Vol. 79 Tuesday, 

No. 126 July 1, 2014 

Part VI 

Department of State 

22 CFR Part 121 

Amendment to the International Traffic in Arms Regulations: United States 

Munitions List Category XI (Military Electronics), and Other Changes; Final 

Rule 


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37536 Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 

DEPARTMENT OF STATE 

22 CFR Part 121 

[Public Notice 8775] 

RIN 1400–AD25 

Amendment to the International Traffic 

in Arms Regulations: United States 

Munitions List Category XI (Military 

Electronics), and Other Changes 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: As part of the President’s 

Export Control Reform (ECR) effort, the 

Department of State is amending the 

International Traffic in Arms 

Regulations (ITAR) to revise U.S. 

Munitions List (USML) Category XI 

(Military Electronics). The Department 

is also amending Category VIII (Aircraft 

and Related Articles) with respect to 

wing folding systems and both 

Categories VIII and XIX to remove three 

paragraphs superseded by the revision 

of Category XI. The revisions contained 

in this rule are part of the Department 

of State’s retrospective plan under E.O. 

13563. 

DATES: This rule is effective on 

December 30, 2014, except for to the 

revision to § 121.1, Category VIII(h)(4), 

which is effective August 15, 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, 

USML Category XI Final Rule. The 

Department of State’s full retrospective 

plan can be accessed at http://

www.state.gov/documents/organization/

181028.pdf. 

SUPPLEMENTARY INFORMATION: The 

Directorate of Defense Trade Controls 

(DDTC), U.S. Department of State, 

administers the International Traffic in 

Arms Regulations (ITAR) (22 CFR parts 

120–130). The items subject to the 

jurisdiction of the ITAR, (i.e., ‘‘defense 

articles’’ and ‘‘defense services’’) are 

identified on the ITAR’s U.S. Munitions 

List (USML) (22 CFR 121.1). With few 

exceptions, items not subject to the 

export control jurisdiction of the ITAR 

are subject to the jurisdiction of the 

Export Administration Regulations 

(‘‘EAR,’’ 15 CFR parts 730–774, which 

includes the Commerce Control List 

(CCL) in Supplement No. 1 to part 774), 

administered by the Bureau of Industry 

and Security (BIS), U.S. Department of 

Commerce. Both the ITAR and the EAR 

impose license requirements on the 

export, reexport, and retransfer of 

commodities, software, technology, and 

services to various destinations, end 

users, and end uses. Items not subject to 

the ITAR or to the exclusive licensing 

jurisdiction of any other set of 

regulations are subject to the EAR. 

All references to the USML in this 

rule are to the list of defense articles 

controlled for the purpose of export or 

temporary import pursuant to the ITAR, 

and not to the defense articles on the 

USML that are controlled by the Bureau 

of Alcohol, Tobacco, Firearms and 

Explosives (ATF) for the purpose of 

permanent import under its regulations. 

See 27 CFR part 447. Pursuant to section 

38(a)(1) of the Arms Export Control Act 

(AECA), all defense articles controlled 

for export or import are part of the 

USML under the AECA. For the sake of 

clarity, the list of defense articles 

controlled by ATF for the purpose of 

permanent import is the U.S. Munitions 

Import List (USMIL). The transfer of 

defense articles from the ITAR’s USML 

to the EAR’s CCL for the purpose of 

export control does not affect the list of 

defense articles controlled on the 

USMIL under the AECA for the purpose 

of permanent import. 

Export Control Reform Update 

Pursuant to the President’s Export 

Control Reform (ECR) initiative, the 

Department has published proposed 

revisions to thirteen USML categories— 

and, upon the effective date of this rule, 

will have revised fifteen USML 

categories—to create a more positive 

control list and eliminate, where 

possible, ‘‘catch all’’ controls in the 

USML. The Department, along with the 

Departments of Commerce and Defense, 

reviewed the public comments the 

Department received on the proposed 

rules and has, where appropriate, 

revised the rules. A discussion of the 

comments relevant to the USML 

categories that are part of this rule is 

included later on in this notice. 

Discussions of the public comments 

relevant to the other USML categories 

that have been published as final rules 

are in ‘‘Amendment to the International 

Traffic in Arms Regulations: Initial 

Implementation of Export Control 

Reform,’’ published April 16, 2013 (78 

FR 22740); ‘‘Amendment to the 

International Traffic in Arms 

Regulations: Continued Implementation 

of Export Control Reform,’’ published 

July 8, 2013 (78 FR 40922); 

‘‘Amendment to the International 

Traffic in Arms Regulations: Third Rule 

Implementing Export Control Reform,’’ 

published January 2, 2014 (79 FR 34); 

and ‘‘Amendment to the International 

Traffic in Arms Regulations: Revision of 

U.S. Munitions List Category XV,’’ 

published May 13, 2014 (79 FR 27180). 

These notices also contain policies and 

procedures regarding the licensing of 

items moving from the export 

jurisdiction of the Department of State 

to the Department of Commerce, a 

definition for specially designed, 

responses to public comments, and 

changes to other sections of the ITAR 

that affect the categories discussed in 

this rule. The Department continues to 

review the remaining USML categories 

and will publish them as proposed rules 

in the coming months. 

Pursuant to ECR, the Department of 

Commerce has been publishing 

revisions to the EAR, including various 

revisions to the 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 rule is ‘‘Revisions to the Export 

Administration Regulations (EAR): 

Control of Military Electronic 

Equipment and Related Items the 

President Determines No Longer 

Warrant Control Under the United 

States Munitions List (USML).’’ It is 

published elsewhere in this edition of 

the Federal Register. 

Changes in This Rule 

The following changes are made to 

the ITAR with this final rule: (i) 

Revision of U.S. Munitions List (USML) 

Categories XI (Military Electronics); (ii) 

revision to USML Category VIII (Aircraft 

and Related Articles), paragraph (h)(4); 

(iii) continued implementation of a new 

licensing procedure for the export of 

items subject to the EAR that are to be 

exported with defense articles; and (iv) 

removal of USML Category VIII, 

paragraphs (h)(21) and (h)(22) and 

USML Category XIX (Gas Turbine 

Engines and Associated Equipment), 

paragraph (f)(7), as they are superseded 

by USML Category XI, paragraphs (c)(2), 

(c)(3), and (c)(11). 

Revision of USML Category XI 

This final rule revises USML Category 

XI, covering military electronics, to 

describe more precisely the articles 

warranting control on the USML. 

Paragraph (a) is revised by adding 

various subparagraphs to specifically 

enumerate the articles controlled. 

Subparagraph (a)(6) is removed and 

placed in reserve, with the computers 

intended for control enumerated in new 

paragraph (c)(16). Paragraphs (a)(9)–(12) 

are added to cover (i) electronic sensor 

systems or equipment for non-acoustic 

antisubmarine warfare (ASW) or mine 

warfare, (ii) electronic sensor systems or 


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equipment for detection of concealed 

weapons, (iii) test sets specially 

designed for testing defense articles 

controlled in paragraphs (a)(3), (a)(4), 

(a)(5), or (b), and (iv) direction finding 

equipment specially designed for 

articles in select paragraphs of USML 

Categories IV and VIII. 

Paragraph (c) is amended by adding 

subparagraphs (1)–(18) to specifically 

enumerate the parts, components, 

accessories, attachments, and associated 

equipment controlled. Additionally, 

subparagraph (19) is added to 

enumerate control of classified 

technology. 

Finally, paragraph (x) is added to 

allow for ITAR licensing of 

commodities, software, and technology 

subject to the EAR provided those 

commodities, software, and technology 

are to be used in or with defense articles 

controlled in USML Category XI and are 

described in the purchase 

documentation submitted with the 

application. As first described in the 

Department’s April 16, 2013 notice (78 

FR 22740), one of the objectives of this 

provision is to motivate exporters to 

make complete jurisdictional and 

classification determinations of the 

articles they are exporting. 

The Department published proposed 

revisions to USML Category XI on 

November 28, 2012 (see 77 FR 70958, 

RIN 1400–AD25) and July 25, 2013 (see 

78 FR 45018, RIN 1400–AD25). Both 

proposed rules requested public 

comment on the proposed changes. The 

public comments were reviewed and 

considered by the Department and other 

agencies. The Department’s evaluation 

of the written comments and 

recommendations for the first proposed 

rule are in the second proposed rule. 

The Department’s evaluation of the 

written comments and 

recommendations for the second 

proposed rule follows. 

The Department received proposals 

for modifications to the phrasing of 

regulatory text in USML Category XI. 

When the recommended changes added 

to the clarity of the regulation and were 

consistent with ECR objectives, the 

Department accepted them. 

One commenting party suggested that 

a separate sub-paragraph should be 

added for software and software source 

code for the development, operation, 

test, and repair of articles enumerated in 

Category XI. The Department believes 

that these articles are already captured 

in paragraph XI(d), and therefore did 

not accept this recommendation. 

One commenting party suggested that 

phrases such as ‘‘having all of the 

following’’ should be avoided. The 

Department did not accept this 

suggestion because the phrase is 

necessary to create, where possible, 

positive control lists, which is one of 

the objectives of Export Control Reform 

effort. 

One commenting party highlighted a 

circular reference between paragraphs 

(a)(1) and (c). Paragraph (a)(5)(i) refers to 

items ‘‘that are specially designed to 

integrate, incorporate, network, or 

employ defense articles that are 

controlled in this subchapter.’’ 

Paragraph (c) lists components that are 

specially designed for defense articles. 

The commenter asserts that this dual 

reference to ‘‘specially designed’’ in 

both places creates a logical paradox. 

For example, a system could possibly 

fall under paragraph (a)(5) because it is 

specially designed to integrate, 

incorporate, network, or employ defense 

articles controlled under paragraph 

(c)(1), (2), and (3). However, for 

paragraph (c)(1), (2), and (3) parts to be 

ITAR-controlled, they must be 

‘‘designed for defense articles in this 

subchapter,’’ which logically loops back 

to paragraph (a)(5). The commenter 

suggests that paragraph (c) be treated 

independently of other USML Category 

XI sub-paragraphs in line with the 

concept of creating a positive list, and 

that the circular reference to ‘‘specially 

designed’’ in both paragraphs (a)(5) and 

(c) be resolved. The Department agrees 

in part and adds the phrase, ‘‘that are 

controlled in sub-paragraphs that do not 

use the term specially designed,’’ at the 

end of paragraph (a)(5)(i) to resolve the 

circular reference issue. 

One commenting party suggested that 

USML Category XI should be reviewed 

periodically to ensure the most critical 

articles are controlled and that a 

committee of industry representatives 

should be created to provide input. The 

Department agrees that the USML, 

including Category XI, should be 

reviewed periodically to ensure that 

articles critical to national security and 

foreign policy are captured and that 

articles no longer warranting ITAR 

controls are reevaluated for possible 

control by the Department of Commerce. 

The exact details of such a reevaluation 

process have yet to be articulated. 

However, the Departments of State, 

Commerce, and Defense have 

committed to ensuring such efforts are 

a priority. 

One commenting party suggested that 

the Department should factor in foreign 

commercial availability when 

determining the appropriate level of 

control for an article. The Department 

did take foreign availability of like 

military systems into account when 

revising this category, but not in a 

manner that would be inconsistent with 

U.S. national security or foreign policy 

considerations. To the extent an item is 

commercially available and in normal 

commercial use, either domestically or 

outside the United States, the 

Department requested evidence of such 

applications, because it was not the 

Department’s intention to describe in 

the revised USML Category XI items 

that are in normal commercial use 

unless such items provided to the 

United States a critical military or 

intelligence advantage. This final rule 

responds to all such evidence provided 

by public commenters. 

One commenting party suggested that 

paragraph (a)(1)(i) be revised to ensure 

that all multi-element sensing systems, 

especially Ultra Short Baseline systems, 

are not inadvertently captured because 

this would preclude commercial 

development of collision avoidance for 

unmanned surface and subsurface 

vehicles. The party also suggested 

revising this paragraph to remove the 

terms ‘‘survey,’’ ‘‘detect,’’ ‘‘classify,’’ 

and ‘‘identify.’’ The Department did not 

accept these suggestions because the 

Department’s objective is to specifically 

describe and control such articles on the 

USML. 

Regarding paragraph (a)(1)(i), one 

commenting party noted that passive 

towed array systems exist for tracking 

and classifying marine mammals in real 

time that operate under 20 kHz with 

greater than 10 kHz bandwidth. These 

systems are ‘‘capable’’ of tracking 

vessels (and do). The commenter 

recommended that the phrase ‘‘capable 

of real-time’’ be replaced by ‘‘intended 

for real-time.’’ The Department 

acknowledges this assertion as accurate; 

however, the control capability 

described in the revised paragraph is 

critical to U.S. national security and 

continues to warrant ITAR controls. 

One commenting party noted that 

paragraph (a)(1)(ii) appears to include 

commodities currently controlled on the 

CCL, namely 6A001.a.2.a–c 

(hydrophones, hydrophone arrays, and 

related processing equipment), related 

software in 6D003, and the commodities 

currently described in ECCN 6A991. 

The Department amended paragraph 

(a)(1)(ii) by adding the qualifier phrase 

‘‘non-biologic’’ before ‘‘tonals.’’ 

One commenting party asserts that 

paragraph (a)(1)(ii) identifies 

‘‘underwater single acoustic sensor 

systems that distinguish tonals and 

locates the origin of the sound’’ without 

providing technical parameters to 

establish a reasonable threshold to 

warrant their inclusion on the USML, 

and recommends that if there are no 

clear technical parameters or 

performance thresholds that 


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differentiate between systems, perhaps 

the unique characteristics of military 

‘‘tonals’’ should be subject to control 

rather than the sensing technology. The 

Department acknowledges the potential 

for confusion in this regard and added 

Note 1 to paragraph (a)(1)(ii) to read as 

follows: ‘‘The term tonals implies 

discrete frequencies in the broadband 

and narrowband spectra, emanating 

from man-made objects.’’ 

One commenting party opined that 

use of the term ‘‘origin’’ in (a)(1)(ii) is 

confusing because it can be interpreted 

to mean either ‘‘classify’’ or ‘‘localize.’’ 

The Department believes that the 

qualifying term ‘‘locates’’ makes clear 

that ‘‘origin’’ refers to a spatial origin 

rather than the classification status of an 

item. 

One commenting party recommend 

removing ‘‘adaptive modulation’’ from 

paragraph (a)(1)(iv) since it is a major 

source of academic research and 

development for research universities 

worldwide and the United States is not 

a leader in the field. The Department 

did not accept this recommendation 

because no examples of such 

commercial uses were provided for 

evaluation. 

One commenting party suggested that 

the note to paragraph (a)(1)(iii) leaves 

open the possibility that EAR99 items 

would become controlled by the ITAR. 

The Department agrees that the note as 

written suggested this possibility, and 

removed the note to paragraph (a)(1)(iii). 

With respect to paragraph (a)(1)(vii), 

one commenting party suggested that 

the capabilities regarding ‘‘1m2 +RCS at 

range and altitude’’ already exist in the 

legacy National Airspace System and 

recommended that these criteria be 

removed. The Department did not 

accept this suggestion because radar 

with this capability are still highly 

capable for defense purposes and 

warrant ITAR control. 

One commenting party opined that 

the articles listed in paragraph (a)(2) fall 

into a highly competitive foreign 

market, and should be more 

appropriately controlled in the 600- 

series, even though their primary use is 

military. The Department did not accept 

this recommendation because 

underwater acoustic countermeasures 

and counter-countermeasures systems 

are a critical U.S. military capability. 

Moreover, no examples of commercial 

end-uses for such items were provided. 

With respect to paragraph (a)(2), one 

commenting party noted that the 

majority of torpedo countermeasure 

systems are unclassified mechanical and 

electrical equipment to deploy and 

retrieve a towed body, are not uniquely 

military, and that the only classified 

software and hardware should be 

controlled. The Department did not 

accept this suggestion because the text 

of this paragraph controls underwater 

acoustic countermeasures or countercountermeasures systems, not their 

individual components. 

Several commenting parties opined 

that radar systems that have historically 

been controlled on the CCL are now 

being controlled by the USML in 

paragraph (a)(3) as a result of this final 

rule. The Department does not agree 

with this assertion and notes that the 

very broad text of Category XI is being 

replaced with a more positive list. 

While it may appear that various radar 

technologies are being newly controlled 

on the USML, they have in fact always 

been controlled by the ITAR. The 

Department notes that any previously 

issued Commodity Jurisdiction 

determinations that a particular radar 

system or component is subject to the 

EAR remain valid. 

One commenting party recommended 

the addition of a note to paragraph (a)(3) 

indicating that the identified technical 

parameters are intended to apply only to 

the designed capability of a system, 

rather than its potentially increased 

capability in altered environmental 

conditions. The Department did not 

accept this recommendation. The 

established thresholds in each 

paragraph are intended to apply to the 

optimal capability of a system in any 

given condition, not to that system’s 

intended design capability. 

One commenting party noted that 

there exist radars supporting en-route 

air traffic control that are capable of 

detecting a one square meter radar 

cross-section at ranges exceeding 85 

nautical miles and recommended 

changing the threshold to one-half 

square meter or to a range of 150 

nautical miles. The commenting party 

based this recommendation on a 

Commodity Classification Automated 

Tracking System (CCATS) 

determination issued by the Department 

of Commerce. The Department did not 

accept this recommendation and notes 

that the CCATS in questions applied to 

the frequency agility capability of the 

particular radar in question and not to 

the radar itself. 

Two commenting parties asserted that 

paragraph (a)(3)(i) could be interpreted 

to cover weather radar because they too 

‘‘maintain the positional state of an 

object of interest in a received radar 

signal through time.’’ The commenting 

parties suggested the addition of the 

phrase ‘‘and which is ‘specially 

designed’ to have a range greater than 14 

nautical miles for a 0dBsm target.’’ The 

Department did not accept this 

suggestion because weather radars do 

not track discrete objects of interest. 

One commenting party noted that 

paragraphs (a)(3)(vi)–(viii) identify 

specific detection ranges and radar cross 

section values that are consistent with 

the capabilities of aircraft tracking 

radars in use worldwide for commercial 

aviation. The Department has revised 

paragraph (a)(3)(vi) to preclude the 

inadvertent capture of commercial 

systems and was unable to identify 

commercial systems that would be 

captured by paragraph (a)(3)(viii). With 

respect to paragraph (a)(3)(vii), the 

Department acknowledges this 

observation and notes that, due to 

critical national security concerns, its 

intent is specifically to controls systems 

with this capability as defense articles. 

Two commenting parties asserted that 

bi-static radar is being developed for 

ground-based radar applications and 

suggest limiting the scope of paragraph 

(a)(3)(ix) to non-commercial products 

that have performance beyond the civil 

air traffic collision avoidance systems. 

The Department did not accept this 

suggestion because Note 3 to paragraph 

(a)(3) already addresses this issue. 

With respect to paragraph (a)(3)(ix), 

one commenting party noted that there 

exist radar systems that support 

terminal air traffic control modified to 

mitigate the effects of wind turbines, 

and to help support Ground Based 

Sense and Avoid Unmanned Aerial 

Systems in National Airspace 

Operations. The commenting party 

suggested adding a revisit rate of greater 

than or equal to 1/3 Hz to address this 

concern. The Department did not accept 

this recommendation and notes that the 

Federal Aviation Administration has not 

yet defined requirements for UAS sense 

and avoid capabilities. The commenting 

party referred to a Commodity 

Jurisdiction determination that such 

technology is subject to the EAR. The 

commenter did not provide a copy of 

this determination or any other 

reference to it and has been unable to 

identify such a determination. The 

Department notes that Commodity 

Jurisdiction determinations finding that 

a particular article is subject to the EAR 

remain valid. 

Two commenting parties asserted that 

paragraph (a)(3)(xii) over-controls 

weather radar by including commercial, 

electronically steerable weather radar 

that lack military functionality and 

provided recommended revisions to it. 

The Department acknowledges the 

parties’ concerns and adds a note to 

paragraph (a)(3)(xii). 

Three commenting parties noted that 

the criteria listed in paragraph (a)(3)(xii) 

would capture all multi-phased array 


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radar regardless of end-use. The 

Department acknowledges that the 

intent of this paragraph is to control all 

such radar because they are critical to 

U.S. national security. The Department 

also notes that this paragraph does not 

capture defense articles and technical 

data that were not previously controlled 

by USML Category XI; rather, it merely 

enumerates such defense articles and 

technical data as controlled. 

Four commenting parties noted that 

references to clutter filtering in 

paragraph (a)(3)(xvii) would control 

commercial weather radars. One of 

these parties suggested that increasing 

the control threshold from 50dB to 60dB 

would alleviate this concern. The 

Department concurs and accepts the 

recommended threshold increase. 

In response to one commenting 

party’s request for clarification on use of 

the phrase ‘‘specific platform type’’ in 

paragraph (a)(3)(xxi), the Department 

notes that the meaning of the word 

‘‘type’’ in the paragraph controlling 

radar employing non-cooperative target 

recognition is that provided in 14 CFR 

§ 1.1, and adds Note 1 to paragraph 

(a)(3)(xxi) accordingly. 

One commenting party suggested that 

the reference to ‘‘electronic combat 

equipment’’ in paragraph (a)(4) is too 

broad because it would control items 

now subject to the EAR. The 

Department notes that the criteria in the 

following subparagraph already mitigate 

this concern. 

One commenting party stated that 

paragraph (a)(4)(i) appears to control 

detection and interception systems and 

equipment that have historically been 

controlled on the CCL. The Department 

notes that ECCN 5A001.i only pertains 

to mobile telecommunication 

monitoring and that the control 

language in paragraph (a)(4)(i) does not 

encompass the intercept and processing 

of air interface of mobile 

telecommunications. 

One commenting party noted that 

paragraph (a)(4)(iii) appears to include 

commodities currently controlled on the 

CCL, specifically ECCN 5A001.f. The 

Department notes that the use of 

‘‘specially designed’’ in this entry 

specifically excludes this possibility. 

One commenting party recommended 

adding the phrase ‘‘or modified’’ after 

specially designed throughout 

paragraph (a)(5) in order to address 

cases where capability, not design, is at 

issue. The Department did not accept 

this recommendation because capability 

is already covered in the definition of 

specially designed. 

One commenting party suggested that 

paragraph (a)(7) appears to contradict 

one of the key purposes of export 

control reform, which is to provide a 

bright line regarding the export control 

jurisdiction of articles and services. The 

commenting party further indicated that 

the proposed revision does not define 

the criteria that will be used to 

determine a developmental electronic 

device or system to be a defense article. 

Similarly, three commenting parties 

posited that a system could be 

incorrectly determined to be ITARcontrolled solely because of its funding 

source. The Department did not accept 

these comments; notes 1 through 3 to 

paragraph (a)(7) clearly indicate the 

criteria to be applied in this regard, thus 

obviating concerns of ambiguity. In 

situations where funding does control a 

particular article, the Department notes 

that this was precisely the intent of this 

entry. The Department notes that 

paragraph (a)(7) does not apply to 

electronic systems or equipment where 

the Department of Defense acts solely as 

a servicing agency for a contract on 

behalf of another agency of the U.S. 

Government, but does not itself 

contribute funding. 

One commenting party opined that 

paragraph (a)(8) would control 

unattended ground systems currently 

controlled on the CCL, or widelyavailable commercial products that 

contain the capabilities enumerated, 

and suggested narrowing the scope of 

this entry by use of ‘‘specially 

designed.’’ The Department did not 

accept this suggestion because no 

examples were provided to substantiate 

this claim. 

One commenting party noted that 

paragraph (a)(10) identifies electronic 

sensor systems and equipment for 

detection of concealed weapons having 

a standoff detection range of greater 

than 45m, which conflicts with ECCN 

2A984 for concealed object detection 

equipment which includes a standoff 

distance of 100m. The Department 

acknowledges this conflict and provides 

additional exclusionary criteria for 

frequency range and spatial resolution 

to address it. 

One commenting party noted that 

paragraph (a)(11) identifies test sets for 

counter remote-controlled improvised 

explosive devices and counter radio 

electronic warfare systems that are 

already controlled in paragraph 

(a)(4)(iii). The Department amended 

paragraph (a)(11) to remove these 

references. 

One commenting party stated that the 

note to paragraph (b) lacks clarity 

regarding what constitutes ‘‘intelligence 

services.’’ Based on the interagency 

review of the comments to the proposed 

note to Category XI(b), the Department 

concluded that the proposed note 

created more confusion regarding the 

scope of the Category XI(b) than it 

resolved. The Department has removed 

the note and has left the scope of the 

control the same. To the extent there are 

questions as to whether an item is 

within the scope of USML Category 

XI(b), ITAR § 120.4 allows for the 

submission of a request for a commodity 

jurisdiction determination for such 

items. 

Several commenting parties expressed 

concern with respect to control of 

spectrum analyzers in paragraph (b), 

particularly for those that are widely 

available on the foreign market and used 

for multiple commercial purposes, 

including Technical Surveillance 

Countermeasure (TSCM) services. The 

Department notes that the proposed 

revision to Category XI(b) did not 

propose new controls on spectrum 

analyzers. If a spectrum analyzer, or any 

other piece of electronic equipment, is 

specially designed for intelligence 

purposes and collects, surveys, 

monitors, or exploits the 

electromagnetic spectrum (regardless of 

transmission medium), or for 

counteracting such activities, then it is 

within the scope of USML Category 

XI(b). To the extent there are questions 

as to whether a particular item falls 

within the scope of this description, the 

exporter may submit a request for a 

commodity jurisdiction determination 

under ITAR § 120.4. 

One commenting party recommended 

adding a note to paragraph (b)(1) to 

indicate that it does not apply to 

direction finding equipment or systems 

specially designed for navigation 

applications. The Department did not 

accept this recommendation and 

believes that the parameters define the 

control for direction finding equipment 

sufficiently to differentiate from CCL 

control. 

In response to recommendations and 

concerns of commenting parties, the 

Department has revised the controls for 

printed circuit boards and patterned 

multichip modules, providing each with 

a separate subparagraph, and notes that 

jurisdiction of a printed circuit board or 

patterned multichip module should 

follow the jurisdiction of the specific 

item for which it is designed, as 

opposed to the jurisdiction of the 

overall system into which the article 

one layer up from the printed circuit 

board is ultimately incorporated. 

One commenting party recommended 

adding a new, non-SME entry under 

paragraph (c) to enumerate control of 

chaff and flare rounds specially 

designed for the systems and equipment 

described in paragraph (a)(4)(iii), and 

parts and components therefor 


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containing materials controlled in 

USML Category V. The Department 

accepted this recommendation, and 

added paragraph (c)(17) accordingly. 

One commenting party recommended 

that the Department adopt the definition 

of ‘‘Application Specific Integrated 

Circuit’’ (ASIC) developed by the Joint 

Electron Device Engineering Council 

(JEDEC) Solid State Technology 

Association: ‘‘An integrated circuit 

developed and produced for a specific 

application or function and for a single 

customer.’’ The Department agreed in 

part, and added note to paragraph (c)(1) 

to define an ASIC. The Department does 

not agree that the term ASIC be limited 

to items produced for a single customer. 

Such language could lead to unintended 

drops in controls based on an order by 

a second customer. The Commerce 

Department has adopted the same 

definition in its rule being published in 

connection with this rule. 

One commenting party noted that the 

proposed paragraph (c)(4) would 

inadvertently control transmit/receive 

modules or transmit modules of a 

certain size that contain either an 

electric or a mechanical phase shifter or 

phaser. The Department agreed with 

this comment and amended paragraph 

(c)(4) accordingly. 

One commenting party suggested that 

paragraph (c)(5) controls capacitors in 

commercial use and recommended that 

they should be made subject to the EAR. 

The Department did not accept this 

recommendation on the basis that the 

discharge rate and energy life stipulated 

in the paragraph (c)(5) adequately 

differentiates those capacitors that 

warrant ITAR controls from those that 

are used commercially. 

Two commenting parties suggested 

that paragraph (c)(8) lacks the critical 

parameter of latency time for digital 

radio-frequency memory (DRFM) 

systems. The Department agreed with 

these comments and amended 

paragraph (c)(8) to control those systems 

whose output signal is a translation of 

the input signal (e.g. changes in 

magnitude, time, frequency). 

Three commenting parties indicated 

that paragraph (c)(10) as written would 

control items already controlled by 

ECCN 5A991.f, such as metamaterial 

surface scattering antennas designed for 

transmitting or receiving radio 

communications via a commercial 

operated fixed or mobile satellite service 

system. The Department agreed with 

these comments and revised paragraph 

(c)(10)(i) to control those antennas that 

employ four or more elements, 

electronically steer angular beams, 

independently steer angular nulls, 

create angular nulls with a null depth 

greater than 20 dB, and achieve a beam 

switching speed faster than 50 

milliseconds. The Department notes that 

a suggestion to amend the beam 

switching speed to control only those 

faster than 1 millisecond was not 

accepted as the modification of the 

remainder of the entry addresses the 

expressed concerns. 

One commenting party opined that 

use of the term ‘‘radar bands’’ in 

paragraph (c)(11)(ii) is too generic 

because any radio frequency can 

theoretically be used for radar 

application. The commenter 

recommended replacing ‘‘radar bands’’ 

with the phrase ‘‘frequency bands for 

radar applications.’’ The Department 

accepted this recommendation and 

revised the paragraph accordingly. 

One commenting party recommended 

adding the phrase ‘‘for active sonar 

systems’’ to the end of paragraph 

(c)(12)(i) to avoid situations where 

underwater projectors are used to 

observe responses of marine animals to 

underwater sound. The Department 

accepted the addition of this phrase, 

with the exception of the word ‘‘active,’’ 

because passive systems are also 

intended for control. 

Four commenting parties noted that 

paragraph (c)(14) is overly broad and 

would control tuners covered by ECCN 

3A002.c.4. One party recommended 

constraining this paragraph to tuners 

specially designed for systems and 

equipment in paragraphs (a)(4) and (b). 

One party recommended that paragraph 

(c)(14) be deleted in its entirety. Two 

commenting parties recommended the 

addition of parameters for operating 

frequency range and tuning time based 

on frequency step size to clarify the type 

of tuner component intended to be 

controlled. The Department revised 

paragraph (c)(14) to control tuners 

specially designed for systems and 

equipment in paragraphs (a)(4) and (b). 

One commenting party suggested that 

paragraph (c)(15) conflicts with certain 

changes made to USML Category VIII, 

specifically with respect to unmanned 

aerial vehicles (UAVs), in that it would 

seem to include all unmanned aerial 

vehicles, military or civil, if they have 

a range equal to or greater than 300 km. 

The Department amended paragraph 

(c)(15) to indicate that it applies only to 

UAVs controlled by USML Category 

VIII. 

One commenting party suggested that 

paragraph (c)(19)(ii) could be 

interpreted as controlling commercial 

computers simply because they contain 

classified information. The Department 

does not agree, and believes the note to 

paragraph (c)(19)(ii) makes clear that it 

controls only those items that ‘‘store, 

process, or transmit classified software.’’ 

To further clarify this point, the 

Department amended the note to 

paragraph (c)(1)(ii) by adding a 

parenthetical reference to ITAR 

§ 121.8(f). 

Change to Control of Wing Folding 

Systems in USML Category VIII and 

Other Changes in Category VIII and 

USML Category XIX 

The Department revised paragraph 

(h)(4) of USML Category VIII to ensure 

that wing folding systems for 

commercial aircraft are not controlled as 

defense articles, while retaining those 

systems that warrant ITAR controls for 

foreign policy and national security. 

This change is made based on a public 

comment received on the revisions 

proposed to USML Category VIII (see, 

RINs 1400–AC96 and 1400–AD37). 

The Department also removed 

paragraphs (h)(21) and (h)(22) in USML 

Category VIII and paragraph (f)(7) in 

USML Category XIX (Gas Turbine 

Engines and Associated Equipment), as 

they are superseded by paragraphs 

(c)(2), (c)(3), and (c)(11) in USML 

Category XI. 

Adoption of Proposed Rules and Other 

Changes 

Having reviewed and evaluated the 

comments and recommended changes 

for the USML Category XI proposed 

rule, the Department has determined 

that it will, and hereby does, adopt 

them, with changes and omission noted 

and other edits, and promulgates them 

in final form under this rule. 

Regulatory Analysis and Notices 

Administrative Procedure Act 

The Department of State is of the 

opinion that controlling the import and 

export of defense articles and services is 

a foreign affairs function of the United 

States Government and that rules 

implementing this function are exempt 

from sections 553 (rulemaking) and 554 

(adjudications) of the Administrative 

Procedure Act (APA). Although the 

Department is of the opinion that this 

rule is exempt from the rulemaking 

provisions of the APA, the Department 

has published parts of this rule in 

separate rulemaking actions as follows: 

an NPRM and final rule on Category 

VIII, 1400–AC96 and 1400–AD37, 

respectively; an NPRM and final rule on 

Category XIX, 1400–AC98 and 1400– 

AD37, respectively; and an NPRM and 

Supplemental NPRM on Category XI, 

1400–AD25. The rulemakings had a 45- 

or 60-day provision for public comment, 

without prejudice to the determination 

that controlling the import and export of 


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defense services is a foreign affairs 

function. 

Regulatory Flexibility Act 

Since the Department is of the 

opinion that this rule is exempt from the 

provisions of 5 U.S.C. 553, there is no 

requirement for an analysis under the 

Regulatory Flexibility Act. 

Unfunded Mandates Reform Act of 1995 

This rulemaking does not involve a 

mandate that will result in the 

expenditure by State, local, and tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

in any year and it will not significantly 

or uniquely affect small governments. 

Therefore, no actions were deemed 

necessary under the provisions of the 

Unfunded Mandates Reform Act of 

1995. 

Small Business Regulatory Enforcement 

Fairness Act of 1996 

For purposes of the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (the ‘‘Act’’), a ‘‘major’’ rule is a 

rule that the Administrator of the OMB 

Office of Information and Regulatory 

Affairs finds has resulted or is likely to 

result in (1) an annual effect on the 

economy of $100,000,000 or more; (2) a 

major increase in costs or prices for 

consumers, individual industries, 

federal, state, or local government 

agencies, or geographic regions; or (3) 

significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of United States-based 

enterprises to compete with foreignbased enterprises in domestic and 

foreign markets. 

The Department does not believe this 

rulemaking will have an annual effect 

on the economy of $100,000,000 or 

more. Articles that are being removed 

from coverage in the U.S. Munitions List 

categories contained in this rule will 

still require licensing for export, but 

from the Department of Commerce. 

While the licensing regime of the 

Department of Commerce is more 

flexible than that of the Department of 

State, it is not expected that the change 

in jurisdiction of these articles will 

result in an export difference of 

$100,000,000 or more. 

The Department also does not believe 

that this rulemaking will result in a 

major increase in costs or prices for 

consumers, individual industries, 

federal, state, or local government 

agencies, or geographic regions, or have 

significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of United States-based 

enterprises to compete with foreignbased enterprises in domestic and 

foreign markets. 

Executive Orders 12372 and 13132 

This rulemaking will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. Therefore, in 

accordance with Executive Order 13132, 

it is determined that this rulemaking 

does not have sufficient federalism 

implications to require consultations or 

warrant the preparation of a federalism 

summary impact statement. The 

regulations implementing Executive 

Order 12372 regarding 

intergovernmental consultation on 

Federal programs and activities do not 

apply to this rulemaking. 

Executive Orders 12866 and 13563 

Executive Orders 12866 and 13563 

direct agencies to assess costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributed impacts, and equity). 

These executive orders stress the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rulemaking has been 

designated a ‘‘significant regulatory 

action,’’ although not economically 

significant, under section 3(f) of 

Executive Order 12866. Accordingly, 

this rule has been reviewed by the 

Office of Management and Budget 

(OMB). 

Executive Order 12988 

The Department of State has reviewed 

this rulemaking in light of sections 3(a) 

and 3(b)(2) of Executive Order 12988 to 

eliminate ambiguity, minimize 

litigation, establish clear legal 

standards, and reduce burden. 

Executive Order 13175 

The Department of State has 

determined that this rulemaking will 

not have tribal implications, will not 

impose substantial direct compliance 

costs on Indian tribal governments, and 

will not preempt tribal law. 

Accordingly, the requirements of 

Executive Order 13175 do not apply to 

this rulemaking. 

Paperwork Reduction Act 

Following is a listing of approved 

collections that will be affected by 

revision of the U.S. Munitions List 

(USML) and the Commerce Control List 

pursuant to the President’s Export 

Control Reform (ECR) initiative. This 

final rule continues the implementation 

of ECR. The list of collections and the 

description of the manner in which they 

will be affected pertains to revision of 

the USML in its entirety, not only to the 

categories published in this rule. In 

accordance with the Paperwork 

Reduction Act, the Department of State 

will request comment on these 

collections from all interested persons. 

In particular, the Department will seek 

comment on changes to licensing 

burden based on implementation of 

regulatory changes pursuant to ECR, and 

on projected changes based on 

continued implementation of regulatory 

changes pursuant to ECR. The affected 

information collections are as follows: 

(1) Statement of Registration, DS– 

2032, OMB No. 1405–0002. The 

Department estimates that between 

3,000 and 5,000 of currently-registered 

persons will not need to maintain 

registration following full revision of the 

USML. This would result in a burden 

reduction of between 6,000 and 10,000 

hours annually, based on a revised time 

burden of two hours to complete a 

Statement of Registration. 

(2) Application/License for Permanent 

Export of Unclassified Defense Articles 

and Related Unclassified Technical 

Data, DSP–5, OMB No. 1405–0003. The 

Department estimates that there will be 

35,000 fewer DSP–5 submissions 

annually following full revision of the 

USML. This would result in a burden 

reduction of 35,000 hours annually. 

(3) Application/License for 

Temporary Import of Unclassified 

Defense Articles, DSP–61, OMB No. 

1405–0013. The Department estimates 

that there will be 200 fewer DSP–61 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 100 hours 

annually. 

(4) Application/License for 

Temporary Export of Unclassified 

Defense Articles, DSP–73, OMB No. 

1405–0023. The Department estimates 

that there will be 800 fewer DSP–73 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 800 hours 

annually. 

(5) Application for Amendment to 

License for Export or Import of 

Classified or Unclassified Defense 

Articles and Related Technical Data, 

DSP–6, –62, –74, –119, OMB No. 1405– 

0092. The Department estimates that 

there will be 2,000 fewer amendment 

submissions annually following full 

revision of the USML. This would result 


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in a burden reduction of 1,000 hours 

annually. 

(6) Request for Approval of 

Manufacturing License Agreements, 

Technical Assistance Agreements, and 

Other Agreements, DSP–5, OMB No. 

1405–0093. The Department estimates 

that there will be 1,000 fewer agreement 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 2,000 hours 

annually. 

(7) Maintenance of Records by 

Registrants, OMB No. 1405–0111. The 

requirement to actively maintain 

records pursuant to provisions of the 

International Traffic in Arms 

Regulations (ITAR) will decline 

commensurate with the drop in the 

number of persons who will be required 

to register with the Department 

pursuant to the ITAR. As stated above, 

the Department estimates that up to 

5,000 of the currently-registered persons 

will not need to maintain registration 

following full revision of the USML. 

This would result in a burden reduction 

of 100,000 hours annually. However, the 

ITAR does provide for the maintenance 

of records for a period of five years. 

Therefore, persons newly relieved of the 

requirement to register with the 

Department may still be required to 

maintain records. 

(8) Export Declaration of Defense 

Technical Data or Services, DS–4071, 

OMB No. 1405–0157. The Department 

estimates that there will be 2,000 fewer 

declaration submissions annually 

following full revision of the USML. 

This would result in a burden reduction 

of 1,000 hours annually. 

List of Subjects in 22 CFR Part 121 

Arms and munitions, Classified, 

Exports. 

PART 121—THE UNITED STATES 

MUNITIONS LIST 

■ 1. The authority citation for part 121 

continues to read as follows: 

Authority: Secs. 2, 38, and 71, Pub. L. 90– 

629, 90 Stat. 744 (22 U.S.C. 2752, 2778, 

2797); 22 U.S.C. 2651a; Pub. L. 105–261, 112 

Stat. 1920; Section 1261, Pub. L. 112–239; 

E.O. 13637, 78 FR 16129. 

■ 2. Section 121 is amended: 

■ a. In Category VIII by revising 

paragraph (h)(4) and removing and 

reserving paragraphs (h)(21) and (22); 

■ b. By revising Category XI ; and 

■ c. In Category XIX by removing and 

reserving paragraph (f)(7). 

The revisions read as follows: 

§ 121.1 General. The United States 

Munitions List. 

* * * * * 

Category VIII—Aircraft and Related 

Articles 

* * * * * 

(h) * * * 

(4) Wing folding systems, and 

specially designed parts and 

components therefor, for: 

(i) Aircraft powered by power plants 

controlled under USML Category IV(d); 

or, 

(ii) Aircraft powered by gas turbine 

engines with any of the following 

characteristics: 

(A) The portion of the wing outboard 

of the wing fold is required for 

sustained flight; 

(B) Fuel can be stored outboard of the 

wing fold; 

(C) Control surfaces are outboard of 

the wing fold; 

(D) Hard points are outboard of the 

wing fold; 

(E) Hard points inboard of the wing 

fold are capable of in-flight ejection; or 

(F) The aircraft is designed to 

withstand maximum vertical 

maneuvering accelerations greater than 

+3.5g/¥1.5g. 

* * * * * 

(21) [Reserved] 

(22) [Reserved] 

* * * * * 

Category XI—Military Electronics 

(a) Electronic equipment and systems 

not included in Category XII of the U.S. 

Munitions List, as follows: 

*(1) Underwater hardware, 

equipment, or systems, as follows: 

(i) Active or passive acoustic array 

sensing systems or acoustic array 

equipment capable of real-time 

processing that survey or detect, and 

also track, localize (i.e., determine range 

and bearing), classify, or identify, 

surface vessels, submarines, other 

undersea vehicles, torpedoes, or mines, 

having any of the following: 

(A) Multi-static capability; 

(B) Operating frequency less than 20 

kHz; or 

(C) Operating bandwidth greater than 

10 kHz; 

(ii) Underwater single acoustic sensor 

system that distinguishes non-biologic 

tonals and locates the origin of the 

sound; 

Note to paragraph(a)(1)(ii): The term 

tonals implies discrete frequencies in 

the broadband and narrowband spectra, 

emanating from man-made objects. 

(iii) Non-acoustic systems that survey 

or detect, and also track, localize (i.e., 

determine range and bearing), classify, 

or identify, surface vessels, submarines, 

other undersea vehicles, torpedoes, or 

mines; 

(iv) Acoustic modems, networks, and 

communications equipment with realtime adaptive compensation or 

employing Low Probability of Intercept 

(LPI); 

Note to paragraph (a)(1)(iv): Adaptive 

compensation is the capability of an 

underwater modem to assess the water 

conditions to select the best algorithm to 

receive and transmit data. 

(v) Low Frequency/Very Low 

Frequency (LF/VLF) electronic modems, 

routers, interfaces, and communications 

equipment, specially designed for 

submarine communications; or 

(vi) Autonomous systems and 

equipment that enable cooperative 

sensing and engagement by fixed 

(bottom mounted/seabed) or mobile 

Autonomous Underwater Vehicles 

(AUVs); 

*(2) Underwater acoustic 

countermeasures or countercountermeasures systems or equipment; 

*(3) Radar systems and equipment, as 

follows: 

(i) Airborne radar that maintains 

positional state of an object or objects of 

interest, other than weather phenomena, 

in a received radar signal through time; 

(ii) Synthetic Aperture Radar (SAR) 

incorporating image resolution less than 

(better than) 0.3 m, or incorporating 

Coherent Change Detection (CCD) with 

geo-registration accuracy less than 

(better than) 0.3 m, not including 

concealed object detection equipment 

operating in the frequency range from 

30 GHz to 3,000 GHz and having a 

spatial resolution of 0.5 milliradians up 

to and including 1 milliradians at a 

standoff distance of 100 m; 

(iii) Inverse Synthetic Aperture Radar 

(ISAR); 

(iv) Radar that geodetically-locates 

(i.e., geodetic latitude, geodetic 

longitude, and geodetic height) with a 

target location error 50 (TLE50) less 

than or equal to 10 m at ranges greater 

than 1 km; 

(v) Any Ocean Surveillance Radar 

with an average-power-aperture product 

of greater than 50 Wm2; 

(vi) Any ocean surveillance radar that 

transmits a waveform with an 

instantaneous bandwidth greater than 

100 MHz and has an antenna rotation 

rate greater than 60 Revolutions-perMinute (RPM); 

(vii) Air surveillance radar with free 

space detection of 1 square meter RCS 

target at 85 nmi or greater range, scaled 

to RCS values as RCS to the 1⁄4 power; 

(viii) Air surveillance radar with free 

space detection of 1 square meter RCS 

target at an altitude of 65,000 feet and 

an elevation angle greater than 20 

degrees (i.e., counter-battery); 

(ix) Air surveillance radar with 

multiple elevation beams, phase or 


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amplitude monopulse estimation, or 3D 

height-finding; 

(x) Air surveillance radar with a beam 

solid angle less than or equal to 16 

degrees2 that performs free space 

tracking of 1 square meter RCS target at 

a range greater or equal to 25 nmi with 

revisit rate greater or equal to 1⁄3 Hz; 

(xi) Instrumentation radar for 

anechoic test facility or outdoor range 

that maintains positional state of an 

object of interest in a received radar 

signal through time or provides 

measurement of RCS of a static target 

less than or equal to minus 10dBsm, or 

RCS of a dynamic target; 

(xii) Radar incorporating pulsed 

operation with electronics steering of 

transmit beam in elevation and azimuth; 

Note to paragraph (a)(3)(xii): This 

paragraph does not control radars not 

otherwise controlled in this subchapter, 

operating with a peak transmit power 

less than or equal to 250 watts, and 

employing a design determined to be 

subject to the EAR via a commodity 

jurisdiction determination (see § 120.4 

of this subchapter). 

(xiii) Radar with mode(s) for ballistic 

tracking or ballistic extrapolation to 

source of launch or impact point of 

articles controlled in USML Categories 

III or IV; 

(xiv) Active protection radar and 

missile warning radar with mode(s) 

implemented for detection of incoming 

munitions; 

(xv) Over the horizon high frequency 

sky-wave (ionosphere) radar; 

(xvi) Radar that detects a moving 

object through a physical obstruction at 

distance greater than 0.2 m from the 

obstruction; 

(xvii) Radar having moving target 

indicator (MTI) or pulse-Doppler 

processing where any single Doppler 

filter provides a normalized clutter 

attenuation of greater than 60dB; 

Note to paragraph (a)(3)(xvii): 

‘‘Normalized clutter attenuation’’ is 

defined as the reduction in the power 

level of received distributed clutter 

when normalized to the thermal noise 

level. 

(xviii) Radar having electronic 

protection (EP) or electronic countercountermeasures (ECCM) other than 

manual gain control, automatic gain 

control, radio frequency selection, 

constant false alarm rate, and pulse 

repetition interval jitter; 

(xix) Radar employing electronic 

attack (EA) mode(s) using the radar 

transmitter and antenna; 

(xx) Radar employing electronic 

support (ES) mode(s) (i.e., the ability to 

use a radar system for ES purposes in 

one or more of the following: as a highgain receiver, as a wide-bandwidth 

receiver, as a multi-beam receiver, or as 

part of a multi-point system); 

(xxi) Radar employing noncooperative target recognition (NCTR) 

(i.e., the ability to recognize a specific 

platform type without cooperative 

action of the target platform); 

Note to Paragraph (a)(3)(xxi): The 

definition of ‘‘type’’ in this paragraph is that 

provided in 14 CFR § 1.1. 

(xxii) Radar employing automatic 

target recognition (ATR) (i.e., 

recognition of target using structural 

features (e.g., tank versus car) of the 

target with system resolution better than 

(less than) 0.3 m); 

(xxiii) Radar that sends interceptor 

guidance commands or provides 

illumination keyed to an interceptor 

seeker; 

(xxiv) Radar employing waveform 

generation for LPI other than frequency 

modulated continuous wave (FMCW) 

with linear ramp modulation; 

(xxv) Radar that sends and receives 

communications; 

(xxvi) Radar that tracks or 

discriminates ballistic missile warhead 

from debris or countermeasures; 

(xxvii) Bi-static/multi-static radar that 

exploits greater than 125 kHz 

bandwidth and is lower than 2 GHz 

center frequency to passively detect or 

track using radio frequency (RF) 

transmissions (e.g., commercial radio, 

television stations); 

(xxviii) Radar target generators, 

projectors, or simulators, specially 

designed for radars controlled by this 

category; or 

(xxix) Radar and laser radar systems 

specially designed for defense articles in 

paragraph (a)(1) of USML Category IV or 

paragraphs (a)(5), (a)(6), or (a)(13) of 

USML Category VIII (MT if specially 

designed for rockets, space launch 

vehicles, missiles, drones, or unmanned 

aerial vehicles capable of delivering a 

payload of at least 500 kg to a range of 

at least 300 km); 

Note 1 to paragraph (a)(3)(xxix): Laser 

radar systems embody specialized 

transmission, scanning, receiving, and signal 

processing techniques for utilization of lasers 

for echo ranging, direction finding, and 

discrimination of targets by location, radial 

speed, and body reflection characteristics. 

Note 2 to paragraph (a)(3)(xxix): For 

definition of ‘‘range’’ as it pertains to rocket 

systems, see note 1 to paragraph (a) of USML 

Category IV. ‘‘Payload’’ is the total mass that 

can be carried or delivered by the specified 

rocket, SLV, or missile that is not used to 

maintain flight. 

Note to paragraph (a)(3): This paragraph 

does not control: (a) Systems or equipment 

that require aircraft transponders in order to 

meet control parameters; (b) precision 

approach radar (PAR) equipment conforming 

to ICAO standards and employing 

electronically steerable linear (1- 

dimensional) arrays or mechanically 

positioned passive antennas; and (c) radio 

altimeter equipment conforming to FAA TSO 

C87. 

*(4) Electronic Combat (i.e., 

Electronic Warfare) systems and 

equipment, as follows: 

(i) Electronic Support (ES) systems 

and equipment that search for, intercept 

and identify, or locate sources of 

intentional or unintentional 

electromagnetic energy specially 

designed to provide immediate threat 

detection, recognition, targeting, 

planning, or conduct of future 

operations; 

Note to paragraph (a)(4)(i): ES provides 

tactical situational awareness, automatic 

cueing, targeting, electronic order of battle 

planning, electronic intelligence (ELINT), 

communication intelligence (COMINT), or 

signals intelligence (SIGINT). 

(ii) Systems and equipment that 

detect and automatically discriminate 

acoustic energy emanating from 

weapons fire (e.g., gunfire, artillery, 

rocket propelled grenades, or other 

projectiles), determining location or 

direction of weapons fire in less than 

two seconds from receipt of event 

signal, and able to operate on-the-move 

(e.g., operating on personnel, land 

vehicles, sea vessels, or aircraft while in 

motion); or 

(iii) Systems and equipment specially 

designed to introduce extraneous or 

erroneous signals into radar, infrared 

based seekers, electro-optic based 

seekers, radio communication receivers, 

navigation receivers, or that otherwise 

hinder the reception, operation, or 

effectiveness of adversary electronics 

(e.g., active or passive electronic attack, 

electronic countermeasure, electronic 

counter-countermeasure equipment, 

jamming, and counter jamming 

equipment); 

*(5) Command, control, and 

communications (C3); command, 

control, communications, and 

computers (C4); command, control, 

communications, computers, 

intelligence, surveillance, and 

reconnaissance (C4ISR); and 

identification systems or equipment, 

that: 

(i) Are specially designed to integrate, 

incorporate, network, or employ defense 

articles that are controlled in paragraphs 

or subparagraphs of the categories of 

§ 121.1 of this part that do not use the 

term specially designed; 

(ii) Incorporate U.S. government 

identification friend or foe (IFF) Modes 

4 or 5; 


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(iii) Implement active or passive 

ECCM used to counter acts of 

communication disruption (e.g., radios 

that incorporate HAVE QUICK I/II, 

SINCGARS, SATURN); 

(iv) Specially designed, rated, 

certified, or otherwise specified or 

described to be in compliance with U.S. 

government NSTISSAM TEMPEST 1–92 

standards or CNSSAM TEMPEST 01–02, 

to implement techniques to suppress 

compromising emanations of 

information bearing signals; or 

(v) Transmit voice or data signals 

specially designed to elude 

electromagnetic detection; 

(6) [Reserved] 

(7) Developmental electronic 

equipment or systems funded by the 

Department of Defense via contract or 

other funding authorization; 

Note 1 to paragraph (a)(7): This paragraph 

does not control electronic systems or 

equipment (a) in production, (b) determined 

to be subject to the EAR via a commodity 

jurisdiction determination (see § 120.4 of this 

subchapter), or (c) identified in the relevant 

Department of Defense contract or other 

funding authorization as being developed for 

both civil and military applications. 

Note 2 to paragraph (a)(7): Note 1 does not 

apply to defense articles enumerated on the 

USML, whether in production or 

development. 

Note 3 to paragraph (a)(7): This paragraph 

is applicable only to those contracts and 

funding authorizations that are dated July 1, 

2015, or later. 

(8) Unattended ground sensor (UGS) 

systems or equipment having all of the 

following: 

(i) Automatic target detection; 

(ii) Automatic target tracking, 

classification, recognition, or 

identification; 

(iii) Self-forming or self-healing 

networks; and 

(iv) Self-localization for geo-locating 

targets; 

(9) Electronic sensor systems or 

equipment for non-acoustic 

antisubmarine warfare (ASW) or mine 

warfare (e.g., magnetic anomaly 

detectors (MAD), electric-field, 

electromagnetic induction); 

(10) Electronic sensor systems or 

equipment for detection of concealed 

weapons, having a standoff detection 

range of greater than 45 m for personnel 

or detection of vehicle-carried weapons, 

not including concealed object detection 

equipment operating in the frequency 

range from 30 GHz to 3,000 GHz and 

having a spatial resolution of 0.5 

milliradians up to and including 1 

milliradians at a standoff distance of 

100 m; 

(11) Test sets specially designed for 

testing defense articles controlled in 

paragraphs (a)(3), (a)(4), (a)(5), or (b); or 

(12) Direction finding equipment for 

determining bearings to specific 

electromagnetic sources or terrain 

characteristics specially designed for 

defense articles in paragraph (a)(1) of 

USML Category IV or paragraphs (a)(5), 

(a)(6), or (a)(13) of USML Category VIII 

(MT if specially designed for rockets, 

SLVs, missiles, drones, or UAVs capable 

of delivering a payload of at least 500 

kg to a range of at least 300 km. See note 

2 to paragraph (a)(3)(xxix) of this 

category). 

Note 1 to paragraph (a): The term ‘‘Low 

Probability of Intercept’’ used in this 

paragraph and elsewhere in this category is 

defined as a class of measures that disguise, 

delay, or prevent the interception of acoustic 

or electromagnetic signals. LPI techniques 

can involve permutations of power 

management, energy management, frequency 

variability, out-of-receiver-frequency band, 

low-side lobe antenna, complex waveforms, 

and complex scanning. LPI is also referred to 

as Low Probability of Intercept, Low 

Probability of Detection, and Low Probability 

of Identification. 

Note 2 to paragraph (a): Paragraphs 

(a)(3)(xxix) and (a)(12) include terrain 

contour mapping equipment, scene mapping 

and correlation (both digital and analogue) 

equipment, Doppler navigation radar 

equipment, passive interferometer 

equipment, and imaging sensor equipment 

(both active and passive). 

*(b) Electronic systems or equipment, 

not elsewhere enumerated in this subchapter, specially designed for 

intelligence purposes that collect, 

survey, monitor, or exploit the 

electromagnetic spectrum (regardless of 

transmission medium), or for 

counteracting such activities. 

(c) Parts, components, accessories, 

attachments, and associated equipment, 

as follows: 

(1) Application Specific Integrated 

Circuits (ASICs) and Programmable 

Logic Devices (PLD) programmed for 

defense articles in this subchapter; 

Note 1 to paragraph (c)(1): An ASIC is an 

integrated circuit developed and produced 

for a specific application or function 

regardless of number of customers. 

Note 2 to paragraph (c)(1): ASICs and 

PLDs programmed for 600 series items are 

controlled in ECCN 3A611.f. 

Note 3 to paragraph (c)(1): Unprogrammed 

PLDs are not controlled by this paragraph. 

(2) Printed Circuit Boards (PCBs) and 

populated circuit card assemblies for 

which the layout is specially designed 

for defense articles in this subchapter; 

Note to paragraph (c)(2): PCBs and 

populated circuit card assemblies for which 

the layout is specially designed for 600 series 

items are controlled in ECCN 3A611.g. 

(3) Multichip modules for which the 

pattern or layout is specially designed 

for defense articles in this subchapter; 

Note to paragraph (c)(3): Multichip 

modules for which the pattern or layout is 

specially designed for 600 series items are 

controlled in ECCN 3A611.h. 

(4) Transmit/receive modules or 

transmit modules that have any two 

perpendicular sides, with either length 

d (in cm) equal to or less than 15 

divided by the lowest operating 

frequency in GHz [d≤15cm*GHz/fGHz], 

with an electronically variable phase 

shifter or phasers that are a Monolithic 

Microwave Integrated Circuit (MMIC), 

or incorporate a MMIC or discrete RF 

power transistor; 

(5) High-energy storage capacitors 

with a repetition rate of 6 discharges or 

more per minute and full energy life 

greater than or equal to 10,000 

discharges, at greater than 0.2 Amps per 

Joule peak current, that have any of the 

following: 

(i) Volumetric energy density greater 

than or equal to 1.5 J/cc; or 

(ii) Mass energy density greater than 

or equal to 1.3 kJ/kg; 

(6) Radio frequency circulators of any 

dimension equal to or less than one 

quarter (1⁄4) wavelength of the highest 

operating frequency and isolation 

greater than 30dB; 

(7) Polarimeter that detects and 

measures polarization of radio 

frequency signals within a single pulse; 

(8) Digital radio frequency memory 

(DRFM) with RF instantaneous input 

bandwidth greater than 400 MHz, and 4 

bit or higher resolution whose output 

signal is a translation of the input signal 

(e.g. changes in magnitude, time, 

frequency) and ‘specially designed’ 

parts and components therefor; 

(9) Vacuum electronic devices, as 

follows: 

(i) Multiple electron beam or sheet 

electron beam devices rated for 

operation at frequencies of 16 GHz or 

above, and with a saturated power 

output greater than 10,000 W (70 dBm) 

or a maximum average power output 

greater than 3,000 W (65 dBm); or 

(ii) Cross-field amplifiers with a gain 

of 15 dB to 17 dB or a duty factor greater 

than 5%; 

(10) Antenna, and specially designed 

parts and components therefor, that: 

(i) Employ four or more elements, 

electronically steer angular beams, 

independently steer angular nulls, 

create angular nulls with a null depth 

greater than 20 dB, and achieve a beam 

switching speed faster than 50 

milliseconds; 


tkelley on DSK3SPTVN1PROD with RULES2
Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 37545 

(ii) Form adaptive null attenuation 

greater than 35 dB with convergence 

time less than 1 second; 

(iii) Detect signals across multiple RF 

bands with matched left hand and right 

hand spiral antenna elements for 

determination of signal polarization; or 

(iv) Determine signal angle of arrival 

less than two degrees (e.g., 

interferometer antenna); 

Note to paragraph (c)(10): This category 

does not control Traffic Collision Avoidance 

Systems (TCAS) equipment conforming to 

FAA TSO C–119c. 

(11) Radomes or electromagnetic 

antenna windows that: 

(i) Incorporate radio frequency 

selective surfaces; 

(ii) Operate in multiple non-adjacent 

frequency bands for radar applications; 

(iii) Incorporate a structure that is 

specially designed to provide ballistic 

protection from bullets, shrapnel, or 

blast; 

(iv) Have a melting point greater than 

1,300° C and maintain a dielectric 

constant less than 6 at temperatures 

greater than 500° C; 

(v) Are manufactured from ceramic 

materials with a dielectric constant less 

than 6 at any frequency from 100 MHz 

to 100 GHz (MT if usable in rockets, 

SLVs, or missiles capable of achieving a 

range greater than or equal to 300 km; 

or if usable in drones or UAVs capable 

of delivering a payload of at least 500 

kg to a range of at least 300 km. See note 

2 to paragraph (a)(3)(xxix) of this 

category); 

(vi) Maintain structural integrity at 

stagnation pressures greater than 6,000 

pounds per square foot; or 

(vii) Withstand combined thermal 

shock greater than 4.184 × 106 J/m2

accompanied by a peak overpressure of 

greater than 50 kPa (MT if usable in 

rockets, SLVs, missiles, drones, or UAVs 

capable of delivering a payload of at 

least 500 kg to a range of at least 300 km 

and usable in protecting against nuclear 

effects (e.g., Electromagnetic Pulse 

(EMP), X-rays, combined blast and 

thermal effects). See note 2 to paragraph 

(a)(3)(xxix) of this category); 

(12) Underwater sensors (acoustic 

vector sensors, hydrophones, or 

transducers) or projectors, specially 

designed for systems controlled by 

paragraphs (a)(1) and (a)(2) of this 

category, having any of the following: 

(i) A transmitting frequency below 10 

kHz for sonar systems; 

(ii) Sound pressure level exceeding 

224 dB (reference 1 mPa at 1 m) for 

equipment with an operating frequency 

in the band from 10 kHz to 24 kHz 

inclusive; 

(iii) Sound pressure level exceeding 

235 dB (reference 1 mPa at 1 m) for 

equipment with an operating frequency 

in the band between 24 kHz and 30 kHz; 

(iv) Forming beams of less than 1° on 

any axis and having an operating 

frequency of less than 100 kHz; 

(v) Designed to operate with an 

unambiguous display range exceeding 

5,120 m; or 

(vi) Designed to withstand pressure 

during normal operation at depths 

exceeding 1,000 m and having 

transducers with any of the following: 

(A) Dynamic compensation for 

pressure; or 

(B) Incorporating other than lead 

zirconate titanate as the transduction 

element; 

(13) Parts or components containing 

piezoelectric materials which are 

specially designed for underwater 

hardware, equipment, or systems 

controlled by paragraph (c)(12) of this 

category; 

(14) Tuners specially designed for 

systems and equipment in paragraphs 

(a)(4) and (b) of this category; 

(15) Electronic assemblies and 

components, capable of operation at 

temperatures in excess of 125° C and 

specially designed for UAVs or drones 

controlled by USML Category VIII, 

rockets, space launch vehicles (SLV), or 

missiles controlled by USML Category 

IV capable of achieving a range greater 

than or equal to 300 km (MT) (see Note 

2 to paragraph (a)(3)(xxix) of this 

category); 

(16) Hybrid (combined analogue/

digital) computers specially designed 

for modeling, simulation, or design 

integration of systems enumerated in 

paragraphs (a)(1), (d)(1), (d)(2), (h)(1), 

(h)(2), (h)(4), (h)(8), and (h)(9) of USML 

Category IV or paragraphs (a)(5), (a)(6), 

or (a)(13) of USML Category VIII (MT if 

for rockets, SLVs, missiles, drones, or 

UAVs capable of delivering a payload of 

at least 500 kg to a range of at least 300 

km or their subsystems. See note 2 to 

paragraph (a)(3)(xxix) of this category); 

(17) Chaff and flare rounds specially 

designed for the systems and equipment 

described in paragraph (a)(4)(iii) of this 

category, and parts and components 

therefor containing materials controlled 

in USML Category V; 

(18) Parts, components, or accessories 

specially designed for an information 

assurance/information security system 

or radio controlled in this subchapter 

that modify its published properties 

(e.g., frequency range, algorithms, 

waveforms, CODECs, or modulation/

demodulation schemes); or 

* (19) Any part, component, 

accessory, attachment, equipment, or 

system that (MT for those articles 

designated as such): 

(i) Is classified; 

(ii) Contains classified software 

directly related to defense articles in 

this subchapter or 600 series items 

subject to the EAR; or 

(iii) Is being developed using 

classified information (see § 120.10(a)(2) 

of this subchapter). 

Note to paragraph (c)(19): ‘‘Classified’’ 

means classified pursuant to Executive Order 

13526, or predecessor order, and a security 

classification guide developed pursuant 

thereto or equivalent, or to the corresponding 

classification rules of another government or 

international organization. 

Note to paragraph (c)(19)(ii): Parts and 

components controlled by this paragraph are 

limited to those that store, process, or 

transmit classified software (see § 121.8(f) of 

this subchapter). 

(d) Technical data (see § 120.10 of this 

subchapter) and defense services (see 

§ 120.9 of this subchapter) directly 

related to the defense articles 

enumerated in paragraphs (a) through 

(c) of this category and classified 

technical data directly related to items 

controlled in CCL ECCNs 3A611, 3B611, 

3C611, and 3D611 and defense services 

using the classified technical data. (See 

§ 125.4 of this subchapter for 

exemptions.) (MT for technical data and 

defense services related to articles 

designated as such.) 

(e)–(w) [Reserved]; 

(x) Commodities, software, and 

technology subject to the EAR (see 

§ 120.42 of this subchapter) used in or 

with defense articles controlled in this 

category. 

Note to paragraph (x): Use of this 

paragraph is limited to license applications 

for defense articles controlled in this category 

where the purchase documentation includes 

commodities, software, or technology subject 

to the EAR (see § 123.1(b) of this subchapter). 

* * * * * 

Category XIX—Gas Turbine Engines 

and Associated Equipment 

* * * * * 

(f) * * * 

(7) [Reserved] 

* * * * * 

Rose E. Gottemoeller, 

Under Secretary, Arms Control and 

International Security, Department of State. 

[FR Doc. 2014–14681 Filed 6–30–14; 8:45 am] 

BILLING CODE 4710–25–P 


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