite on-orbit (i.e.,
after mission orbit
injection) at rates greater
than 0.1 g.
XV(e)................................. Attitude control and X
determination systems
designed to provide
spacecraft pointing
determination and control or
payload pointing system
control better than 0.02
degrees per axis.
XV(e)................................. All specifically designed or X
modified systems, components,
parts, accessories,
attachments, and associated
equipment for all USML
Category XV(a) items, except
when specifically designed or
modified for use in
commercial communications
satellites.
XV(e)................................. Defense articles and services ............ X X
specific to spacecraft and
ground control station
systems (only for telemetry,
tracking and control as
controlled in USML Category
XV(b)), subsystems,
components, parts,
accessories, attachments, and
associated equipment.
XV(f)................................. Technical data and 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.
XVI(c)................................ Nuclear radiation measuring X
devices manufactured to
military specifications.
XVI(e)................................ Software source code related ............ X X
to USML Category XVI(c). See
Note 4.
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.
Page 32
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 (-170degC).
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 ............ X X
to USML Category XX(a). See
Note 4.
XXI................................... Articles, and technical data X X X
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.
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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 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 specific to Man Portable Air Defense Systems (MANPADS) includes missiles which can be
used without modification in other applications. It also includes production and test equipment and components
specifically designed or modified for MANPAD systems, as well as training equipment specifically designed or
modified for MANPAD systems.
Note 7: Naval nuclear propulsion plants includes all of USML Category VI(e). Naval nuclear propulsion
information is technical data that concerns 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 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 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;
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(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 which 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, reference should be made 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 of all 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; the name and address 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 cluster munitions that are subject to this exclusion are set forth below:
The Convention on Cluster Munitions, signed December 3, 2008, and entered into force on August 1, 2010, defines
a ``cluster munition'' as:
A conventional munition that is designed to disperse or release explosive submunitions each weighing less than
20 kilograms, and includes those explosive submunitions. Under the Convention, a ``cluster munition'' does not
include the following munitions:
(a) A munition or submunition designed to dispense flares, smoke, pyrotechnics or chaff; or a munition designed
exclusively for an air defense role;
(b) A munition or submunition designed to produce electrical or electronic effects;
(c) A munition that, in order to avoid indiscriminate area effects and the risks posed by unexploded
submunitions, has all of the following characteristics:
(1) Each munition contains fewer than ten explosive submunitions;
(2) Each explosive submunition weighs more than four kilograms;
(3) Each explosive submunition is designed to detect and engage a single target object;
(4) Each explosive submunition is equipped with an electronic self-destruction mechanism; and
(5) Each explosive submunition is equipped with an electronic self-deactivating feature.
Pursuant to U.S. law (Pub. L. 111-117, section 7055(b)), no military assistance shall be furnished for cluster
munitions, no defense export license for cluster munitions may be issued, and no cluster munitions or cluster
munitions technology shall be sold or transferred, unless:
(a) The submunitions of the cluster munitions, after arming, do not result in more than 1 percent unexploded
ordnance across the range of intended operational environments; and
(b) The agreement applicable to the assistance, transfer or sale of such cluster munitions or cluster munitions
technology specifies that the cluster munitions will only be used against clearly defined military targets and
will not be used where civilians are known to be present or in areas normally inhabited by civilians.
Note 17: 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.
*An ``X'' in the chart indicates that the item is excluded from use under the exemption referenced in the top of
the column. An item excluded in any one row is excluded regardless of whether other rows may contain a
description that would include the item.
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Dated: December 17, 2013.
Rose E. Gottemoeller,
Acting Under Secretary, Arms Control and International Security, Department of State.
FR Doc. 2013-30625 Filed 12-31-13; 8:45 am
BILLING CODE 4710-25-P
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