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■ 5. On page 57345, in the first column, 

57th line, amendment 64.c is removed 

and amendments 64.d, 64.e, 64.f, 64.g, 

64.h, and 64.i are redesignated as 

amendments 64.c, 64.d, 64.e, 64.f, 64.g, 

and 64.h, respectively. 

Dated: November 3, 2014. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2014–26504 Filed 11–7–14; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

22 CFR Parts 121, 123, 125, and 126 

RIN 1400–AD33 

[Public Notice: 8942] 

Amendment to the International Traffic 

in Arms Regulations: Revision of U.S. 

Munitions List Category XV; Correction 

AGENCY: Department of State. 

ACTION: Final rule, correction. 

SUMMARY: On May 24, 2013, the 

Department of State published a rule (78 

FR 31444) proposing to amend the 

International Traffic in Arms 

Regulations (ITAR) by revising Category 

XV of the U.S Munitions List (USML) as 

part of the President’s Export Control 

Reform (ECR) effort. After review of 

comments to the proposed rule, on May 

13, 2014, the Department published an 

interim final rule that allowed a final 

comment period until June 27, 2014. 

The Department is now making final the 

interim final rule and correcting the 

interim final rule that appeared in the 

Federal Register of May 13, 2014. 

DATES: This rule is effective November 

10, 2014. 

FOR FURTHER INFORMATION CONTACT: Mr. 

C. Edward Peartree, Director, Office of 

Defense Trade Controls Policy, 

Department of State, telephone (202) 

663–2792; email 

DDTCResponseTeam@state.gov. ATTN: 

Regulatory Change, Category XV Final 

Rule. 

SUPPLEMENTARY INFORMATION: The 

Department provides the following 

modification and corrections to the rule, 

‘‘Amendment to the International 

Traffic in Arms Regulations: Revision of 

U.S. Munitions List Category XV,’’ 

published on May 13, 2014, and 

effective on November 10, 2014 (79 FR 

27180). 

The changes in this rule are meant to 

clarify the regulation by revising certain 

text and providing conforming updates 

to Supplement No. 1 to part 126, taking 

into account revisions made to the 

USML categories in the rule published 

on May 13, 2014. Additionally, 

supplement No. 1 to part 126 is 

amended by adding a note regarding the 

use of the exemptions for transactions 

that require congressional notification 

(Note 17) due to confusion as to when 

the exemptions may be used in 

furtherance of properly notified 

agreements. 

Pursuant to ECR, the Department of 

Commerce has been publishing 

revisions to the Export Administration 

Regulations, including various revisions 

to the Commerce Control List (CCL). 

Revision of the USML and CCL are 

coordinated so there is uninterrupted 

regulatory coverage for items moving 

from the jurisdiction of the Department 

of State to that of the Department of 

Commerce. The Department of 

Commerce’s companion to this notice 

(see ‘‘Revisions to the Export 

Administration Regulations: Control of 

Spacecraft Systems and Related Items 

That the President Determines No 

Longer Warrant Control Under the 

United States Munitions List,’’ 79 FR 

27418) is also published in this edition 

of the Federal Register. 

The following modifications and 

corrections are made to the rule, FR 

Doc. 2014–10806, published on May 13, 

2014 (79 FR 27180): 

PART 121 [CORRECTED] 

§ 121.1 [Corrected] 

■ 1A. On page 27185, in the third 

column, in amendatory instruction 4, 

add ‘‘paragraph (d)(1) of U.S. Munitions 

List Category XIII,’’ before ‘‘paragraph (i) 

of U.S. Munitions List Category IV’’. 

■ 1B. On page 27185, in the third 

column, in Category IV, paragraph (i), 

‘‘enumerated’’ is removed and 

‘‘described’’ is added in its place and on 

page 27186 in the first column, in 

Category IV, paragraph (i), ‘‘to a foreign 

person’’ is added following ‘‘(including 

training)’’ in two places. 

■ 2. On page 27186, in the first column, 

before Category XV the following is 

added: 

Category XIII—Materials and 

Miscellaneous Articles 

* * * * * 

(d) Materials, as follows: 

*(1) Ablative materials fabricated or 

semi-fabricated from advanced 

composites (e.g., silica, graphite, carbon, 

carbon/carbon, and boron filaments) 

specially designed for the articles in 

USML Category IV or XV (MT if usable 

for nozzles, re-entry vehicles, nose tips, 

or nozzle flaps usable in rockets, space 

launch vehicles (SLVs), or missiles 

capable of achieving a range greater than 

or equal to 300 km); or 

* * * * * 

■ 3. On page 27186, in the second 

column, in Category XV, paragraph 

(a)(10), ‘‘assembly’’ is removed and 

‘‘surveillance, assembly, repair,’’ is 

added in its place. 

■ 4. On page 27186, in the second 

column, in Category XV, paragraph 

(a)(11), ‘‘[Reserved]’’ is removed and 

‘‘Provide for sub-orbital or in-space 

human habitation and have integrated 

propulsion other than that required for 

attitude control;’’ is added in its place. 

■ 5. On page 27186, in the second 

column, in Category XV, paragraph 

(a)(12) is removed and ‘‘That are not 

commercial communications satellites 

and that have integrated propulsion 

other than for attitude control or 

achieving initial orbit;’’ is added in its 

place. 

■ 6. On page 27187, in the first column, 

in Category XV, Note to paragraph (c) is 

retitled ‘‘Note to paragraph (c)(3)’’, it is 

moved to below paragraph (c)(3), and 

‘‘Articles do not become subject to the 

EAR until integrated into the item 

subject to the EAR. Export, reexport, 

retransfer, or temporary import of, and 

technical data and defense services 

directly related to, defense articles 

intended to be integrated remain subject 

to the ITAR.’’ is added to the end. 

■ 7. On page 27187, in the second 

column, in Category XV: 

■ a. In paragraph (e)(11)(ii) ‘‘or’’ is 

removed; 

■ b. In paragraph (e)(11)(iii), ‘‘)’’ is 

added before the semi-colon and ‘‘or’’ is 

added after the semi-colon; and 

■ c. Paragraph (e)(11)(iv) is added 

reading ‘‘(iv) Plasma based propulsion 

systems;’’ 

■ 8. On page 27187, in the third column, 

in Category XV, Note 2 to paragraph 

(e)(18), ‘‘XXXX XX’’ is removed and 

‘‘May 13’’ is added in its place. 

■ 9. On page 27188, in the first column, 

in Category XV, Note 2 to paragraph (e), 

‘‘Articles do not become subject to the 

EAR until integrated into the item 

subject to the EAR. Export, reexport, 

retransfer, or temporary import of, and 

technical data and defense services 

directly related to defense articles 

intended to be integrated remain subject 

to the ITAR.’’ is added to the end. 

■ 10. On page 27188, in the second 

column, in Category XV, paragraph (f), 

‘‘enumerated’’ is removed and 

‘‘described’’ is added in its place. 

■ 11. On page 27188, in the second 

column, in Category XV, Note 1 to 

paragraph (f): 


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■ a. The word ‘‘certain’’ is added before 

the second instance of ‘‘technical data’’; 

■ b. The word ‘‘enumerated’’ is removed 

and ‘‘described’’ is added in its place; 

and 

■ c. The word ‘‘includes’’ is removed 

and ‘‘only applies to’’ is added in its 

place. 

PART 123 [CORRECTED] 

■ 12. On page 27189, in the first 

column, before Part 124— 

AGREEMENTS, OFF-SHORE 

PROCUREMENT, AND OTHER 

DEFENSE SERVICES add the following 

amendments: 

PART 123—LICENSES FOR THE 

EXPORT AND TEMPORARY IMPORT 

OF DEFENSE ARTICLES 

■ 5. The authority citation for part 123 

continues to read as follows: 

Authority: Secs. 2, 38, and 71, 90, 90 Stat. 

744 (22 U.S.C. 2752, 2778, 2797); 22 U.S.C. 

2753; 22 U.S.C. 2651a; 22 U.S.C. 2776; Pub. 

L. 105–261, 112 Stat. 1920; Sec 1205(a), Pub. 

L. 107–228; Section 1261, Pub. L. 112–239; 

E.O. 13637, 78 FR 16129. 

■ 6. Section 123.16 is amended by 

removing and reserving paragraph 

(b)(10). 

■ 7. Section 123.20 is amended by 

revising paragraph (a) to read as follows: 

§ 123.20 Nuclear-related controls. 

(a) The provisions of this subchapter 

do not apply to articles, technical data, 

or services in Category VI, Category XV, 

Category XVI, or Category XX of § 121.1 

of this subchapter to the extent that 

exports of such articles, technical data, 

or services are controlled by the 

Department of Energy or the Nuclear 

Regulatory Commission pursuant to the 

Atomic Energy Act of 1954, as amended, 

and the Nuclear Non-Proliferation Act 

of 1978, as amended, or is a government 

transfer authorized pursuant to these 

Acts. For Department of Commerce 

controls, see 15 CFR 742.3 and 744.2, 

administered pursuant to Section 309(c) 

of the Nuclear Nonproliferation Act of 

1978, as amended (42 U.S.C. 2139a(c)), 

and 15 CFR 744.5, which are not subject 

to this subchapter. 

* * * * * 

PART 125 [CORRECTED] 

■ 13. On page 27189, in the second 

column, before the signature, add the 

following amendments: 

PART 125—LICENSES FOR THE 

EXPORT OF TECHNICAL DATA AND 

CLASSIFIED DEFENSE ARTICLES 

■ 9. The authority citation for part 123 

continues to read as follows: 

Authority: Secs. 2 and 38, 90, 90 Stat. 744 

(22 U.S.C. 2752, 2778); 22 U.S.C. 2651a; E.O. 

13637, 78 FR 16129. 

■ 10. Section 125.4 is amended by 

removing and reserving paragraph (d). 

PART 126 [CORRECTED] 

■ 14. On page 27189, in the second 

column, before the signature, add the 

following amendments: 

PART 126—GENERAL POLICIES AND 

PROVISIONS 

■ 11. The authority citation for part 126 

continues to read as follows: 

Authority: Secs. 2, 38, 40, 42, and 71, Pub. 

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

2780, 2791, and 2797); 22 U.S.C. 2651a; 22 

U.S.C. 287c; E.O. 12918, 59 FR 28205; 3 CFR, 

1994 Comp., p. 899; Sec. 1225, Pub. L. 108– 

375; Sec. 7089, Pub. L. 111–117; Pub. L. 111– 

266; Sections 7045 and 7046, Pub. L. 112–74; 

E.O. 13637, 78 FR 16129. 

■ 12. Supplement No. 1 to part 126 is 

revised to read as follows: 

Supplement No. 1* 

*An ‘‘X’’ in the chart indicates that 

the item is excluded from use under the 

exemption referenced in the top of the 

column. An item excluded in any one 

row is excluded regardless of whether 

other rows may contain a description 

that would include the item. 

USML Category Exclusion (CA) 

§ 126.5 

(AS) 

§ 126.16 

(UK) 

§ 126.17 

I–XXI ....................................... Classified defense articles and services. See Note 1 .................................... X X X 

I–XXI ....................................... Defense articles listed in the Missile Technology Control Regime (MTCR) 

Annex.

X X X 

I–XXI ....................................... U.S. origin defense articles and services used for marketing purposes and 

not previously licensed for export in accordance with this subchapter.

................ X X 

I–XXI ....................................... Defense services for or technical data related to defense articles identified 

in this supplement as excluded from the Canadian exemption.

X ................ ................

I–XXI ....................................... Any transaction involving the export of defense articles and services for 

which congressional notification is required in accordance with § 123.15 

and § 124.11 of this subchapter. See Note 17.

X ................ ................

I–XXI ....................................... U.S. origin defense articles and services specific to developmental systems 

that have not obtained written Milestone B approval from the U.S. Department of Defense milestone approval authority, unless such export is 

pursuant to a written solicitation or contract issued or awarded by the 

U.S. Department of Defense for an end-use identified in paragraph 

(e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of this subchapter and is 

consistent with other exclusions of this supplement.

................ X X 

I–XXI ....................................... Nuclear weapons strategic delivery systems and all components, parts, accessories, and attachments specifically designed for such systems and 

associated equipment.

X ................ ................

I–XXI ....................................... Defense articles and services specific to the existence or method of compliance with anti-tamper measures, where such measures are readily 

identifiable, made at originating Government direction.

................ X X 

I–XXI ....................................... Defense articles and services specific to reduced observables or counter 

low observables in any part of the spectrum. See Note 2.

................ X X 

I–XXI ....................................... Defense articles and services specific to sensor fusion beyond that required for display or identification correlation. See Note 3................. X X 

I–XXI ....................................... Defense articles and services specific to the automatic target acquisition or 

recognition and cueing of multiple autonomous unmanned systems.

................ X X 

I–XXI ....................................... Nuclear power generating equipment or propulsion equipment (e.g., nuclear reactors), specifically designed for military use and components 

therefor, specifically designed for military use. See also § 123.20 of this 

subchapter.

................ ................ X 


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USML Category Exclusion (CA) 

§ 126.5 

(AS) 

§ 126.16 

(UK) 

§ 126.17 

I–XXI ....................................... Libraries (parametric technical databases) specially designed for military 

use with equipment controlled on the USML. See Note 13.

................ ................ X 

I–XXI ....................................... Defense services or technical data specific to applied research as defined 

in § 125.4(c)(3) of this subchapter, design methodology as defined in 

§ 125.4(c)(4) of this subchapter, engineering analysis as defined in 

§ 125.4(c)(5) of this subchapter, or manufacturing know-how as defined 

in § 125.4(c)(6) of this subchapter. See Note 12.

X ................ ................

I–XXI ....................................... Defense services other than those required to prepare a quote or bid proposal in response to a written request from a department or agency of 

the United States Federal Government or from a Canadian Federal, Provincial, or Territorial Government; or defense services other than those 

required to produce, design, assemble, maintain or service a defense article for use by a registered U.S. company, or a U.S. Federal Government Program, or for end-use in a Canadian Federal, Provincial, or Territorial Government Program. See Note 14.

X ................ ................

I ............................................... Firearms, close assault weapons, and combat shotguns .............................. X ................ ................

II(k) ......................................... Software source code related to USML Category II(c), II(d), or II(i). See 

Note 4.

................ X X 

II(k) ......................................... Manufacturing know-how related to USML Category II(d). See Note 5 ........ X X X 

III ............................................. Ammunition for firearms, close assault weapons, and combat shotguns listed in USML Category I.X ................ ................

III ............................................. Defense articles and services specific to ammunition and fuse setting devices for guns and armament controlled in USML Category II................. ................ X 

III(e) ........................................ Manufacturing know-how related to USML Category III(d)(1) or III(d)(2) and 

their specially designed components. See Note 5.

X X X 

III(e) ........................................ Software source code related to USML Category III(d)(1) or III(d)(2). See 

Note 4.

................ X X 

IV ............................................ Defense articles and services specific to man-portable air defense systems 

(MANPADS). See Note 6.

X X X 

IV ............................................ Defense articles and services specific to rockets, designed or modified for 

non-military applications that do not have a range of 300 km (i.e., not 

controlled on the MTCR Annex).

................ ................ X 

IV ............................................ Defense articles and services specific to torpedoes ...................................... ................ X X 

IV ............................................ Defense articles and services specific to anti-personnel landmines. See 

Note 15.

X X X 

IV ............................................ Defense articles and services specific to cluster munitions ........................... X X X 

IV(i) ......................................... Software source code related to USML Category IV(a), IV(b), IV(c), or 

IV(g). See Note 4.

................ X X 

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.

X X X 

V ............................................. The following energetic materials and related substances: ...........................

a. TATB (triaminotrinitrobenzene) (CAS 3058–38–6); ...................................

b. Explosives controlled in USML Category V(a)(38); ...................................

c. Iron powder (CAS 7439–89–6) with particle size of 3 micrometers or 

less produced by reduction of iron oxide with hydrogen;.

d. BOBBA–8 (bis(2-methylaziridinyl)2-(2-hydroxypropanoxy) propylamino 

phosphine oxide), and other MAPO derivatives;.

e. N-methyl-p-nitroaniline (CAS 100–15–2); or ..............................................

f. Trinitrophenylmethylnitramine (tetryl) (CAS 479–45–8) ..............................

................ ................ X 

V(a)(13) .................................. ANF or ANAzF as described in USML Category V(a)(13)(iii) and (iv) .......... ................ ................ X 

V(a)(23) .................................. Difluoraminated derivative of RDX as described in USML Category 

V(a)(23)(iii).

................ ................ X 

V(c)(7) ..................................... Pyrotechnics and pyrophorics specifically formulated for military purposes 

to enhance or control radiated energy in any part of the IR spectrum.

................ ................ X 

V(d)(3) .................................... Bis-2, 2-dinitropropylnitrate (BDNPN) ............................................................. ................ ................ X 

V(i) .......................................... Developmental explosives, propellants, pyrotechnics, fuels, oxidizers, binders, additives, or precursors therefor, funded by the Department of Defense via contract or other funding authorization in accordance with 

notes 1 to 3 for USML Category V(i). This exclusion does not apply if 

such export is pursuant to a written solicitation or contract issued or 

awarded by the U.S. Department of Defense for an end-use identified in 

paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement.

................ X X 

VI ............................................ Defense articles and services specific to cryogenic equipment, and specially designed components or accessories therefor, specially designed 

or configured to be installed in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion and of 

producing or maintaining temperatures below 103 K (¥170 °C).

................ ................ X 


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USML Category Exclusion (CA) 

§ 126.5 

(AS) 

§ 126.16 

(UK) 

§ 126.17 

VI ............................................ Defense articles and services specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or 

space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators which 

have single-pole normal metal armatures that rotate in a magnetic field 

produced by superconducting windings, provided those windings are the 

only superconducting component in the generator.

................ ................ X 

VI ............................................ Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10................. X X 

VI(a) ........................................ Nuclear powered vessels ............................................................................... X X X 

VI(e) ........................................ Defense articles and services specific to naval nuclear propulsion equipment. See Note 7.X X X 

VI(g) ........................................ Software source code related to USML Category VI(a) or VI(c). See Note 4 ................ X X 

VII ........................................... Defense articles and services specific to cryogenic equipment, and specially designed components or accessories therefor, specially designed 

or configured to be installed in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion and of 

producing or maintaining temperatures below 103 K (¥170 °C).

................ ................ X 

VII ........................................... Defense articles and services specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or 

space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators which 

have single-pole normal metal armatures that rotate in a magnetic field 

produced by superconducting windings, provided those windings are the 

only superconducting component in the generator.

................ ................ X 

VIII .......................................... Defense articles and services specific to cryogenic equipment, and specially designed components and accessories therefor, specially designed 

or configured to be installed in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion and of 

producing or maintaining temperatures below 103 K (¥170 °C).

................ ................ X 

VIII .......................................... Defense articles and services specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or 

space applications and capable of operating while in motion. This, however, does not include direct current hybrid homopolar generators which 

have single-pole normal metal armatures that rotate in a magnetic field 

produced by superconducting windings, provided those windings are the 

only superconducting component in the generator.

................ ................ X 

VIII(a) ...................................... All USML Category VIII(a) items .................................................................... X ................ ................

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 5.

X X X 

VIII(i) ....................................... Software source code related to USML Category VIII(a) or VIII(e). See 

Note 4.

................ X X 

IX ............................................ Training or simulation equipment for Man Portable Air Defense Systems 

(MANPADS). See Note 6.

................ X X 

IX(e) ........................................ Software source code related to USML Category IX(a) or IX(b). See Note 4 ................ X X 

IX(e) ........................................ Software that is both specifically designed or modified for military use and 

specifically designed or modified for modeling or simulating military operational scenarios.

................ ................ X 

X(e) ......................................... Manufacturing know-how related to USML Category X(a)(1) or X(a)(2), and 

specially designed components therefor. See Note 5.

X X X 

XI(a) ........................................ Defense articles and services specific to countermeasures and countercountermeasures. See Note 9................. X X 

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 16.

................ X ................

XI ............................................ Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10................. X X 

XI(b), XI(c), XI(d) .................... Defense articles and services specific to USML Category XI (b) (e.g., communications security (COMSEC) and TEMPEST)................. X X 

XI(d) ........................................ Software source code related to USML Category XI(a). See Note 4 ............ ................ X X 

XI(d) ........................................ Manufacturing know-how related to USML Category XI(a)(3) or XI(a)(4), 

and specially designed components therefor. See Note 5.

X X X 

XII ........................................... Defense articles and services specific to countermeasures and countercountermeasures. See Note 9................. X X 


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USML Category Exclusion (CA) 

§ 126.5 

(AS) 

§ 126.16 

(UK) 

§ 126.17 

XII ........................................... Defense articles and services specific to USML Category XII(c) articles, except any 1st- and 2nd-generation image intensification tubes and 1stand 2nd-generation image intensification night sighting equipment. Enditems in USML Category XII(c) and related technical data limited to basic 

operations, maintenance, and training information as authorized under 

the exemption in § 125.4(b)(5) of this subchapter may be exported directly to a Canadian Government entity (i.e., federal, provincial, territorial, or municipal) consistent with § 126.5, other exclusions, and the 

provisions of this subchapter.

................ ................

XII ........................................... Technical data or defense services for night vision equipment beyond 

basic operations, maintenance, and training data. However, the AS and 

UK Treaty exemptions apply when such export is pursuant to a written 

solicitation or contract issued or awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of 

§ 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement.

X X X 

XII(f) ........................................ Manufacturing know-how related to USML Category XII(d) and specially 

designed components therefor. See Note 5.

X X X 

XII(f) ........................................ Software source code related to USML Category XII(a), XII(b), XII(c), or 

XII(d). See Note 4.

................ X X 

XIII(b) ...................................... Defense articles and services specific to USML Category XIII(b) (Military 

Information Security Assurance Systems, cryptographic devices, software, and components).

................ X X 

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 articles.

................ ................ X 

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 11.

................ ................ X 

XIII(g) ...................................... Defense articles and services related to concealment and deception equipment and materials................. ................ X 

XIII(h) ...................................... Energy conversion devices other than fuel cells ............................................ ................ ................ X 

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 2.

................ X X 

XIII(l) ....................................... Software source code related to USML Category XIII(a). See Note 4 .......... ................ X X 

XIV .......................................... Defense articles and services related to toxicological agents, including 

chemical agents, biological agents, and associated equipment.

................ X X 

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 payload.

X X X 

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 entry.

................ X X 

XV(c) ....................................... Defense articles and services specific to GPS/PPS security modules .......... ................ X X 

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 person.

X ................ ................

XV(e) ...................................... Anti-jam systems with the ability to respond to incoming interference by 

adaptively reducing antenna gain (nulling) in the direction of the interference.

X ................ ................

XV(e)(1) .................................. 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)(12) ................................ Propulsion systems which permit acceleration of the satellite on-orbit (i.e., 

after mission orbit injection) at rates greater than 0.1 g.

X ................ ................

XV(e)(10) ................................ Attitude determination and control systems designed to provide spacecraft 

pointing determination and control or payload pointing system control 

better than 0.02 degrees per axis.

X ................ ................


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USML Category Exclusion (CA) 

§ 126.5 

(AS) 

§ 126.16 

(UK) 

§ 126.17 

XV(e) ...................................... All parts, components, accessories, attachments, equipment, or systems 

for USML Category XV(a) items, except when specially designed for use 

in commercial communications satellites.

X ................ ................

XV(e) ...................................... Defense articles and services specific to spacecraft, ground control station 

systems (only for spacecraft control as controlled in USML Category 

XV(b)), subsystems, components, parts, accessories, attachments, and 

associated equipment controlled in Category XV.

................ X X 

XV(f) ....................................... Technical data and defense services directly related to the other defense 

articles excluded from the exemptions for USML Category XV.

X X X 

XVI .......................................... Defense articles and services specific to design and testing of nuclear 

weapons.

X X X 

XVII ......................................... Classified articles, and technical data and defense services relating thereto, not elsewhere enumerated. See Note 1.X X X 

XVIII ........................................ Defense articles and services specific to directed energy weapon systems ................ X X 

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 8.

................ X X 

XIX(g) ..................................... Technical data and defense services for gas turbine engine hot sections. 

(This does not include hardware). See Note 8.

X X X 

XX ........................................... Defense articles and services related to submersible vessels, oceanographic, and associated equipment.X X X 

XX ........................................... Defense articles and services specific to naval technology and systems relating to acoustic spectrum control and awareness. See Note 10................. X X 

XX ........................................... Defense articles specific to cryogenic equipment, and specially designed 

components or accessories therefor, specially designed or configured to 

be installed in a vehicle for military ground, marine, airborne or space 

applications, capable of operating while in motion and of producing or 

maintaining temperatures below 103 K (¥170 °C).

................ ................ X 

XX ........................................... Defense articles specific to superconductive electrical equipment (rotating 

machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does 

not include direct current hybrid homopolar generators that have singlepole normal metal armatures which rotate in a magnetic field produced 

by superconducting windings, provided those windings are the only 

superconducting component in the generator.

................ ................ X 

XX(a) ...................................... Nuclear powered vessels ............................................................................... X X X 

XX(b) ...................................... Defense articles and services specific to naval nuclear propulsion equipment. See Note 7.X X X 

XX(c) ....................................... Defense articles and services specific to submarine combat control systems................. X X 

XX(d) ...................................... Software source code related to USML Category XX(a). See Note 4 .......... ................ X X 

XXI .......................................... Articles, and technical data and defense services relating thereto, not otherwise enumerated on the USML, but placed in this category by the Director, Office of Defense Trade Controls Policy.X X X 

Note 1: Classified defense articles and services are not eligible for export under the Canadian exemptions. U.S. origin articles, technical data, 

and services controlled in USML Category XVII are not eligible for export under the UK Treaty exemption. U.S. origin classified defense articles 

and services are not eligible for export under either the UK or AS Treaty exemptions except when being released pursuant to a U.S. Department 

of Defense written request, directive, or contract that provides for the export of the defense article or service. 

Note 2: The phrase ‘‘any part of the spectrum’’ includes radio frequency (RF), infrared (IR), electro-optical, visual, ultraviolet (UV), acoustic, and 

magnetic. Defense articles related to reduced observables or counter reduced observables are defined as: 

(a) Signature reduction (radio frequency (RF), infrared (IR), Electro-Optical, visual, ultraviolet (UV), acoustic, magnetic, RF emissions) of defense platforms, including systems, subsystems, components, materials (including dual-purpose materials used for Electromagnetic Interference 

(EM) reduction), technologies, and signature prediction, test and measurement equipment and software, and material transmissivity/reflectivity 

prediction codes and optimization software. 

(b) Electronically scanned array radar, high power radars, radar processing algorithms, periscope-mounted radar systems (PATRIOT), LADAR, 

multistatic and IR focal plane array-based sensors, to include systems, subsystems, components, materials, and technologies. 

Note 3: Defense articles and services related to sensor fusion beyond that required for display or identification correlation is defined as techniques designed to automatically combine information from two or more sensors/sources for the purpose of target identification, tracking, designation, or passing of data in support of surveillance or weapons engagement. Sensor fusion involves sensors such as acoustic, infrared, electro 

optical, frequency, etc. Display or identification correlation refers to the combination of target detections from multiple sources for assignment of 

common target track designation. 

Note 4:Software source code beyond that source code required for basic operation, maintenance, and training for programs, systems, and/or 

subsystems is not eligible for use of the UK or AS Treaty exemptions, unless such export is pursuant to a written solicitation or contract issued or 

awarded by the U.S. Department of Defense for an end-use identified in paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. 

Note 5: Manufacturing know-how, as defined in § 125.4(c)(6) of this subchapter, is not eligible for use of the UK or AS Treaty exemptions, unless such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end-use identified in 

paragraph (e)(1), (e)(2), or (e)(4) of § 126.16 or § 126.17 of this subchapter and is consistent with other exclusions of this supplement. 

Note 6: Defense articles and services specific to Man Portable Air Defense Systems (MANPADS) includes missiles that can be used without

modification in other applications. It also includes production and test equipment and components specifically designed or modified for MANPAD 

systems, as well as training equipment specifically designed or modified for MANPAD systems. 


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66614 Federal Register / Vol. 79, No. 217 / Monday, November 10, 2014 / Rules and Regulations 

Note 7: Naval nuclear propulsion plants includes all of USML Category VI(e). Naval nuclear propulsion information consists of technical data 

that concern the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the propulsion plants of naval nuclear-powered ships and prototypes, including the associated shipboard and shore-based nuclear support facilities. Examples of defense articles covered by this exclusion include nuclear propulsion plants and nuclear submarine technologies or systems; nuclear 

powered vessels (see USML Categories VI and XX). 

Note 8:A complete gas turbine engine with embedded hot section components or digital engine controls is eligible for export or transfer under 

the Treaties. Technical data, other than those data required for routine external maintenance and operation, related to the hot section is not eligible for export under the Canadian exemption. Technical data, other than those data required for routine external maintenance and operation, related to the hot section or digital engine controls, as well as individual hot section parts or components are not eligible for the Treaty exemption 

whether shipped separately or accompanying a complete engine. Gas turbine engine hot section exempted defense article components and 

technology are combustion chambers and liners; high pressure turbine blades, vanes, disks and related cooled structure; cooled low pressure 

turbine blades, vanes, disks and related cooled structure; cooled augmenters; and cooled nozzles. Examples of gas turbine engine hot section 

developmental technologies are Integrated High Performance Turbine Engine Technology (IHPTET), Versatile, Affordable Advanced Turbine Engine (VAATE), and Ultra-Efficient Engine Technology (UEET), which are also excluded from export under the exemptions. 

Note 9:Examples of countermeasures and counter-countermeasures related to defense articles not exportable under the AS or UK Treaty exemptions are: 

(a) IR countermeasures; 

(b) Classified techniques and capabilities; 

(c) Exports for precision radio frequency location that directly or indirectly supports fire control and is used for situation awareness, target identification, target acquisition, and weapons targeting and Radio Direction Finding (RDF) capabilities. Precision RF location is defined as angle of 

arrival accuracy of less than five degrees (RMS) and RF emitter location of less than ten percent range error; 

(d) Providing the capability to reprogram; and 

(e) Acoustics (including underwater), active and passive countermeasures, and counter-countermeasures. 

Note 10:Examples of defense articles covered by this exclusion include underwater acoustic vector sensors; acoustic reduction; off-board, underwater, active and passive sensing, propeller/propulsor technologies; fixed mobile/floating/powered detection systems which include in-buoy 

signal processing for target detection and classification; autonomous underwater vehicles capable of long endurance in ocean environments 

(manned submarines excluded); automated control algorithms embedded in on-board autonomous platforms which enable (a) group behaviors 

for target detection and classification, (b) adaptation to the environment or tactical situation for enhancing target detection and classification; ‘‘intelligent autonomy’’ algorithms that define the status, group (greater than 2) behaviors, and responses to detection stimuli by autonomous, underwater vehicles; and low frequency, broad band ‘‘acoustic color,’’ active acoustic ‘‘fingerprint’’ sensing for the purpose of long range, single pass 

identification of ocean bottom objects, buried or otherwise (controlled under Category USML XI(a)(1), (a)(2), (b), (c), and (d)). 

Note 11: This exclusion does not apply to the platforms (e.g., vehicles) for which the armored plates are applied. For exclusions related to the 

platforms, refer to the other exclusions in this list, particularly for the category in which the platform is controlled. 

The excluded defense articles include constructions of metallic or non-metallic materials or combinations thereof specially designed to provide 

protection for military systems. The phrase ‘‘suitable for military use’’ applies to any articles or materials which have been tested to level IIIA or 

above IAW NIJ standard 0108.01 or comparable national standard. This exclusion does not include military helmets, body armor, or other protective garments which may be exported IAW the terms of the AS or UK Treaty. 

Note 12: Defense services or technical data specific to applied research (§ 125.4(c)(3) of this subchapter), design methodology (§ 125.4(c)(4) of 

this subchapter), engineering analysis (§ 125.4(c)(5) of this subchapter), or manufacturing know-how (§ 125.4(c)(6) of this subchapter) are not eligible for export under the Canadian exemptions. However, this exclusion does not include defense services or technical data specific to build-toprint as defined in § 125.4(c)(1) of this subchapter, build/design-to-specification as defined in § 125.4(c)(2) of this subchapter, or basic research 

as defined in § 125.4(c)(3) of this subchapter, or maintenance (i.e., inspection, testing, calibration or repair, including overhaul, reconditioning and 

one-to-one replacement of any defective items parts or components, but excluding any modification, enhancement, upgrade or other form of alteration or improvement that changes the basic performance of the item) of non-excluded defense articles which may be exported subject to 

other exclusions or terms of the Canadian exemptions. 

Note 13: The term ‘‘libraries’’ (parametric technical databases) means a collection of technical information of a military nature, reference to 

which may enhance the performance of military equipment or systems. 

Note 14: In order to utilize the authorized defense services under the Canadian exemption, the following must be complied with: 

(a) The Canadian contractor and subcontractor must certify, in writing, to the U.S. exporter that the technical data and defense services being 

exported will be used only for an activity identified in Supplement No. 1 to part 126 of this subchapter and in accordance with § 126.5 of this subchapter; and 

(b) A written arrangement between the U.S. exporter and the Canadian recipient must: 

(1) Limit delivery of the defense articles being produced directly to an identified manufacturer in the United States registered in accordance 

with part 122 of this subchapter; a department or agency of the United States Federal Government; a Canadian-registered person authorized in 

writing to manufacture defense articles by and for the Government of Canada; a Canadian Federal, Provincial, or Territorial Government; 

(2) Prohibit the disclosure of the technical data to any other contractor or subcontractor who is not a Canadian-registered person; 

(3) Provide that any subcontract contain all the limitations of § 126.5 of this subchapter; 

(4) Require that the Canadian contractor, including subcontractors, destroy or return to the U.S. exporter in the United States all of the technical data exported pursuant to the contract or purchase order upon fulfillment of the contract, unless for use by a Canadian or United States 

Government entity that requires in writing the technical data be maintained. The U.S. exporter must be provided written certification that the technical data is being retained or destroyed; and 

(5) Include a clause requiring that all documentation created from U.S. origin technical data contain the statement that, ‘‘This document contains technical data, the use of which is restricted by the U.S. Arms Export Control Act. This data has been provided in accordance with, and is 

subject to, the limitations specified in § 126.5 of the International Traffic in Arms Regulations (ITAR). By accepting this data, the consignee 

agrees to honor the requirements of the ITAR.’’ 

(c) The U.S. exporter must provide the Directorate of Defense Trade Controls a semi-annual report regarding all of their on-going activities authorized under § 126.5 of this subchapter. The report shall include the article(s) being produced; the end-user(s); the end-item into which the 

product is to be incorporated; the intended end-use of the product; and the names and addresses of all the Canadian contractors and subcontractors. 

Note 15: This exclusion does not apply to demining equipment in support of the clearance of landmines and unexploded ordnance for humanitarian purposes. As used in this exclusion, ‘‘anti-personnel landmine’’ means any mine placed under, on, or near the ground or other surface 

area, or delivered by artillery, rocket, mortar, or similar means or dropped from an aircraft and which is designed to be detonated or exploded by 

the presence, proximity, or contact of a person; any device or material which is designed, constructed, or adapted to kill or injure and which functions unexpectedly when a person disturbs or approaches an apparently harmless object or performs an apparently safe act; any manually-emplaced munition or device designed to kill, injure, or damage and which is actuated by remote control or automatically after a lapse of time. 

Note 16: The radar systems described are controlled in USML Category XI(a)(3)(i) through (v). As used in this entry, the term ‘‘systems’’ includes equipment, devices, software, assemblies, modules, components, practices, processes, methods, approaches, schema, frameworks, and 

models. 

Note 17: This exclusion does not apply to the export of defense articles previously notified to Congress pursuant to § 123.15 or § 124.11 of this 

subchapter. For use of the Australian and UK exemptions for congressional notification, see § 126.16(o) and § 126.17(o). 


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Federal Register / Vol. 79, No. 217 / Monday, November 10, 2014 / Rules and Regulations 66615 

Rose E. Gottemoeller, 

Under Secretary, Arms Control and 

International Security, Department of State. 

[FR Doc. 2014–26631 Filed 11–7–14; 8:45 am] 

BILLING CODE 4710–25–P 

DEPARTMENT OF STATE 

22 CFR Part 126 

[Public Notice 8943] 

RIN 1400–AD73 

Amendment to the International Traffic 

in Arms Regulations: Policy on 

Exports to Vietnam 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: The Department of State is 

revising the International Traffic in 

Arms Regulations (ITAR) to reflect a 

change in its policy on exports to 

Vietnam. 

DATES: This rule is effective on 

November 10, 2014. 

FOR FURTHER INFORMATION CONTACT: Mr. 

C. Edward Peartree, Director, Office of 

Defense Trade Controls Policy, 

Department of State, telephone (202) 

663–2792; email 

DDTCPublicComments@state.gov. 

ATTN: Regulatory Change, Exports to 

Vietnam. 

SUPPLEMENTARY INFORMATION: The 

Department has determined that is in 

the best interests of U.S. foreign policy, 

national security, and human rights 

concerns that exports of lethal defense 

articles and defense services to Vietnam 

may be authorized on a case-by-case 

basis when in support of maritime 

security and domain awareness. 

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), pursuant to 5 

U.S.C. 553(a)(1). Since the Department 

is of the opinion that this rule is exempt 

from 5 U.S.C 553, it is the view of the 

Department that the provisions of 

Section 553(d) do not apply to this 

rulemaking. Therefore, this rule is 

effective upon publication. The 

Department also finds that, given the 

national security issues surrounding 

U.S. policy toward Vietnam, notice and 

public procedure on this rule would be 

impracticable, unnecessary, or contrary 

to the public interest; for this reason, the 

rule is effective upon publication. 

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 

This rulemaking has been found not 

to be a major rule within the meaning 

of the Small Business Regulatory 

Enforcement Fairness Act of 1996. 

Executive Orders 12372 and 13132 

This rulemaking will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. Therefore, in 

accordance with Executive Order 13132, 

it is determined that this rulemaking 

does not have sufficient federalism 

implications to require consultations or 

warrant the preparation of a federalism 

summary impact statement. The 

regulations implementing Executive 

Order 12372 regarding 

intergovernmental consultation on 

Federal programs and activities do not 

apply to this rulemaking. 

Executive Order 12866 

The Department is of the opinion that 

controlling the import and export of 

defense articles and services is a foreign 

affairs function of the United States 

Government and that rules governing 

the conduct of this function are exempt 

from the requirements of Executive 

Order 12866. However, the Department 

has reviewed the rule to ensure its 

consistency with the regulatory 

philosophy and principles set forth in 

the Executive Order. 

Executive Order 13563 

The Department of State has 

considered this rule in light of 

Executive Order 13563, dated January 

18, 2011, and affirms that this regulation 

is consistent with the guidance therein. 

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 pre-empt tribal law. 

Accordingly, the provisions of 

Executive Order 13175 do not apply to 

this rulemaking. 

Paperwork Reduction Act 

This rule does not impose any new 

reporting or record-keeping 

requirements subject to the Paperwork 

Reduction Act, 44 U.S.C. Chapter 35. 

List of Subjects in 22 CFR Part 126 

Arms and munitions, Exports. 

For the reasons set forth above, 22 

CFR part 126 is amended as follows: 

PART 126—GENERAL POLICIES AND 

PROVISIONS 

■ 1. The authority citation for part 126 

continues to read as follows: 

Authority: Secs. 2, 38, 40, 42, and 71, Pub. 

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

2780, 2791, and 2797); 22 U.S.C. 2651a; 22 

U.S.C. 287c; E.O. 12918, 59 FR 28205; 3 CFR, 

1994 Comp., p. 899; Sec. 1225, Pub. L. 108– 

375; Sec. 7089, Pub. L. 111–117; Pub. L. 111– 

266; Sections 7045 and 7046, Pub. L. 112–74; 

E.O. 13637, 78 FR 16129. 

■ 2. Section 126.1(l) is revised to read as 

follows: 

§ 126.1 Prohibited exports, imports, and 

sales to or from certain countries. 

* * * * * 

(l) Vietnam. It is the policy of the 

United States to deny licenses or other 

approvals for exports or imports of 

defense articles and defense services 

destined for or originating in Vietnam, 

except that a license or other approval 

may be issued, on a case-by-case basis, 

for: 

(1) Lethal defense articles and defense 

services to enhance maritime security 

capabilities and domain awareness; 

(2) Non-lethal defense articles and 

defense services; or, 

(3) Non-lethal, safety-of-use defense 

articles (e.g., cartridge actuated devices, 

propellant actuated devices and 

technical manuals for military aircraft 


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