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Amendment to the International Traffic in Arms Regulations: Continued Implementation of Export Control Reform; Correction

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Information about this document as published in the Federal Register.

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AGENCY:

Department of State.

ACTION:

Final rule, correction.

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.

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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.

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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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1. 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.”

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PART 121—[CORRECTED]

[Corrected]
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2. On page 40928, in the first column, in Category VI, paragraph (c), a comma Start Printed Page 27is 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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3. 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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4. 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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5. On page 40931, in the second column, in paragraph (m)(9), the formula is replaced with the following:

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6. On page 40931, in the third column, at the end of paragraph (m)(9), add the following: “If witness plate is penetrated, P r 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.”

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PART 126—[CORRECTED]

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7. On page 40933, at the end of column three, before the signature, add the following amendments:

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PART 126—GENERAL POLICIES AND PROVISIONS

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15. The authority citation for part 126 continues to read as follows:

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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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16. Supplement No. 1 to part 126 is revised to read as follows:

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Supplement No. 1*

USML categoryExclusion(CA) § 126.5(AS) § 126.16(UK) § 126.17
I-XXIClassified defense articles and services. See Note 1.XXX
I-XXIDefense articles listed in the Missile Technology Control Regime (MTCR) AnnexXXX
I-XXIU.S. origin defense articles and services used for marketing purposes and not previously licensed for export in accordance with this subchapterXX
I-XXIDefense services for or technical data related to defense articles identified in this supplement as excluded from the Canadian exemptionX
I-XXIAny 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 subchapterX
I-XXIU.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 supplementXX
I-XXINuclear weapons strategic delivery systems and all components, parts, accessories, and attachments specifically designed for such systems and associated equipmentX
I-XXIDefense 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 directionXX
I-XXIDefense articles and services specific to reduced observables or counter low observables in any part of the spectrum. See Note 2XX
I-XXIDefense articles and services specific to sensor fusion beyond that required for display or identification correlation See Note 3XX
I-XXIDefense articles and services specific to the automatic target acquisition or recognition and cueing of multiple autonomous unmanned systemsXX
I-XXINuclear power generating equipment or propulsion equipment (e.g., nuclear reactors), specifically designed for military use and components therefore, specifically designed for military use. See also § 123.20 of this subchapterX
I-XXILibraries (parametric technical databases) specially designed for military use with equipment controlled on the USML. See Note 13X
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I-XXIDefense 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 12X
I-XXIDefense 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 14X
IFirearms, close assault weapons, and combat shotgunsX
II(k)Software source code related to USML Category II(c), II(d), or II(i). See Note 4XX
II(k)Manufacturing know-how related to USML Category II(d). See Note 5XXX
IIIAmmunition for firearms, close assault weapons, and combat shotguns listed in USML Category IX
IIIDefense articles and services specific to ammunition and fuse setting devices for guns and armament controlled in USML Category IIX
III(e)Manufacturing know-how related to USML Category III(d)(1) or III(d)(2) and their specially designed components. See Note 5XXX
III(e)Software source code related to USML Category III(d)(1) or III(d)(2). See Note 4XX
IVDefense articles and services specific to man-portable air defense systems (MANPADS). See Note 6XXX
IVDefense 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)X
IVDefense articles and services specific to torpedoesXX
IVDefense articles and services specific to anti-personnel landmines. See Note 15XXX
IVDefense articles and services specific to cluster munitions. See Note 16XXX
IV(i)Software source code related to USML Category IV(a), IV(b), IV(c), or IV(g). See Note 4XX
IV(i)Manufacturing know-how related to USML Category IV(a), IV(b), IV(d), or IV(g) and their specially designed components See Note 5.XXX
VThe following energetic materials and related substances:X
a. TATB (triaminotrinitrobenzene) (CAS 3058-38-6);
b. Explosives controlled in USML Category V(a)(32) or V(a)(33);
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(c)(7)Pyrotechnics and pyrophorics specifically formulated for military purposes to enhance or control radiated energy in any part of the IR spectrumX
V(d)(3)Bis-2, 2-dinitropropylnitrate (BDNPN)X
VIDefense 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)X
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VIDefense Articles specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generatorX
VIDefense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness See Note 10XX
VI(a)Nuclear powered vesselsXXX
VI(e)Defense articles and services specific to naval nuclear propulsion equipment. See Note 7XXX
VI(g)Software source code related to USML Category VI(a) or VI(c) See Note 4XX
VIIDefense 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)X
VIIDefense articles specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generatorX
VIIIDefense articles 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)X
VIIIDefense articles specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generatorX
VIII(a)All USML Category VIII(a) itemsX
VIII(f)Developmental aircraft parts, components, accessories, and attachments identified in USML Category VIII(f)X
VIII(i)Manufacturing know-how related to USML Category VIII(a) or VIII(e), and specially designed parts or components therefor. See Note 5XXX
VIII(i)Software source code related to USML Category VIII(a) or VIII(e). See Note 4XX
IXTraining or simulation equipment for Man Portable Air Defense Systems (MANPADS). See Note 6XX
IX(e)Software source code related to USML Category IX(a) or IX(b). See Note 4XX
IX(e)Software that is both specifically designed or modified for military use and specifically designed or modified for modeling or simulating military operational scenariosX
X(e)Manufacturing know-how related to USML Category X(a)(1) or X(a)(2), and specially designed components therefor. See Note 5XXX
XI(a)Defense articles and services specific to countermeasures and counter- countermeasures See Note 9XX
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XI(a)High Frequency and Phased Array Microwave Radar systems, with capabilities such as search, acquisition, tracking, moving target indication, and imaging radar systems. See Note 17X
XIDefense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10XX
XI(b), XI(c), XI(d)Defense articles and services specific to USML Category XI (b) (e.g., communications security (COMSEC) and TEMPEST)XX
XI(d)Software source code related to USML Category XI(a). See Note 4XX
XI(d)Manufacturing know-how related to USML Category XI(a)(3) or XI(a)(4), and specially designed components therefor. See Note 5XXX
XIIDefense articles and services specific to countermeasures and counter- countermeasures. See Note 9XX
XIIDefense 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 § 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 subchapterX
XIITechnical 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 supplementXXX
XII(f)Manufacturing know-how related to USML Category XII(d) and specially designed components therefor. See Note 5XXX
XII(f)Software source code related to USML Category XII(a), XII(b), XII(c), or XII(d). See Note 4XX
XIII(b)Defense articles and services specific to USML Category XIII(b) (Military Information Security Assurance Systems, cryptographic devices, software, and components)XX
XIII(d)Carbon/carbon billets and preforms which are reinforced in three or more dimensional planes, specifically designed, developed, modified, configured or adapted for defense articlesX
XIII(e)Defense articles and services specific to armored plate manufactured to comply with a military standard or specification or suitable for military use. See Note 11X
XIII(g)Defense articles and services related to concealment and deception equipment and materialsX
XIII(h)Energy conversion devices other than fuel cellsX
XIII(j)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 2XX
XIII(l)Software source code related to USML Category XIII(a). See Note 4XX
XIVDefense articles and services related to toxicological agents, including chemical agents, biological agents, and associated equipmentXX
XIV(a), XIV(b), XIV(d), XIV(e), XIV(f)Chemical agents listed in USML Category XIV(a), (d) and (e), biological agents and biologically derived substances in USML Category XIV(b), and equipment listed in USML Category XIV(f) for dissemination of the chemical agents and biological agents listed in USML Category XIV(a), (b), (d), and (e)X
XV(a)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 payloadXXX
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XV(b)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 entryXX
XV(c)Defense articles and services specific to GPS/PPS security modulesXX
XV(c)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 personX
XV(d)Defense articles and services specific to radiation-hardened microelectronic circuitsXXX
XV(e)Anti-jam systems with the ability to respond to incoming interference by adaptively reducing antenna gain (nulling) in the direction of the interferenceX
XV(e)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)X
XV(e)Optical intersatellite data links (cross links) and optical ground satellite terminalsX
XV(e)Spaceborne regenerative baseband processing (direct up and down conversion to and from baseband) equipmentX
XV(e)Propulsion systems which permit acceleration of the satellite on-orbit (i.e., after mission orbit injection) at rates greater than 0.1 gX
XV(e)Attitude control and determination systems designed to provide spacecraft pointing determination and control or payload pointing system control better than 0.02 degrees per axisX
XV(e)All specifically designed or modified systems, components, parts, accessories, attachments, and associated equipment for all USML Category XV(a) items, except when specifically designed or modified for use in commercial communications satellitesX
XV(e)Defense articles and services specific to spacecraft and ground control station systems (only for telemetry, tracking and control as controlled in USML Category XV(b)), subsystems, components, parts, accessories, attachments, and associated equipmentXX
XV(f)Technical data and defense services directly related to the other defense articles excluded from the exemptions for USML Category XVXXX
XVIDefense articles and services specific to design and testing of nuclear weaponsXXX
XVI(c)Nuclear radiation measuring devices manufactured to military specificationsX
XVI(e)Software source code related to USML Category XVI(c). See Note 4XX
XVIIClassified articles, and technical data and defense services relating thereto, not elsewhere enumerated. See Note 1XXX
XVIIIDefense articles and services specific to directed energy weapon systemsXX
XIX(e), XIX(f)(1), XIX(f)(2), XIX(g)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 8XX
XIX(g)Technical data and defense services for gas turbine engine hot sections. (This does not include hardware). See Note 8XXX
XXDefense articles and services related to submersible vessels, oceanographic, and associated equipmentXXX
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XXDefense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10XX
XXDefense 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)X
XXDefense articles specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generatorX
XX(a)Nuclear powered vesselsXXX
XX(b)Defense articles and services specific to naval nuclear propulsion equipment. See Note 7XXX
XX(c)Defense articles and services specific to submarine combat control systemsXX
XX(d)Software source code related to USML Category XX(a). See Note 4XX
XXIArticles, 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 PolicyXXX
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 § 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 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;Start Printed Page 33
(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 (§ 125.4(c)(3) of this subchapter), design methodology (§ 125.4(c)(4) of this subchapter), engineering analysis (§ 125.4(c)(5) of this subchapter), or manufacturing know-how (§ 125.4(c)(6) of this subchapter) are not eligible for export under the Canadian exemptions. However, this exclusion does not include defense services or technical data specific to build-to-print as defined in § 125.4(c)(1) of this subchapter, build/design-to-specification as defined in § 125.4(c)(2) of this subchapter, or basic research as defined in § 125.4(c)(3) of this subchapter, or maintenance (i.e., inspection, testing, calibration or repair, including overhaul, reconditioning and one-to-one replacement of any defective items parts or components, but excluding any modification, enhancement, upgrade or other form of alteration or improvement that changes the basic performance of the item) of non-excluded defense articles which may be exported subject to other exclusions or terms of the Canadian exemptions.
Note 13: The term “libraries” (parametric technical databases) means a collection of technical information of a military nature, reference to which may enhance the performance of military equipment or systems.
Note 14: In order to utilize the authorized defense services under the Canadian exemption, the following must be complied with:
(a) The Canadian contractor and subcontractor must certify, in writing, to the U.S. exporter that the technical data and defense services being exported will be used only for an activity identified in Supplement No. 1 to part 126 of this subchapter and in accordance with § 126.5 of this subchapter; and
(b) A written arrangement between the U.S. exporter and the Canadian recipient must:
(1) Limit delivery of the defense articles being produced directly to an identified manufacturer in the United States registered in accordance with part 122 of this subchapter; a department or agency of the United States Federal Government; a Canadian-registered person authorized in writing to manufacture defense articles by and for the Government of Canada; a Canadian Federal, Provincial, or Territorial Government;
(2) Prohibit the disclosure of the technical data to any other contractor or subcontractor who is not a Canadian-registered person;
(3) Provide that any subcontract contain all the limitations of § 126.5 of this subchapter;
(4) Require that the Canadian contractor, including subcontractors, destroy or return to the U.S. exporter in the United States all of the technical data exported pursuant to the contract or purchase order upon fulfillment of the contract, unless for use by a Canadian or United States Government entity that requires in writing the technical data be maintained. The U.S. exporter must be provided written certification that the technical data is being retained or destroyed; and
(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 of all 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; 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.
Start Signature
Start Printed Page 34

Dated: December 17, 2013.

Rose E. Gottemoeller,

Acting Under Secretary, Arms Control and International Security, Department of State.

End Signature End Supplemental Information

[FR Doc. 2013-30625 Filed 12-31-13; 8:45 am]

BILLING CODE 4710-25-P