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[Federal Register Volume 76, Number 152 (Monday, August 8, 2011)]
[Rules and Regulations]
[Pages 47990-47993]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-20028]

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DEPARTMENT OF STATE

22 CFR Part 126

[Public Notice 7552]
RIN 1400-AC81

Amendment to the International Traffic in Arms Regulations: 
Updates to Country Policies, and Other Changes

AGENCY: Department of State.

ACTION: Final rule.

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SUMMARY: The Department of State is amending the International Traffic 
in Arms Regulations (ITAR) to update country policies regarding 
Afghanistan, C[ocirc]te d'Ivoire, Cyprus, the Democratic Republic of 
the Congo, Eritrea, Fiji, Iraq, Lebanon, Liberia, North Korea, Sierra 
Leone, Somalia, Sri Lanka, Yemen, and Zimbabwe, and to correct 
administrative and typographical errors.

DATES: Effective Date: This rule is effective August 8, 2011.

FOR FURTHER INFORMATION CONTACT: Nicholas Memos, Office of Defense 
Trade Controls Policy, Department of State, by telephone: (202) 663-
2804; fax: (202) 261-8199; or e-mail: memosni@state.gov. Attn: Part 
126, Country Policies.

SUPPLEMENTARY INFORMATION: A number of country policy updates and 
corrections are made in Sec.  126.1, described as follows.
    Afghanistan: Section 126.1(g) is amended to delete reference to the 
``Afghan Interim Authority.'' The Islamic Republic of Afghanistan has 
replaced the Afghan Interim Authority as the Government of Afghanistan.
    The Security Council committees established pursuant to United 
Nations Security Council (UNSC) resolutions 1267 (1999) and 1988 
(2011), concerning Al-Qaida and the Taliban and associated individuals 
and entities, oversee the implementation by U.N. member states of 
sanctions measures (including arms embargoes) imposed by the Security 
Council on Al-Qaida and the Taliban, and those individuals, groups, 
undertakings, and entities associated with them. The committees 
maintain lists of individuals, groups, undertakings, and entities 
subject to the sanctions. By UNSC resolutions 1267 (1999), 1333 (2000), 
1390 (2002), as reiterated in resolutions 1455 (2003), 1526 (2004), 
1617 (2005), 1735 (2006), 1822 (2008) and 1904 (2009), and reiterated 
and modified by resolutions 1988 and 1989 (2011), the Security Council 
has obliged all member countries to prevent the direct or indirect 
supply, sale, or transfer of arms and related materiel to the 
individuals, groups, undertakings, and entities placed on these lists. 
Section 126.1(g) is amended accordingly.
    C[ocirc]te d'Ivoire: On November 15, 2004, the United Nations 
Security Council adopted resolution 1572, which provided for an arms 
embargo with certain exceptions. Resolution 1946 of October 15, 2010, 
reaffirmed the embargo, and added to the exceptions provided in 
resolution 1572. Resolution 1980 of April 28, 2011, renewed the terms 
of the modified arms embargo. Section 126.1(q) is added to reflect the 
arms embargo and exceptions thereto.
    Cyprus: Section 126.1(r) is added to reflect the U.S. policy on 
arms exports to Cyprus, first published by the Department of State on 
December 18, 1992 (57 FR 60265).
    Democratic Republic of the Congo: On March 31, 2008, the United 
Nations Security Council adopted resolution 1807, which modified the 
existing Democratic Republic of the Congo arms embargo. Subsequent 
resolutions (1857, adopted on December 22, 2008; 1896, adopted on 
November 30, 2009; and 1952, adopted on November 29, 2010) renewed the 
terms of the modified arms embargo in resolution 1807. Section 126.1(i) 
is amended to reflect the prohibitions contained in resolution 1807.
    Eritrea: On December 23, 2009, the United Nations Security Council 
adopted resolution 1907, which prohibits the sale, supply or transfer 
of arms and related materiel to Eritrea, or the sale, supply or 
transfer of arms and related materiel from Eritrea. Consequently, 
Eritrea is added to the list of countries subject to a UNSC arms 
embargo contained in Sec.  126.1(c). Since October 3, 2008, and as 
identified in Sec.  126.1(a), it has been the policy of the United 
States to deny licenses and other approvals for exports and imports of 
defense articles and defense services, destined for or originating in 
Eritrea.
    Fiji: As a result of a military coup in Fiji, as of December 2006, 
the United States suspended all sales and deliveries of defense 
articles and defense services to Fiji. Such sales in support of 
peacekeeping activities are excepted, and will be reviewed on a case-
by-case basis. Section 126.1(p) is added to reflect the policy and 
exceptions thereto.
    Iraq: Section 126.1(f) is amended to remove reference to lapsed 
statutory authority and requirements.
    Lebanon: On August 11, 2006, the United Nations Security Council 
adopted resolution 1701, establishing an arms embargo, with the 
exception that it would not apply to arms and related materiel for the 
United Nations Interim Force in Lebanon or as authorized by the 
Government of Lebanon. Most recently, resolution 1937 (adopted on 
August 30, 2010) emphasized the importance of full compliance with the 
terms of the arms embargo. Section 126.1(t) is added to reflect the 
arms embargo and exceptions thereto.
    Liberia: On December 17, 2009, the United Nations Security Council 
adopted resolution 1903, which modified the existing Liberia arms 
embargo set forth in resolution 1521 (2003) and modified by resolutions 
1683 and 1731 (2006). Subsequently, resolution 1961 (adopted on 
December 17, 2010) renewed the terms of the modified arms embargo. 
Section 126.1(o) is added to reflect the arms embargo and exceptions 
thereto. In addition, Sec.  126.1(a) is revised to remove Liberia as an 
example of a country with which the United States maintains an arms 
embargo.
    North Korea: On October 24, 2008, the Secretary of State rescinded 
the determination of January 20, 1988, that North Korea repeatedly 
provided support for acts of international terrorism. The rescission 
satisfied the provisions of section 620(c) of the Foreign Assistance 
Act of 1961, Public Law 87-195, as amended (22 U.S.C. 2371(c)), and 
section 40(f) of the Arms Export Control Act, Public Law 90-629, as 
amended (22 U.S.C. 2780(f)). Consequently, Sec.  126.1(d) is amended to 
remove mention of North Korea. However, North Korea is subject to an 
arms embargo according to the United Nations Security Council 
resolutions 1718 (2006) and 1874 (2009). Consequently, North Korea 
remains subject to the policy of the United States to deny licenses and 
other approvals for exports and imports of defense articles and defense 
services, destined for or originating in North Korea (Sec.  126.1(a)).
    Sierra Leone: On September 29, 2010, the United Nations Security 
Council adopted resolution 1940, which terminated the prohibition of 
the sale or supply of arms and related materiel to non-governmental 
forces in Sierra Leone adopted in UNSC resolution 1171 of June 5, 1998. 
Resolution 1171, in turn, had modified the provision of UNSC resolution 
1132, adopted October 8, 1997, which prohibited the sale or supply of 
arms and related materiel to Sierra Leone. The United States, which had 
maintained the complete prohibition as provided in resolution

[[Page 47991]]

1132, now lifts the prohibition, in accordance with UNSC resolution 
1940. Consequently, Sierra Leone is removed from the list of countries 
subject to a U.N. arms embargo at Sec.  126.1(c) and is no longer 
considered a proscribed country under the ITAR.
    Somalia: Title IV of the William Wilberforce Trafficking Victims 
Protection Reauthorization Act of 2008, the Child Soldiers Prevention 
Act of 2008, provides in Section 404 that no licenses for direct 
commercial sales of military equipment may be issued to the government 
of a country that is clearly identified as having governmental armed 
forces or government-supported armed groups that recruit and use child 
soldiers. Somalia has been so identified by the U.S. government in the 
``Trafficking in Persons Report,'' dated June 2010. Therefore, Sec.  
126.1(m) is amended to reflect the statutory bar on issuance of 
licenses for defense articles for the purpose of developing security 
sector institutions in Somalia.
    Sri Lanka: In accordance with Section 7089 of the Consolidated 
Appropriations Act, 2010 (Pub. L. 111-117), the Department of State is 
amending Sec.  126.1(n) to update the policy toward Sri Lanka. It is 
the policy of the United States to deny licenses and other approvals to 
export or otherwise transfer defense articles and defense services to 
Sri Lanka except, on a case-by-case basis, for humanitarian demining.
    Yemen: Section 126.1(u) is added to set out the U.S. policy on arms 
exports to Yemen, first published by the Department of State on 
December 16, 1992 (57 FR 59852).
    Zimbabwe: Section 126.1(s) is added to set out U.S. policy on arms 
exports to Zimbabwe, first published by the Department of State on 
April 17, 2002 (67 FR 18978), and modified in a notice published on 
July 23, 2002 (67 FR 48242).
    Additionally, Sec.  126.1(j) is amended to standardize usage and 
structure, Sec. Sec.  126.1(l) and (m) are amended to correct the 
spelling of ``United States,'' and the title of Sec.  126.14 is amended 
to add the country ``Sweden.''

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 Sec.  553 (Rulemaking) and Sec.  554 
(Adjudications) of the Administrative Procedure Act. These rules 
directly reflect foreign policy decisions of the President, which are 
not subject to the notice and comment procedures of the Administrative 
Procedure Act. Since this rule is exempt from 5 U.S.C. 553, it is the 
view of the Department of State that the provisions of Sec.  553(d) do 
not apply to this rulemaking. Therefore, this rule is effective upon 
publication.

Regulatory Flexibility Act

    Since this amendment is not subject to the notice-and-comment 
procedures of 5 U.S.C. 553, it does not require analysis under the 
Regulatory Flexibility Act.

Unfunded Mandates Reform Act of 1995

    This amendment 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.

Executive Order 13175

    The Department has determined that this rule 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 requirements of Executive Order 13175 do not apply to 
this rule.

Small Business Regulatory Enforcement Fairness Act of 1996

    This amendment 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 amendment 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 amendment 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 amendment.

Executive Order 12866

    The Department of State does not consider this rule to be a 
``significant regulatory action'' under Executive Order 12866, section 
3(f), Regulatory Planning and Review. 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.

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 the amendment 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.

Paperwork Reduction Act

    This rule does not impose any new reporting or recordkeeping 
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.

    Accordingly, for the reasons set forth above, Title 22, Chapter I, 
Subchapter M, part 126, is amended as follows:

PART 126--GENERAL POLICIES AND PROVISIONS

0
1. The authority citation for part 126 is revised 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); E.O. 11958, 
42 FR 4311; 3 CFR, 1977 Comp., p. 79; 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.

0
2. Section 126.1 is amended by revising the section heading and 
paragraphs (a), (c), (d), (f), (g), (i), (j), (l) introductory text, 
(m), and (n), and by adding paragraphs (o) through (u), to read as 
follows:

Sec.  126.1  Prohibited exports, imports, and sales to or from certain 
countries.

    (a) General. It is the policy of the United States to deny licenses 
and other approvals for exports and imports of defense articles and 
defense services destined for or originating in certain countries. This 
policy applies to Belarus, Cuba, Eritrea, Iran, North

[[Page 47992]]

Korea, Syria, and Venezuela. This policy also applies to countries with 
respect to which the United States maintains an arms embargo (e.g., 
Burma, China, and the Republic of the Sudan) or whenever an export 
would not otherwise be in furtherance of world peace and the security 
and foreign policy of the United States. Information regarding certain 
other embargoes appears elsewhere in this section. Comprehensive arms 
embargoes are normally the subject of a State Department notice 
published in the Federal Register. The exemptions provided in the 
regulations in this subchapter, except Sec.  123.17 of this subchapter, 
do not apply with respect to articles originating in or for export to 
any proscribed countries, areas, or persons in this Sec.  126.1.
* * * * *
    (c) Exports and sales prohibited by United Nations Security Council 
embargoes. Whenever the United Nations Security Council mandates an 
arms embargo, all transactions that are prohibited by the embargo and 
that involve U.S. persons (see Sec.  120.15 of this subchapter) 
anywhere, or any person in the United States, and defense articles or 
services of a type enumerated on the United States Munitions List (22 
CFR part 121), irrespective of origin, are prohibited under the ITAR 
for the duration of the embargo, unless the Department of State 
publishes a notice in the Federal Register specifying different 
measures. This would include, but is not limited to, transactions 
involving trade by U.S. persons who are located inside or outside of 
the United States in defense articles or services of U.S. or foreign 
origin that are located inside or outside of the United States. United 
Nations Security Council arms embargoes include, but are not 
necessarily limited to, the following countries:
    (1) Cote d'Ivoire (see also paragraph (q) of this section).
    (2) Democratic Republic of Congo (see also paragraph (i) of this 
section).
    (3) Eritrea.
    (4) Iraq (see also paragraph (f) of this section).
    (5) Iran.
    (6) Lebanon (see also paragraph (t) of this section).
    (7) Liberia (see also paragraph (o) of this section).
    (8) Libya (see also paragraph (k) of this section).
    (9) North Korea.
    (10) Somalia (see also paragraph (m) of this section).
    (11) Sudan.
    (d) Terrorism. Exports to countries which the Secretary of State 
has determined to have repeatedly provided support for acts of 
international terrorism are contrary to the foreign policy of the 
United States and are thus subject to the policy specified in paragraph 
(a) of this section and the requirements of section 40 of the Arms 
Export Control Act (22 U.S.C. 2780) and the Omnibus Diplomatic Security 
and Anti-Terrorism Act of 1986 (22 U.S.C. 4801, note). The countries in 
this category are: Cuba, Iran, Sudan, and Syria.
* * * * *
    (f) Iraq. It is the policy of the United States to deny licenses or 
other approvals for exports and imports of defense articles and defense 
services, destined for or originating in Iraq, except that a license or 
other approval may be issued, on a case-by-case basis for:
    (1) Non-lethal military equipment; and
    (2) Lethal military equipment required by the Government of Iraq or 
coalition forces.
    (g) Afghanistan. It is the policy of the United States to deny 
licenses or other approvals for exports and imports of defense articles 
and defense services, destined for or originating in Afghanistan, 
except that a license or other approval may be issued, on a case-by-
case basis, for the Government of Afghanistan or coalition forces. In 
addition, the names of individuals, groups, undertakings, and entities 
subject to broad prohibitions, including arms embargoes, due to their 
affiliation with the Taliban, Al-Qaida, or those associated with them, 
are published in lists maintained by the Security Council committees 
established pursuant to United Nations Security Council resolutions 
1267 and 1988.
* * * * *
    (i) Democratic Republic of the Congo. 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 the Democratic Republic of the Congo, except that a 
license or other approval may be issued, on a case-by-case basis, for:
    (1) Defense articles and defense services for the Government of the 
Democratic Republic of the Congo as notified in advance to the 
Committee of the Security Council concerning the Democratic Republic of 
the Congo;
    (2) Defense articles and defense services intended solely for the 
support of or use by the United Nations Organization Mission in the 
Democratic Republic of the Congo (MONUC);
    (3) Personal protective gear temporarily exported to the Democratic 
Republic of the Congo by United Nations personnel, representatives of 
the media, and humanitarian and development workers and associated 
personnel, for their personal use only; and
    (4) Non-lethal military equipment intended solely for humanitarian 
or protective use, and related technical assistance and training, as 
notified in advance to the Committee of the Security Council concerning 
the Democratic Republic of the Congo.
    (j) Haiti. (1) 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 Haiti, except that 
a license or other approval may be issued, on a case-by-case basis, 
for:
    (i) Defense articles and defense services intended solely for the 
support of or use by security units that operate under the command of 
the Government of Haiti;
    (ii) Defense articles and defense services intended solely for the 
support of or use by the United Nations or a United Nations-authorized 
mission; and
    (iii) Personal protective gear for use by personnel from the United 
Nations and other international organizations, representatives of the 
media, and development workers and associated personnel.
    (2) All shipments of arms and related materials consistent with 
such exemptions shall only be made to Haitian security units as 
designated by the Government of Haiti, in coordination with the U.S. 
Government.
* * * * *
    (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:
* * * * *
    (m) Somalia. 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 Somalia, except that a 
license or other approval may be issued, on a case-by-case basis, for:
    (1) Defense articles and defense services intended solely for 
support for the African Union Mission to Somalia (AMISOM); and
    (2) Defense services for the purpose of helping develop security 
sector institutions in Somalia that further the objectives of peace, 
stability and

[[Page 47993]]

reconciliation in Somalia, after advance notification of the proposed 
export by the United States Government to the UNSC Somalia Sanctions 
Committee and the absence of a negative decision by that committee.
    Exemptions from the licensing requirement may not be used with 
respect to any export to Somalia unless specifically authorized in 
writing by the Directorate of Defense Trade Controls.
    (n) Sri Lanka. 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 Sri Lanka, except 
that a license or other approval may be issued, on a case-by-case 
basis, for humanitarian demining.
    (o) Liberia. 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 Liberia, except that a 
license or other approval may be issued, on a case-by-case basis, for:
    (1) Defense articles and defense services for the Government of 
Liberia as notified in advance to the Committee of the Security Council 
concerning Liberia;
    (2) Defense articles and defense services intended solely for 
support of or use by the United Nations Mission in Liberia (UNMIL);
    (3) Personal protective gear temporarily exported to Liberia by 
United Nations personnel, representatives of the media and humanitarian 
and development workers and associated personnel, for their personal 
use only; and
    (4) Non-lethal military equipment intended solely for humanitarian 
or protective use, and related technical assistance and training, as 
notified in advance to the Committee of the Security Council concerning 
Liberia.
    (p) Fiji. 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 Fiji, except that a license or 
other approval may be issued, on a case-by-case basis, for defense 
articles and defense services intended solely in support of 
peacekeeping activities.
    (q) C[ocirc]te d'Ivoire. 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 C[ocirc]te 
d'Ivoire, except that a license or other approval may be issued, on a 
case-by-case basis, for:
    (1) Defense articles and defense services intended solely for 
support of or use by the United Nations Operations in C[ocirc]te 
d'Ivoire (UNOCI) and the French forces that support them;
    (2) Non-lethal military equipment intended solely for humanitarian 
or protective use, and related technical assistance and training, as 
approved in advance to the Committee of the Security Council concerning 
C[ocirc]te d'Ivoire;
    (3) Personal protective gear temporarily exported to C[ocirc]te 
d'Ivoire by United Nations personnel, representatives of the media and 
humanitarian and development workers and associated personnel, for 
their personal use only;
    (4) Supplies temporarily exported to C[ocirc]te d'Ivoire to the 
forces of a State which is taking action, in accordance with 
international law, solely and directly to facilitate the evacuation of 
its nationals and those for whom it has consular responsibility in 
C[ocirc]te d'Ivoire, as notified in advance to the Committee of the 
Security Council concerning C[ocirc]te d'Ivoire; and
    (5) Non-lethal equipment intended solely to enable the Ivorian 
security forces to use only appropriate and proportionate force while 
maintaining public order, as approved in advance by the Sanctions 
Committee.
    (r) Cyprus. 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 Cyprus, except that a 
license or other approval may be issued, on a case-by-case basis, for 
the United Nations Forces in Cyprus (UNFICYP) or for civilian end-
users.
    (s) Zimbabwe. 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 Zimbabwe, except 
that a license or other approval may be issued, on a case-by-case 
basis, for the temporary export of firearms and ammunition for personal 
use by individuals (not for resale or retransfer, including to the 
Government of Zimbabwe). Such exports may meet the licensing exemptions 
of Sec.  123.17 of this subchapter.
    (t) Lebanon. 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 Lebanon, except that a 
license or other approval may be issued, on a case-by-case basis, for 
the United Nations Interim Force in Lebanon (UNIFIL) and as authorized 
by the Government of Lebanon.
    (u) Yemen. 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 Yemen, except that a 
license or other approval may be issued, on a case-by-case basis, for:
    (1) Non-lethal defense articles and defense services; and
    (2) Non-lethal, safety-of-use defense articles (e.g., cartridge 
actuated devices, propellant actuated devices and technical manuals for 
military aircraft for purposes of enhancing the safety of the aircraft 
crew) for lethal end-items.

0
3. Section 126.14 is amended by revising the section heading to read as 
follows:

Sec.  126.14  Special comprehensive export authorizations for NATO, 
Australia, Japan, and Sweden.

* * * * *

    Dated: August 1, 2011.
Ellen O. Tauscher,
Under Secretary, Arms Control and International Security, Department of 
State.
[FR Doc. 2011-20028 Filed 8-5-11; 8:45 am]
BILLING CODE 4710-25-P
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