Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 36393 

[FR Doc. 2014–15196 Filed 6–26–14; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF STATE 

22 CFR Parts 121, 123, and 126 

RIN 1400–AD46 

[Public Notice: 8784] 

Amendment to the International Traffic 

in Arms Regulations: Third Rule 

Implementing Export Control Reform; 

Correction 

AGENCY: Department of State. 

ACTION: Final rule, correction. 

SUMMARY: The Department of State is 

correcting a final rule that appeared in 

the Federal Register of January 2, 2014 

(79 FR 34). The final rule amended the 

International Traffic in Arms 

Regulations (ITAR) as part of the 

President’s Export Control Reform (ECR) 

effort. 

DATES: This rule is effective July 1, 

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, 

Corrections to Third ECR Final Rule. 

SUPPLEMENTARY INFORMATION: The 

Department provides the following 

corrections to the rule, ‘‘Amendment to 

the International Traffic in Arms 

Regulations: Third Rule Implementing 

Export Control Reform,’’ published on 

January 2, 2014, and effective on July 1, 

2014 (79 FR 34). 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 five 

more U.S. Munitions List (USML) 

categories and provide other changes. 

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 January 2, 2014. Additionally, 

supplement No. 1 to part 126 is 

amended by removing the note 

pertaining to cluster munitions 

(previously, Note 16) because its 

presence created unnecessary confusion 

with respect to U.S. policy on cluster 

munitions. 

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. However, the Department of 

Commerce’s companion to the rule 

corrected in this notice (see ‘‘Control of 

Military Training Equipment, Energetic 

Materials, Personal Protective 

Equipment, Shelters, Articles Related to 

Launch Vehicles, Missiles, Rockets, 

Military Explosives, and Related Items,’’ 

79 FR 264) is not being corrected in this 

edition of the Federal Register. 

The following corrections are made to 

the rule, ‘‘Amendment to the 

International Traffic in Arms 

Regulations: Third Rule Implementing 

Export Control Reform,’’ FR Doc. 2013– 

31323, published on January 2, 2014 (79 

FR 34): 

PART 121 [CORRECTED] 

§ 121.1 [Corrected] 

■ 1. On page 40, in the first column, in 

Category IV, paragraph (b)(1), ‘‘(e.g., 

launch tables, TOW missile, 

MANPADS)’’ is removed. 

■ 2. On page 41, in the third column, in 

Category V, paragraph (a)(6), ‘‘(CAS 

145250–81–3)’’ is placed after the closeparenthesis. 

■ 3. On page 42, in the second column, 

in Category V, paragraph (a)(37), ‘‘70 

and °degrees C’’ is removed and ‘‘343 K 

(70 °C) and 373 K (100 °C)’’ is added in 

its place. 

■ 4. On page 43, in the first column, in 

Category V, paragraph (e)(2), ‘‘BAMO 

(bis(azidomethyl)’’ is removed and 

‘‘BAMO-3-3-(bis(azidomethyl)’’ is added 

in its place. 

■ 5. On page 44, in the first column, in 

Category V, paragraph (f)(19), ‘‘110445– 

33–5’’ is removed ‘‘68412–46–4’’ is 

added in its place. In paragraph (g)(1), 

‘‘bischloromethyloxetane) (CAS 

142173–26–0)’’ is removed and ‘‘(3,3- 

bis(chloromethyl)oxetane) (CAS 78–71– 

7) is added in its place. In the third 

column, in Category IX, paragraph 

(a)(2), a comma is placed after 

‘‘subchapter,’’ and ‘‘that reveal technical 

data or contain parts, components, 

accessories, or attachments controlled in 

this subchapter’’ is placed after the 

comma. ‘‘Note to paragraph (a)(2)’’ is 

removed. 

■ 6. On page 45, in the first column, in 

Category IX, paragraph (a)(11)(iii), the 

second sentence is removed. The 

following text is added after paragraph 

(a)(11): ‘‘Note to paragraph (a)(11): 

‘‘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.’’ In the third column, in 

Category X, paragraph (d)(2), the 

quotation marks are removed from 

‘‘specially designed.’’ 

PART 123 [CORRECTED] 

§ 123.20 [Corrected] 

■ 7. On page 47, in the first column, in 

paragraph (a), ‘‘none of which are 

subject to the provisions of this 

subchapter’’ is removed and ‘‘which are 

not subject to this subchapter’’ is added 

in its place. 

PART 126 [CORRECTED] 

■ 8. On page 47, in the second column, 

before the signature, add the following 

amendments: 

PART 126—GENERAL POLICIES AND 

PROVISIONS 

■ 12. 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. 

■ 13. 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 


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36394 Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 

SUPPLEMENT NO. 1*—Continued 

[*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 .............................. 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.

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 

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 nonmilitary 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: ................ ................ X 

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

b. Explosives controlled in USML Category V(a)(32); 


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Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 36395 

SUPPLEMENT NO. 1*—Continued 

[*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 

c. Iron powder (CAS 7439–89–6) with particle size of 3 micrometers or less produced by reduction of iron oxide with hydrogen; 

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

phosphine oxide), and other MAPO derivatives; 

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

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

V(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 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 

VI ................................... 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 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 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 specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a 

vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current 

hybrid homopolar generators that have single-pole normal metal armatures 

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 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 specific to superconductive electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a 

vehicle for military ground, marine, airborne, or space applications and capable of operating while in motion. This, however, does not include direct current 

hybrid homopolar generators that have single-pole normal metal armatures 

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


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36396 Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 

SUPPLEMENT NO. 1*—Continued 

[*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 

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 counter-countermeasures 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 counter-countermeasures. See Note 9................. X X 

XII .................................. Defense articles and services specific to USML Category XII(c) articles, except 

any 1st- and 2nd-generation image intensification tubes and 1st- and 2nd-generation image intensification night sighting equipment. End-items in USML 

Category XII(c) and related technical data limited to basic operations, maintenance, and training information as authorized under the exemption in 

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

§ 126.5, other exclusions, and the provisions of this subchapter.

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

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 


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Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 36397 

SUPPLEMENT NO. 1*—Continued 

[*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 

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 enduse by the Federal Government of Canada exported directly or indirectly 

through a Canadian-registered person.

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

XV(d) ............................. Defense articles and services specific to radiation-hardened microelectronic circuits.X X 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) ............................. Antennas having any of the following: .................................................................... X 

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). 

XV(e) ............................. Optical intersatellite data links (cross links) and optical ground satellite terminals X ................ ................

XV(e) ............................. Spaceborne regenerative baseband processing (direct up and down conversion 

to and from baseband) equipment.

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

XV(e) ............................. 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) ............................. Attitude control and determination systems designed to provide spacecraft pointing determination and control or payload pointing system control better than 

0.02 degrees per axis.

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

XV(e) ............................. All specifically designed or modified systems, components, parts, accessories, 

attachments, and associated equipment for all USML Category XV(a) items, 

except when specifically designed or modified for use in commercial communications satellites.

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

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

systems (only for telemetry, tracking and control as controlled in USML Category XV(b)), subsystems, components, parts, accessories, attachments, and 

associated equipment.

................ 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 single-pole normal metal armatures 

which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generator.

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

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


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36398 Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 

SUPPLEMENT NO. 1*—Continued 

[*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 

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 related to sensor fusion beyond that required for display or identification correlation is defined as techniques designed 

to automatically combine information from two or more sensors/sources for the purpose of target identification, tracking, designation, or passing 

of data in support of surveillance or weapons engagement. Sensor fusion involves sensors such as acoustic, infrared, electro optical, frequency, 

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

track designation. 

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

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

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

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

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

Note 6: Defense Articles specific to Man Portable Air Defense Systems (MANPADS) includes missiles 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. 

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, broadband ‘‘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. 


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Federal Register / Vol. 79, No. 124 / Friday, June 27, 2014 / Rules and Regulations 36399 

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 buildto-print as defined in § 125.4(c)(1) of this subchapter, build/design-to-specification as defined in § 125.4(c)(2) of this subchapter, or basic research 

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

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

other exclusions or terms of the Canadian exemptions. 

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

which may enhance the performance of military equipment or systems. 

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

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

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

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

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

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

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

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

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

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

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

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

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

agrees to honor the requirements of the ITAR.’’ 

(c) The U.S. exporter must provide the Directorate of Defense Trade Controls a semi-annual report 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 name and address of all the Canadian contractors and subcontractors. 

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

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

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

Note 16: The 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. 

Rose E. Gottemoeller, 

Under Secretary, Arms Control and 

International Security, Department of State. 

[FR Doc. 2014–15147 Filed 6–26–14; 8:45 am] 

BILLING CODE 4710–25–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Part 100 

[Docket No. USCG–2013–0327] 

Regattas and Marine Parades in the 

COTP Lake Michigan Zone— 

Chinatown Chamber of Commerce 

Dragon Boat Race, Chicago, IL 

AGENCY: Coast Guard, DHS. 

ACTION: Notice of enforcement of 

regulation. 

SUMMARY: The Coast Guard will enforce 

the special local regulation on the South 

Branch of the Chicago River for the 

Chinatown Chamber of Commerce 

Dragon boat Race in Chicago, Illinois. 

This regulated area will be enforced 

from 7 a.m. until 5 p.m. on June 28, 

2014. This action is necessary and 

intended to ensure safety of life and 

property on navigable waters 

immediately prior to, during, and 

immediately after the Dragon Boat race. 

During the aforementioned period, the 

Coast Guard will enforce restrictions 

upon, and control movement of, vessels 

in a portion of the Captain of the Port 

Lake Michigan Zone. 

DATES: The regulations in 33 CFR 

100.909 will be enforced from 7 a.m. 

until 5 p.m. on June 28, 2014. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this document, 

call or email MST1 John Ng, Waterways 

Management Division, Marine Safety 

Unit Chicago, Chicago, IL at (630) 986– 

2155, email John.H.Ng@uscg.mil. 

SUPPLEMENTARY INFORMATION: The Coast 

Guard will enforce the special local 

regulation listed in 33 CFR 100.909, 

Chinatown Chamber of Commerce 

Dragon Boat Race; Chicago, IL. This 

special local regulation will encompass 

all waters of the South Branch of the 

Chicago River from the West 18th Street 

Bridge at position 41°51′28′′ N, 

087°38′06′′ W to the Amtrak Bridge at 

position 41°51′20′′ N, 087°38′13′′ W 

(NAD 83). This year, this special local 

regulation will be enforced from 7 a.m. 

until 5 p.m. on June 28, 2014. 

Vessels desiring to transit the 

regulated area may do so only with prior 

approval of the Patrol Commander and 

when so directed by that officer. Vessels 

will be operated at a no wake speed to 

reduce the wake to a minimum, and in 

a manner which will not endanger 

participants in the event or any other 

craft. The rules contained in the above 

two sentences shall not apply to 

participants in the event or vessels of 

the patrol operating in the performance 

of their assigned duties. The Patrol 

Commander may direct the anchoring, 

mooring, or movement of any boat or 

vessel within the regatta area. 

This document is issued under 

authority of 33 CFR 100.909, Chinatown 

Chamber of Commerce Dragon Boat 

Race; Chicago, IL, and 5 U.S.C. 552(a). 

In addition to this publication in the 

Federal Register, the Coast Guard will 

provide the maritime community with 

advance notification of the enforcement 

of this special local regulation via 

Broadcast Notice to Mariners or Local 

Notice to Mariners. The Captain of the 

Port, Lake Michigan, or his or her onscene representative may be contacted 

via Channel 16, VHF–FM. 

Dated: June 16, 2014. 

M.W. Sibley, 

Captain, U.S. Coast Guard, Captain of the 

Port, Lake Michigan. 

[FR Doc. 2014–15122 Filed 6–26–14; 8:45 am] 

BILLING CODE 9110–04–P 


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