Vol. 78 Monday, 

No. 130 July 8, 2013 

Part IV 

Department of State 

22 CFR 120, 121, 123, et al. 

Amendment to the International Traffic in Arms Regulations: Continued 

Implementation of Export Control Reform; Final Rule 


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40922 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 

DEPARTMENT OF STATE 

22 CFR 120, 121, 123, 124, and 125 

[Public Notice 8370] 

RIN 1400–AD40 

Amendment to the International Traffic 

in Arms Regulations: Continued 

Implementation of Export Control 

Reform 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: As part of the President’s 

Export Control Reform (ECR) effort, the 

Department of State is amending the 

International Traffic in Arms 

Regulations (ITAR) to revise four more 

U.S Munitions List (USML) categories 

and provide new definitions and other 

changes. The revisions contained in this 

rule are part of the Department of State’s 

retrospective plan under E.O. 13563. 

DATES: This rule is effective January 6, 

2014. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Sarah J. Heidema, Acting Director, 

Office of Defense Trade Controls Policy, 

Department of State, telephone (202) 

663–2809; email 

DDTCResponseTeam@state.gov. ATTN: 

Regulatory Change, Second ECR Final 

Rule. The Department of State’s full 

retrospective plan can be accessed at 

http://www.state.gov/documents/ 

organization/181028.pdf. 

SUPPLEMENTARY INFORMATION: The 

Directorate of Defense Trade Controls 

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

administers the International Traffic in 

Arms Regulations (ITAR) (22 CFR parts 

120–130). The items subject to the 

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

articles’’ and ‘‘defense services,’’ are 

identified on the ITAR’s U.S. Munitions 

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

exceptions, items not subject to the 

export control jurisdiction of the ITAR 

are subject to the jurisdiction of the 

Export Administration Regulations 

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

includes the Commerce Control List 

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

administered by the Bureau of Industry 

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

Commerce. Both the ITAR and the EAR 

impose license requirements on exports, 

reexports, and retransfers. Items not 

subject to the ITAR or to the exclusive 

licensing jurisdiction of any other set of 

regulations are subject to the EAR. 

All references to the USML in this 

rule are to the list of defense articles 

controlled for the purpose of export or 

temporary import pursuant to the ITAR, 

and not to the defense articles on the 

USML that are controlled by the Bureau 

of Alcohol, Tobacco, Firearms and 

Explosives (ATF) for the purpose of 

permanent import under its regulations. 

See 27 CFR part 447. Pursuant to section 

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

(AECA), all defense articles controlled 

for export or import are part of the 

USML under the AECA. For the sake of 

clarity, the list of defense articles 

controlled by ATF for the purpose of 

permanent import is the U.S. Munitions 

Import List (USMIL). The transfer of 

defense articles from the ITAR’s USML 

to the EAR’s CCL for the purpose of 

export control does not affect the list of 

defense articles controlled on the 

USMIL under the AECA for the purpose 

of permanent import. 

Export Control Reform Update 

Pursuant to the President’s Export 

Control Reform (ECR) initiative, the 

Department has published proposed 

revisions to twelve USML categories 

and has revised four USML categories to 

create a more positive control list and 

eliminate where possible ‘‘catch all’’ 

controls. The Department, along with 

the Departments of Commerce and 

Defense, reviewed the public comments 

the Department received on the 

proposed rules and has, where 

appropriate, revised the rules. A 

discussion of the comments relevant to 

the USML categories that are part of this 

rule is included later on in this notice. 

The Department continues to review the 

remaining USML categories and will 

publish them as proposed rules in the 

coming months. 

For discussion of public comments 

relevant to the two USML categories 

that have been published as final rules, 

please see, ‘‘Amendment to the 

International Traffic in Arms 

Regulations: Initial Implementation of 

Export Control Reform,’’ published 

April 16, 2013 (78 FR 22740). The 

aforementioned notice also contains 

policies and procedures regarding the 

licensing of items moving from the 

export jurisdiction of the Department of 

State to the Department of Commerce, a 

definition for specially designed, and 

responses to public comments and 

changes to other sections of the ITAR 

that affect the categories discussed in 

this rule. 

Pursuant to ECR, the Department of 

Commerce has been publishing 

revisions to the EAR, including various 

revisions to the CCL. Revision of the 

USML and CCL are coordinated so there 

is uninterrupted regulatory coverage for 

items moving from the jurisdiction of 

the Department of State to that of the 

Department of Commerce. For the 

Department of Commerce’s companion 

to this rule, please see, ‘‘Revisions to the 

Export Administration Regulations: 

Military Vehicles; Vessels of War; 

Submersible Vessels, Oceanographic 

Equipment; Related Items; and 

Auxiliary and Miscellaneous Items that 

the President Determines No Longer 

Warrant Control under the United States 

Munitions List,’’ elsewhere in this 

edition of the Federal Register. 

Changes in This Rule 

The following changes are made to 

the ITAR with this final rule: (i) 

Revision of U.S. Munitions List (USML) 

Categories VI (Surface Vessels of War 

and Special Naval Equipment), VII 

(Ground Vehicles), XIII (Materials and 

Miscellaneous Articles), and XX 

(Submersible Vessels and Related 

Articles); (ii) addition of ITAR § 121.4 to 

provide a definition for ‘‘ground 

vehicles,’’ ITAR § 121.14 to provide a 

definition for ‘‘submersible vessels,’’ 

and ITAR § 120.38 to provide 

definitions of ‘‘organizational-level 

maintenance,’’ ‘‘intermediate-level 

maintenance,’’ and ‘‘depot-level 

maintenance’’; (iii) revision of the 

definition of ‘‘surface vessels of war’’ at 

ITAR § 121.15; (iv) continued 

implementation of a new licensing 

procedure for the export of items subject 

to the EAR that are to be exported with 

defense articles; and (v) related changes 

to other ITAR sections. 

Revision of USML Category VI 

This final rule revises USML Category 

VI, covering surface vessels of war and 

special naval equipment, to establish a 

clearer line between the USML and the 

CCL regarding controls for these articles. 

The revision narrows the types of 

surface vessels of war and special naval 

equipment controlled on the USML to 

only those that warrant control under 

the requirements of the AECA. It 

removes from USML control harbor 

entrance detection devices formerly 

controlled under USML Category VI(d) 

and no longer includes submarines, 

which are now controlled in USML 

Category XX. In addition, articles 

common to the Missile Technology 

Control Regime (MTCR) Annex and 

articles in this category are identified 

with the parenthetical ‘‘(MT)’’ at the end 

of each section containing such articles. 

The revised USML Category VI does 

not contain controls on all generic parts, 

components, accessories, and 

attachments specifically designed or 

modified for a defense article, regardless 

of their significance to maintaining a 

military advantage for the United States. 

Rather, it contains a positive list of 

specific types of parts, components, 

accessories, and attachments that 

continue to warrant control on the 


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USML. All other parts, components, 

accessories, and attachments are subject 

to the new 600 series controls in 

Category 8 of the CCL, published 

separately by the Department of 

Commerce (see elsewhere in this issue 

of the Federal Register). 

A new ‘‘(x) paragraph’’ has been 

added to USML Category VI, allowing 

ITAR licensing for commodities, 

software, and technical data subject to 

the EAR provided those commodities, 

software, and technical data are to be 

used in or with defense articles 

controlled in USML Category VI and are 

described in the purchase 

documentation submitted with the 

application. 

This rule also revises ITAR § 121.15 to 

more clearly define ‘‘surface vessels of 

war’’ for purposes of the revised USML 

Category VI. 

This revision of USML Category VI 

was first published as a proposed rule 

(RIN 1400–AC99) on December 23, 

2011, for public comment (see 76 FR 

80302). The comment period ended 

February 6, 2012. Nine parties filed 

comments recommending changes, 

which were reviewed and considered by 

the Department and other agencies. The 

Department’s evaluation of the written 

comments and recommendations 

follows. 

The Department received proposals 

for alternative phrasing of the regulatory 

text in USML Category VI and ITAR 

§ 121.15. When the recommended 

changes added to the clarity of the 

regulation and were congruent with ECR 

objectives, the Department accepted 

them. 

Two commenting parties 

recommended changing the criteria for 

USML control for articles developed as 

a result of funding from the Department 

of Defense. While the Department agrees 

that ‘‘mere’’ funding by the Department 

of Defense should not automatically 

designate a resulting article as a defense 

article, the Department also notes that, 

generally, the Department of Defense’s 

interest is in developing defense 

articles. However, the Department has 

revised paragraph (c) to clarify that the 

control does not apply to developmental 

vessels identified in the relevant 

Department of Defense contract as being 

developed for both civil and military 

applications. Additionally, in response 

to public comments, the Department has 

inserted a delayed effective date for this 

and other developmental article controls 

so that it would not affect contracts or 

other funding authorizations now in 

effect. The controls would thus apply 

prospectively and only after the affected 

community has a sufficient opportunity 

to review and, as necessary, modify 

standard contract or funding 

authorization terms and conditions. The 

Department did not accept the 

recommendation of another party to 

limit the coverage of parts, components, 

accessories, and attachments in 

paragraph (c) to those listed in 

paragraph (f), as this would narrow the 

coverage in a manner unintended by the 

Department. The Department notes that 

this response also applies to comments 

received on this matter in the context of 

other USML categories and provisions 

of the ITAR (e.g., USML Category XX 

and ITAR § 121.14, elsewhere in this 

rule). 

Three commenting parties 

recommended the Department address 

and correct for any unintended 

consequences in revised ITAR 

§ 121.15(a)(6) providing for the control 

of surface vessels of war that 

incorporate USML-controlled mission 

systems, a provision that may control 

vessels the Department intends for the 

transfer of export jurisdiction to the 

Department of Commerce. While the 

issue of the control of USML items in 

600 series end-items will be addressed 

in a future policy statement, the 

Department has revised the definition of 

‘‘mission systems’’ to include only those 

‘‘systems’’ that are defense articles. The 

Department notes that this response also 

applies to comments received on this 

matter in the context of other USML 

categories and provisions of the ITAR 

(e.g., USML Category XX and ITAR 

§ 121.14, elsewhere in this rule). 

One commenting party recommended 

clarifying the regulation to not control 

decommissioned and demilitarized 

surface vessels of war manufactured 

prior to a certain date to avoid 

controlling ‘‘historic’’ vessels, such as 

the U.S.S. Constitution. The Department 

has accepted this recommendation in 

part, and has noted in ITAR § 121.15 

that demilitarized surface vessels of war 

manufactured prior to 1950 are not 

subject to the USML. Decommissioned 

vessels may retain their military 

capabilities, and therefore are not 

excluded from USML control on that 

basis. 

In response to one commenting 

party’s recommendation, the 

Department has clarified that ‘‘hulls’’ 

and ‘‘superstructures’’ include ‘‘support 

structures.’’ The Department notes that 

unformed steel plating would be 

controlled based on the control of the 

material itself (see USML Category XIII, 

Materials and Miscellaneous Articles, 

elsewhere in this rule). 

One commenting party recommended 

clarification of the 12.5% or greater 

damage threshold for hulls or 

superstructures. The damage threshold 

is a measurement based on length 

between perpendiculars (LBP). The LBP 

is a standard naval architecture term of 

reference that refers to the length of a 

vessel along the waterline from the 

forward surface of the stem, or main 

bow perpendicular member, to the after 

surface of the sternpost, or main stern 

perpendicular member. The regulation 

covers vessels that are specially 

designed to survive damage defined by 

a shell opening centered at any point 

along the hull where the longitudinal 

extent of the shell opening is equivalent 

to 12.5% of LBP or greater. 

Revision of USML Category VII 

This final rule revises USML Category 

VII, covering ground vehicles, to more 

accurately describe the articles within 

the category and to establish a clearer 

line between the USML and the CCL 

regarding controls over these articles. 

The revision narrows the types of 

ground vehicles controlled on the 

USML to only those that warrant control 

under the requirements of the AECA. 

Changes include the removal of most 

unarmored and unarmed military 

vehicles, trucks, trailers, and trains 

(unless specially designed as firing 

platforms for weapons above .50 

caliber), and armored vehicles (either 

unarmed or with inoperable weapons) 

manufactured before 1956. Engines 

formerly controlled in paragraph (f) are 

now covered in revised USML Category 

XIX, published April 16, 2013 (see 78 

FR 22740) or subject to the EAR in 

ECCN 0A606 (see 78 FR 22660). In 

addition, articles common to the MTCR 

Annex and articles in this category are 

identified with the parenthetical ‘‘(MT)’’ 

at the end of each section containing 

such articles. 

A significant aspect of the revised 

USML Category VII is that it does not 

contain controls on all generic parts, 

components, accessories, and 

attachments that are specifically 

designed or modified for a defense 

article, regardless of their significance to 

maintaining a military advantage for the 

United States. Rather, it contains a 

positive list of specific types of parts, 

components, accessories, and 

attachments that continue to warrant 

control on the USML. All other parts, 

components, accessories, and 

attachments are subject to the new 600 

series controls in Category 0 of the CCL 

(see the Department of Commerce rule 

elsewhere in this issue of the Federal 

Register). 

A new ‘‘(x) paragraph’’ has been 

added to USML Category VII, allowing 

ITAR licensing for commodities, 

software, and technical data subject to 

the EAR provided those commodities, 


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40924 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 

software, and technical data are to be 

used in or with defense articles 

controlled in USML Category VII and 

are described in the purchase 

documentation submitted with the 

application. 

This rule also establishes a definition 

for ground vehicles in ITAR § 121.4. 

This revision of USML Category VII 

was published as a proposed rule (RIN 

1400–AC77) on December 6, 2011, for 

public comment (see 76 FR 7611). The 

comment period ended January 20, 

2012. Five parties filed comments 

recommending changes, which were 

thoroughly reviewed and considered by 

the Department and other agencies. The 

Department’s evaluation of the written 

comments and recommendations 

follows. 

The Department received proposals 

for alternative phrasing of the regulatory 

text in USML Category VII and ITAR 

§ 121.4. When the recommended 

changes added to the clarity of the 

regulation and were congruent with ECR 

objectives, the Department accepted 

them. 

One commenting party recommended 

providing an explanation of or reference 

for the phrase ‘‘rated class 60 or above’’ 

in paragraph (g)(9), to assist the exporter 

with interpretation. The Department 

notes there are numerous instances in 

the regulation where technical 

terminology is used. Such terminology 

is indispensible in the effort to provide 

a more descriptive and ‘‘positive’’ U.S. 

Munitions List. While the Department 

strives for simplicity and clarity in the 

regulation, and acknowledges that some 

of the terminology may be inscrutable to 

those without the proper knowledge 

base, the provision of layman’s 

explanation of all technical parameters 

would make for a voluminous and 

unwieldy regulation. 

One commenting party recommended 

revising paragraph (g)(11) to more 

specifically identify which kits should 

be controlled on the USML. The 

Department believes it has sufficiently 

described the articles meant to be 

controlled in that paragraph. For those 

in the public who disagree on the 

wording of a particular regulation 

because they believe it does not 

sufficiently describe the article to be 

controlled, the Department urges the 

submission of alternative text or criteria 

using the contact information in the 

‘‘For Further Information’’ section. Any 

such comments will be evaluated for 

possible addition in a future 

rulemaking. 

Revision of USML Category XIII 

This final rule revises USML Category 

XIII, covering materials and 

miscellaneous articles, to more 

accurately describe the articles within 

the category and to establish a clearer 

line between the USML and the CCL 

regarding controls over these articles. 

Paragraph (c) is removed and placed 

in reserve; the articles formerly 

controlled there (i.e., self-contained 

diving and underwater breathing 

apparatus) are controlled in ECCN 

8A620.f. Paragraphs (d), (e), (g), and (h) 

are reorganized and expanded to better 

describe the articles controlled therein. 

Paragraph (f) is re-designated to cover 

articles that are classified. The articles 

in the former paragraph (f) (i.e., 

structural materials) are controlled in 

ECCN 0C617, revised USML Categories 

VI, VII, and VIII, and in paragraphs (d), 

(e), and new paragraph (f) of USML 

Category XIII. Paragraph (i) is redesignated to control signature 

reduction software, with embrittling 

agents (formerly controlled in paragraph 

(i)) moving to the CCL under ECCN 

0A617.f. Paragraph (m) is amended to 

reflect the revisions made throughout 

this category. In addition, articles 

common to the MTCR Annex and 

articles in this category are identified 

with the parenthetical ‘‘(MT)’’ at the end 

of each section containing such articles. 

A new ‘‘(x) paragraph’’ has been 

added to USML Category XIII, allowing 

ITAR licensing for commodities, 

software, and technical data subject to 

the EAR provided those commodities, 

software, and technical data are to be 

used in or with defense articles 

controlled in USML Category XIII and 

are described in the purchase 

documentation submitted with the 

application. 

Although the articles controlled in 

paragraph (a) (i.e., cameras and 

specialized processing equipment) are 

to controlled elsewhere on the USML 

and on the CCL, they will remain 

controlled in paragraph (a) until the 

Department publishes a final rule for 

USML Category XII and the Department 

of Commerce publishes its companion 

rule. 

This revision of USML Category XIII 

was published as a proposed rule (RIN 

1400–AD13) on May 18, 2012, for public 

comment (see 77 FR 29575). The 

comment period ended July 2, 2012. 

Ten parties filed comments 

recommending changes, which were 

reviewed and considered by the 

Department and other agencies. The 

Department’s evaluation of the written 

comments and recommendations 

follows. 

The Department received proposals 

for alternative phrasing of the regulatory 

text in USML Category XIII. When the 

recommended changes added to the 

clarity of the regulation and were 

congruent with ECR objectives, the 

Department accepted them. 

One commenting party recommended 

removal of the phrase, ‘‘specially 

designed for military applications,’’ 

from the introduction to paragraph (b) 

because an item should not be 

controlled on the USML merely because 

the military may be the first entity to 

purchase or use the item. The 

Department agrees that an item should 

not be considered a defense article 

based on first use by the military, and 

believes that appropriate application of 

the specially designed definition will 

work toward the preclusion of this 

occurrence. But the Department also 

notes that whether an item is specially 

designed for a military application and 

which sector (military or commercial) 

has established first purchases are two 

separate matters. Separately, the 

Department has accepted the 

recommendation to remove the phrase 

‘‘specially designed for a military 

application’’ because it is superfluous. 

One commenting party suggested that 

the parenthetical, ‘‘e.g., command, 

control, and communications (C3), and 

government intelligence applications,’’ 

in the introduction to paragraph (b) is 

unnecessary, as the regulation lists, or 

should list, all articles to be controlled. 

The Department has removed the 

example, but has added ‘‘intelligence’’ 

as a description of the articles 

controlled in the paragraph. 

Three commenting parties 

recommended the provision of specific 

criteria for discerning the threshold 

between military and non-military 

articles in paragraph (b). The 

Department acknowledges that the 

control of these items requires review, 

and that this aspect of the regulation 

requires further development, but at this 

point publishes the regulation largely as 

provided in the proposed rule. 

The Department has revised 

paragraph (b)(4) by providing criteria to 

clarify the scope of the regulation, as 

recommended by two commenting 

parties. 

In response to the recommendation of 

one commenting party for clarity of 

purpose in paragraph (d), the 

Department has removed the word 

‘‘ablative’’ from the introduction. 

Three commenting parties 

recommended that developmental 

armor funded by a Department of 

Defense contract should not be 

automatically controlled under the 

ITAR. The Department has qualified the 

regulation by stipulating that the USML 

does not control developmental armor 

determined to be subject to the EAR via 

a commodity jurisdiction determination 


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Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 40925 

or identified in the relevant Department 

of Defense contract as being developed 

for both civil and military applications. 

The Department accepted the 

recommendation of three commenting 

parties for identification of a lower-limit 

criterion for the provided parameter in 

paragraph (g)(1), and has revised the 

regulation accordingly. 

Four commenting parties 

recommended control on the CCL as 

more appropriate for energy conversion 

devices controlled in paragraph (h). The 

Department has not accepted this 

recommendation, but has narrowed the 

control on thermionic generators 

covered in that paragraph. 

The Department accepted the 

recommendation of five commenting 

parties to specifically indicate that the 

signature reduction software controlled 

in paragraph (i) be directly related to 

reducing the ability to detect a defense 

article, and has revised the regulation 

accordingly. 

In response to the recommendation of 

one commenting party, laser eye-safe 

media will be controlled in revised 

USML Category X rather than in 

paragraph (j), and comments regarding 

the appropriate control criteria for those 

articles will be discussed in that rule. 

Two commenting parties 

recommended deletion of paragraph (k), 

which controls certain tooling and 

equipment, saying it is unnecessary 

(because technical data controls 

elsewhere in the ITAR would cover the 

items) or too broad in scope 

(commercial items would be captured). 

The Department believes the regulation 

is appropriately phrased to control only 

the articles intended to be captured. In 

addition, the reason for the control goes 

beyond related technical data; the 

Department wants to control these items 

for their intended function. For these 

reasons, the Department did not accept 

the recommendation of another 

commenting party to transfer 

jurisdiction over these articles to the 

Department of Commerce. 

One commenting party recommended 

the removal from paragraph (m) 

description of the term ‘‘electromagnetic 

armor,’’ as it is not included in this 

category. The Department accepted this 

recommendation in part, and has 

included a note to USML Category 

VII(g)(6) to point to the definitions in 

USML Category XIII(m). 

Revision of USML Category XX 

This final rule revises USML Category 

XX, covering submersible vessels and 

related articles. The revision accounts 

for the movement of submarines from 

USML Category VI and consolidates the 

controls that apply to all submersible 

vessels in a single category. In addition, 

naval nuclear propulsion power plants 

for submersible vessels controlled under 

USML Category XX, formerly controlled 

under USML Category VI(e), are now 

controlled under USML Category XX(b). 

In addition, articles common to the 

MTCR Annex and articles in this 

category are identified with the 

parenthetical ‘‘(MT)’’ at the end of each 

section containing such articles. 

Revised USML Category XX controls 

only those parts, components, 

accessories, and attachments that are 

specially designed for a defense article 

controlled therein. All other parts, 

components, accessories, and 

attachments become subject to the new 

600 series controls in Category 8 of the 

CCL published separately by the 

Department of Commerce (see elsewhere 

in this issue of the Federal Register). 

A new ‘‘(x) paragraph’’ has been 

added to USML Category XX, allowing 

ITAR licensing for commodities, 

software, and technical data subject to 

the EAR provided those commodities, 

software, and technical data are to be 

used in or with defense articles 

controlled in USML Category XX and 

are described in the purchase 

documentation submitted with the 

application. 

This rule also creates ITAR § 121.14 to 

more clearly define ‘‘submersible 

vessels and related articles,’’ and makes 

conforming edits to ITAR §§ 123.20, 

124.2, and 125.1 (nuclear related 

controls). 

This revision of USML Category XX 

was first published as a proposed rule 

(RIN 1400–AD01) on December 23, 

2011, for public comment (see 76 FR 

80305). The comment period ended 

February 6, 2012. Six parties filed 

comments recommending changes, 

which were reviewed and considered by 

the Department and other agencies. The 

Department’s evaluation of the written 

comments and recommendations 

follows. 

The Department received proposals 

for alternative phrasing of the regulatory 

text in USML Category XX and ITAR 

§ 121.14. When the recommended 

changes added to the clarity of the 

regulation and were congruent with ECR 

objectives, the Department accepted 

them. 

One commenting party recommended 

revising paragraph (c) to list the parts, 

components, accessories, attachments, 

and associated equipment controlled 

therein, rather than provide for the 

control of these articles that are 

specially designed for the articles in 

paragraphs (a) and (b) of USML Category 

XX. Because of the specialized and 

sensitive application of the articles 

controlled in USML Category XX, the 

Department did not enumerate the parts, 

components, accessories, attachments, 

and associated equipment for these 

articles. 

Definition for Maintenance Levels 

This final rule provides definitions for 

‘‘organizational-level maintenance,’’ 

‘‘intermediate-level maintenance,’’ and 

‘‘depot-level maintenance.’’ 

These definitions were published for 

public comment on April 13, 2011, 

along with a proposed revision of the 

definition for ‘‘defense service’’ (RIN 

1400–AC80, see 76 FR 20590. Revision 

of the defense service definition was the 

subject of another proposed rule. Please 

see 78 FR 31444). The comment period 

ended June 13, 2011. Thirty-nine parties 

filed comments recommending changes 

to the rule, which were reviewed and 

considered by the Department and other 

agencies. The Department’s evaluation 

of the written comments and 

recommendations follows (the 

Department notes that comments 

bearing more on the definitions of 

defense service and public domain will 

be addressed in those respective rules). 

Three commenting parties 

recommended that the definitions of 

maintenance levels proposed in ITAR 

§ 120.38 should be replaced with the 

definitions already established by the 

Department of Defense in DoD Directive 

4151.18, ‘‘Maintenance of Military 

Materiel,’’ to avoid confusion and 

maintain consistency. While the 

Department did not accept this 

recommendation, it notes that the 

definitions are very similar. Certain 

differences among the two sets of 

definitions include a description of the 

types of maintenance services in the 

Department’s definition for depot-level 

maintenance, and not providing for the 

manufacturing of unavailable parts in its 

definition for intermediate-level 

maintenance. 

Nine commenting parties 

recommended revising the definitions to 

focus on the nature or complexity of the 

service performed or the specialized 

skills and knowledge required in the 

performance of the maintenance rather 

than specifying where and by whom the 

service is performed. The Department 

accepted this recommendation in part. 

While the Department believes the 

nature and complexity of the services 

are distinguished by the three levels, it 

was not the intent to limit who may 

provide the services or where they may 

be provided. The Department revised 

the definitions accordingly. 

One commenting party recommended 

inclusion of the phrase, ‘‘enhancements 

that do not improve military capability 


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other than to enhance part life-cycle, 

reliability, or increase time between 

maintenance cycle checks,’’ in all three 

defined maintenance levels, to reflect 

the fact that component improvement 

programs are common for hardware 

with long lifecycles. The Department 

accepted this comment and revised the 

definitions accordingly. 

One commenting party recommended 

defining the terms ‘‘extensive 

equipment’’ and ‘‘higher technical 

skill,’’ included in the definition for 

depot-level maintenance, as they are 

subjective. The Department accepted 

this recommendation in part. To 

minimize subjectivity, the Department 

replaced ‘‘extensive’’ with ‘‘necessary’’ 

and ‘‘higher technical’’ with ‘‘requisite.’’ 

One commenting party recommended 

removal of the phrase ‘‘assigned to the 

inventory of the end-user unit’’ in the 

definition of organizational-level 

maintenance because this would require 

the applicant to verify that equipment is 

in a foreign military inventory before 

performing the maintenance. The 

Department accepted this comment and 

has revised the definition accordingly. 

Adoption of Proposed Rules and Other 

Changes 

Having reviewed and evaluated the 

comments and recommended changes 

for the USML Category VI, USML 

Category VII, USML Category XIII, and 

USML Category XX proposed rules, and 

for the definition for maintenance 

levels, the Department has determined 

that it will, and hereby does, adopt 

them, with changes noted and other 

edits, and promulgates them in final 

form under this rule. 

Regulatory Analysis and Notices 

Administrative Procedure Act 

The Department of State is of the 

opinion that controlling the import and 

export of defense articles and services is 

a foreign affairs function of the United 

States Government and that rules 

implementing this function are exempt 

from sections 553 (rulemaking) and 554 

(adjudications) of the Administrative 

Procedure Act (APA). Although the 

Department is of the opinion that this 

rule is exempt from the rulemaking 

provisions of the APA, the Department 

has published this rule as separate 

proposed rules identified as 1400– 

AC77, 1400–AC80, 1400–AC99, 1400– 

AD01, and 1400–AD13, each with a 45- 

or 60-day provision for public comment 

and without prejudice to its 

determination that controlling the 

import and export of defense services is 

a foreign affairs function. 

Regulatory Flexibility Act 

Since the Department is of the 

opinion that this rule is exempt from the 

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

requirement for an analysis under the 

Regulatory Flexibility Act. 

Unfunded Mandates Reform Act of 1995 

This rulemaking does not involve a 

mandate that will result in the 

expenditure by State, local, and tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

in any year and it will not significantly 

or uniquely affect small governments. 

Therefore, no actions were deemed 

necessary under the provisions of the 

Unfunded Mandates Reform Act of 

1995. 

Small Business Regulatory Enforcement 

Fairness Act of 1996 

For purposes of the Small Business 

Regulatory Enforcement Fairness Act of 

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

rule that the Administrator of the OMB 

Office of Information and Regulatory 

Affairs finds has resulted or is likely to 

result in (1) an annual effect on the 

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

major increase in costs or prices for 

consumers, individual industries, 

federal, state, or local government 

agencies, or geographic regions; or (3) 

significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of United States-based 

enterprises to compete with foreignbased enterprises in domestic and 

foreign markets. 

The Department does not believe this 

rulemaking will have an annual effect 

on the economy of $100,000,000 or 

more. Articles that are being removed 

from coverage in the U.S. Munitions List 

categories contained in this rule will 

still require licensing for export, but 

from the Department of Commerce. 

While the licensing regime of the 

Department of Commerce is more 

flexible than that of the Department of 

State, it is not expected that the change 

in jurisdiction of these articles will 

result in an export difference of 

$100,000,000 or more. 

The Department also does not believe 

that this rulemaking will result in a 

major increase in costs or prices for 

consumers, individual industries, 

federal, state, or local government 

agencies, or geographic regions, or have 

significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of United States-based 

enterprises to compete with foreignbased enterprises in domestic and 

foreign markets. 

Executive Orders 12372 and 13132 

This rulemaking will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. Therefore, in 

accordance with Executive Order 13132, 

it is determined that this rulemaking 

does not have sufficient federalism 

implications to require consultations or 

warrant the preparation of a federalism 

summary impact statement. The 

regulations implementing Executive 

Order 12372 regarding 

intergovernmental consultation on 

Federal programs and activities do not 

apply to this rulemaking. 

Executive Orders 12866 and 13563 

Executive Orders 12866 and 13563 

direct agencies to assess costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributed impacts, and equity). 

These executive orders stress the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rulemaking has been 

designated a ‘‘significant regulatory 

action,’’ although not economically 

significant, under section 3(f) of 

Executive Order 12866. Accordingly, 

this rule has been reviewed by the 

Office of Management and Budget 

(OMB). 

Executive Order 12988 

The Department of State has reviewed 

this rulemaking in light of sections 3(a) 

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

eliminate ambiguity, minimize 

litigation, establish clear legal 

standards, and reduce burden. 

Executive Order 13175 

The Department of State has 

determined that this rulemaking will 

not have tribal implications, will not 

impose substantial direct compliance 

costs on Indian tribal governments, and 

will not pre-empt tribal law. 

Accordingly, the requirement of 

Executive Order 13175 does not apply 

to this rulemaking. 

Paperwork Reduction Act 

Following is a listing of approved 

collections that will be affected by 

revision, pursuant to the President’s 

Export Control Reform (ECR) initiative, 

of the U.S. Munitions List (USML) and 

the Commerce Control List. This final 


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rule continues the implementation of 

ECR. Other final rules will follow. The 

list of collections and the description of 

the manner in which they will be 

affected pertains to revision of the 

USML in its entirety, not only to the 

categories published in this rule: 

(1) Statement of Registration, DS– 

2032, OMB No. 1405–0002. The 

Department estimates that between 

3,000 and 5,000 of the currentlyregistered persons will not need to 

maintain registration following full 

revision of the USML. This would result 

in a burden reduction of between 6,000 

and 10,000 hours annually, based on a 

revised time burden of two hours to 

complete a Statement of Registration. 

(2) Application/License for Permanent 

Export of Unclassified Defense Articles 

and Related Unclassified Technical 

Data, DSP–5, OMB No. 1405–0003. The 

Department estimates that there will be 

35,000 fewer DSP–5 submissions 

annually following full revision of the 

USML. This would result in a burden 

reduction of 35,000 hours annually. In 

addition, the DSP–5 will allow 

respondents to select USML Category 

XIX, a newly-established category, as a 

description of articles to be exported. 

(3) Application/License for 

Temporary Import of Unclassified 

Defense Articles, DSP–61, OMB No. 

1405–0013. The Department estimates 

that there will be 200 fewer DSP–61 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 100 hours 

annually. In addition, the DSP–61 will 

allow respondents to select USML 

Category XIX, a newly-established 

category, as a description of articles to 

be temporarily imported. 

(4) Application/License for 

Temporary Export of Unclassified 

Defense Articles, DSP–73, OMB No. 

1405–0023. The Department estimates 

that there will be 800 fewer DSP–73 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 800 hours 

annually. In addition, the DSP–73 will 

allow respondents to select USML 

Category XIX, a newly-established 

category, as a description of articles to 

be temporarily exported. 

(5) Application for Amendment to 

License for Export or Import of 

Classified or Unclassified Defense 

Articles and Related Technical Data, 

DSP–6, –62, –74, –119, OMB No. 1405– 

0092. The Department estimates that 

there will be 2,000 fewer amendment 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 1,000 hours 

annually. In addition, the amendment 

forms will allow respondents to select 

USML Category XIX, a newlyestablished category, as a description of 

the articles that are the subject of the 

amendment request. 

(6) Request for Approval of 

Manufacturing License Agreements, 

Technical Assistance Agreements, and 

Other Agreements, DSP–5, OMB No. 

1405–0093. The Department estimates 

that there will be 1,000 fewer agreement 

submissions annually following full 

revision of the USML. This would result 

in a burden reduction of 2,000 hours 

annually. In addition, the DSP–5, the 

form used for the purposes of 

electronically submitting agreements, 

will allow respondents to select USML 

Category XIX, a newly-established 

category, as a description of articles to 

be exported. 

(7) Maintenance of Records by 

Registrants, OMB No. 1405–0111. The 

requirement to actively maintain 

records pursuant to provisions of the 

International Traffic in Arms 

Regulations (ITAR) will decline 

commensurate with the drop in the 

number of persons who will be required 

to register with the Department 

pursuant to the ITAR. As stated above, 

the Department estimates that between 

3,000 and 5,000 of the currentlyregistered persons will not need to 

maintain registration following full 

revision of the USML. This would result 

in a burden reduction of between 60,000 

and 100,000 hours annually. However, 

the ITAR does provide for the 

maintenance of records for a period of 

five years. Therefore, persons newly 

relieved of the requirement to register 

with the Department may still be 

required to maintain records. 

(8) Export Declaration of Defense 

Technical Data or Services, DS–4071, 

OMB No. 1405–0157. The Department 

estimates that there will be 2,000 fewer 

declaration submissions annually 

following full revision of the USML. 

This would result in a burden reduction 

of 1,000 hours annually. 

List of Subjects 

22 CFR Parts 120, 121, and 125 

Arms and munitions, Classified 

information, Exports. 

22 CFR Part 123 

Arms and munitions, Exports, 

Reporting and recordkeeping 

requirements. 

22 CFR Part 124 

Arms and munitions, Exports, 

Technical assistance. 

Accordingly, for the reasons set forth 

above, Title 22, Chapter I, Subchapter 

M, parts 120, 121, 123, 124, and 125 are 

amended as follows: 

PART 120—PURPOSE AND 

DEFINITIONS 

■ 1. The authority citation for part 120 

continues to read as follows: 

Authority: Sections 2, 38, and 71, Pub. L. 

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

2797); 22 U.S.C. 2794; 22 U.S.C. 2651a; Pub. 

L. 105–261, 112 Stat. 1920; Pub. L. 111–266; 

Section 1261, Pub. L. 112–239; E.O. 13637, 

78 FR 16129. 

■ 2. Section 120.38 is added to read as 

follows: 

§ 120.38 Maintenance levels. 

(a) Organizational-level maintenance 

(or basic-level maintenance) is the first 

level of maintenance that can be 

performed ‘‘on-equipment’’ (directly on 

the defense article or support 

equipment) without specialized 

training. It consists of repairing, 

inspecting, servicing, calibrating, 

lubricating, or adjusting equipment, as 

well as replacing minor parts, 

components, assemblies, and linereplaceable spares or units. This 

includes modifications, enhancements, 

or upgrades that would result in 

improving only the reliability or 

maintainability of the commodity (e.g., 

an increased mean time between failure 

(MTBF)) and does not enhance the basic 

performance or capability of the defense 

article. 

(b) Intermediate-level maintenance is 

second-level maintenance performed 

‘‘off-equipment’’ (on removed parts, 

components, or equipment) at or by 

designated maintenance shops or 

centers, tenders, or field teams. It may 

consist of calibrating, repairing, testing, 

or replacing damaged or unserviceable 

parts, components, or assemblies. This 

includes modifications, enhancements, 

or upgrades that would result in 

improving only the reliability or 

maintainability of the commodity (e.g., 

an increased mean time between failure 

(MTBF)) and does not enhance the basic 

performance or capability of the defense 

article. 

(c) Depot-level maintenance is thirdlevel maintenance performed on- or offequipment at or by a major repair 

facility, shipyard, or field team, each 

with necessary equipment and 

personnel of requisite technical skill. It 

consists of providing evaluation or 

repair beyond unit or organization 

capability. This maintenance consists of 

inspecting, testing, calibrating, 

repairing, overhauling, refurbishing, 

reconditioning, and one-to-one 

replacing of any defective parts, 

components or assemblies. This 


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includes modifications, enhancements, 

or upgrades that would result in 

improving only the reliability or 

maintainability of the commodity (e.g., 

an increased mean time between failure 

(MTBF)) and does not enhance the basic 

performance or capability of the defense 

article. 

PART 121—THE UNITED STATES 

MUNITIONS LIST 

■ 3. The authority citation for part 121 

continues to read as follows: 

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

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

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

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

E.O. 13637, 78 FR 16129. 

■ 4. Section 121.1 is amended by 

revising U.S. Munitions List Categories 

VI, VII, XIII, and XX to read as follows: 

§ 121.1 General. The United States 

Munitions List. 

* * * * * 

Category VI—Surface Vessels of War 

and Special Naval Equipment 

* (a) Warships and other combatant 

vessels (see § 121.15 of this subchapter). 

(b) Other vessels not controlled in 

paragraph (a) of this category (see 

§ 121.15 of this subchapter). 

(c) Developmental vessels and 

specially designed parts, components, 

accessories, and attachments therefor 

funded by the Department of Defense 

via contract or other funding 

authorization. 

Note 1 to paragraph (c): This paragraph 

does not control developmental vessels and 

specially designed parts, components, 

accessories, and attachments therefor (a) in 

production, (b) determined to be subject to 

the EAR via a commodity jurisdiction 

determination (see § 120.4 of this 

subchapter), or (c) identified in the relevant 

Department of Defense contract or other 

funding authorization as being developed for 

both civil and military applications. 

Note 2 to paragraph (c): Note 1 does not 

apply to defense articles enumerated on the 

U.S. Munitions List, whether in production 

or development. 

Note 3 to paragraph (c): This provision is 

applicable to those contracts and funding 

authorizations that are dated one year or later 

following the publication of the rule, 

‘‘Amendment to the International Traffic in 

Arms Regulations: Continued 

Implementation of Export Control Reform,’’ 

RIN 140–AD40. 

(d) [Reserved] 

* (e) Naval nuclear propulsion plants 

and prototypes, and special facilities for 

construction, support, and maintenance 

therefor (see § 123.20 of this 

subchapter). 

(f) Vessel and naval equipment, parts, 

components, accessories, attachments, 

associated equipment, and systems, as 

follows: 

(1) Hulls or superstructures, including 

support structures therefor, that: 

(i) Are specially designed for any 

vessels controlled in paragraph (a) of 

this category; 

(ii) Have armor, active protection 

systems, or developmental armor 

systems; or 

(iii) Are specially designed to survive 

12.5% or greater damage across the 

length as measured between 

perpendiculars; 

(2) Systems that manage, store, create, 

distribute, conserve, and transfer 

energy, and specially designed parts and 

components therefor, that have: 

(i) Storage exceeding 30MJ; 

(ii) A discharge rate less than 3 

seconds; and 

(iii) A cycle time under 45 seconds; 

(3) Shipborne auxiliary systems for 

chemical, biological, radiological, and 

nuclear (CBRN) compartmentalization, 

over-pressurization and filtration 

systems, and specially designed parts 

and components therefor; 

*(4) Control and monitoring systems 

for autonomous unmanned vessels 

capable of on-board, autonomous 

perception and decision-making 

necessary for the vessel to navigate 

while avoiding fixed and moving 

hazards, and obeying rules-of-the road 

without human intervention; 

* (5) Any machinery, device, 

component, or equipment, including 

production, testing and inspection 

equipment, and tooling, specially 

designed for plants or facilities 

controlled in paragraph (e) of this 

section (see § 123.20 of this subchapter); 

(6) Parts, components, accessories, 

attachments, and equipment specially 

designed for integration of articles 

controlled by USML Categories II, IV, or 

XVIII or catapults for launching aircraft 

or arresting gear for recovering aircraft 

(MT for launcher mechanisms specially 

designed for rockets, space launch 

vehicles, or missiles capable of 

achieving a range greater than or equal 

to 300 km); 

Note to paragraph (f)(6): ‘‘Range’’ is the 

maximum distance that the specified rocket 

system is capable of traveling in the mode of 

stable flight as measured by the projection of 

its trajectory over the surface of the Earth. 

The maximum capability based on the design 

characteristics of the system, when fully 

loaded with fuel or propellant, will be taken 

into consideration in determining range. The 

range for rocket systems will be determined 

independently of any external factors such as 

operational restrictions, limitations imposed 

by telemetry, data links, or other external 

constraints. For rocket systems, the range 

will be determined using the trajectory that 

maximizes range, assuming International 

Civil Aviation Organization (ICAO) standard 

atmosphere with zero wind. 

(7) Shipborne active protection 

systems (i.e., defensive systems that 

actively detect and track incoming 

threats and launch a ballistic, explosive, 

energy, or electromagnetic 

countermeasure(s) to neutralize the 

threat prior to contact with a vessel) and 

specially designed parts and 

components therefor; 

(8) Minesweeping and mine hunting 

equipment (including mine 

countermeasures equipment deployed 

by aircraft) and specially designed parts 

and components therefor; or 

* (9) Any part, component, accessory, 

attachment, equipment, or system that: 

(i) Is classified; 

(ii) Contains classified software 

directly related to defense articles in 

this subchapter or 600 series items 

subject to the EAR; or 

(iii) Is being developed using 

classified information. ‘‘Classified’’ 

means classified pursuant to Executive 

Order 13526, or predecessor order, and 

a security classification guide developed 

pursuant thereto or equivalent, or to the 

corresponding classification rules of 

another government or international 

organization. 

Note 1 to paragraph (f): Parts, components, 

accessories, attachments, associated 

equipment, and systems specially designed 

for vessels enumerated in this category but 

not listed in paragraph (f) are subject to the 

EAR under ECCN 8A609. 

Note 2 to paragraph (f): For controls 

related to ship signature management, see 

also USML Category XIII. 

(g) Technical data (see § 120.10 of this 

subchapter) and defense services (see § 120.9 

of this subchapter) directly related to the 

defense articles enumerated in paragraphs (a) 

through (f) of this category and classified 

technical data directly related to items 

controlled in ECCNs 8A609, 8B609, 8C609, 

and 8D609 and defense services using the 

classified technical data. (MT for technical 

data and defense services related to articles 

designated as such.) 

(See § 125.4 of this subchapter for 

exemptions.) 

(h)–(w) [Reserved] 

(x) Commodities, software, and 

technical data subject to the EAR (see 

§ 120.42 of this subchapter) used in or 

with defense articles controlled in this 

category. 

Note to paragraph (x): Use of this 

paragraph is limited to license applications 

for defense articles controlled in this category 

where the purchase documentation includes 

commodities, software, or technical data 

subject to the EAR (see § 123.1(b) of this 

subchapter). 


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Category VII—Ground Vehicles 

* (a) Armored combat ground vehicles 

(see § 121.4 of this subchapter) as 

follows: 

(1) Tanks; or 

(2) Infantry fighting vehicles. 

* (b) Ground vehicles (not enumerated 

in paragraph (a) of this category) and 

trailers that are armed or are specially 

designed to serve as a firing or launch 

platform (see § 121.4 of this subchapter) 

(MT if specially designed for rockets, 

space launch vehicles, missiles, drones, 

or unmanned aerial vehicles capable of 

delivering a payload of at least 500 kg 

to a range of at least 300 km). 

(c) Ground vehicles and trailers 

equipped with any mission systems 

controlled under this subchapter (MT if 

specially designed for rockets, space 

launch vehicles, missiles, drones, or 

unmanned aerial vehicles capable of 

delivering a payload of at least 500 kg 

to a range of at least 300 km) (see § 121.4 

of this subchapter). 

Note to paragraphs (b) and (c): ‘‘Payload’’ 

is the total mass that can be carried or 

delivered by the specified rocket, space 

launch vehicle, missile, drone, or unmanned 

aerial vehicle that is not used to maintain 

flight. For definition of ‘‘range’’ as it pertains 

to aircraft systems, see note to paragraph (a) 

USML Category VIII. For definition of 

‘‘range’’ as it pertains to rocket systems, see 

note to paragraph (f)(6) of USML Category VI. 

(d) [Reserved] 

* (e) Armored support ground 

vehicles (see § 121.4 of this subchapter). 

(f) [Reserved] 

(g) Ground vehicle parts, components, 

accessories, attachments, associated 

equipment, and systems as follows: 

(1) Armored hulls, armored turrets, 

and turret rings; 

(2) Active protection systems (i.e., 

defensive systems that actively detect 

and track incoming threats and launch 

a ballistic, explosive, energy, or 

electromagnetic countermeasure(s) to 

neutralize the threat prior to contact 

with a vehicle) and specially designed 

parts and components therefor; 

(3) Composite armor parts and 

components specially designed for the 

vehicles in this category; 

(4) Spaced armor components and 

parts, including slat armor parts and 

components specially designed for the 

vehicles in this category; 

(5) Reactive armor parts and 

components; 

(6) Electromagnetic armor parts and 

components, including pulsed power 

specially designed parts and 

components therefor; 

Note to paragraphs (g)(3)–(6): See USML 

Category XIII(m)(1)–(4) for interpretations 

which explain and amplify terms used in 

these paragraphs. 

(7) Built in test equipment (BITE) to 

evaluate the condition of weapons or 

other mission systems for vehicles 

identified in this category, excluding 

equipment that provides diagnostics 

solely for a subsystem or component 

involved in the basic operation of the 

vehicle; 

(8) Gun mount, stabilization, turret 

drive, and automatic elevating systems, 

and specially designed parts and 

components therefor; 

(9) Self-launching bridge components 

rated class 60 or above for deployment 

by vehicles in this category; 

(10) Suspension components as 

follows: 

(i) Rotary shock absorbers specially 

designed for the vehicles weighing more 

than 30 tons in this category; or 

(ii) Torsion bars specially designed for 

the vehicles weighing more than 50 tons 

in this category; 

(11) Kits specially designed to convert 

a vehicle in this category into either an 

unmanned or a driver-optional vehicle. 

For a kit to be controlled by this 

paragraph, it must, at a minimum, 

include equipment for: 

(i) Remote or autonomous steering; 

(ii) Acceleration and braking; and 

(iii) A control system; 

(12) Fire control computers, mission 

computers, vehicle management 

computers, integrated core processers, 

stores management systems, armaments 

control processors, vehicle-weapon 

interface units and computers; 

(13) Test or calibration equipment for 

the mission systems of the vehicles in 

this category, except those enumerated 

elsewhere; or 

*(14) Any part, component, accessory, 

attachment, equipment, or system that 

(MT for those articles designated as 

such): 

(i) Is classified; 

(ii) Contains classified software 

directly related to defense articles in 

this subchapter or 600 series items 

subject to the EAR; or 

(iii) Is being developed using 

classified information. 

‘‘Classified’’ means classified 

pursuant to Executive Order 13526, or 

predecessor order, and a security 

classification guide developed pursuant 

thereto or equivalent, or to the 

corresponding classification rules of 

another government or international 

organization. 

Note to paragraph (g): Parts, components, 

accessories, attachments, associated 

equipment, and systems specially designed 

for vehicles in this category but not listed in 

paragraph (g) are subject to the EAR under 

ECCN 0A606. 

(h) Technical data (see § 120.10 of this 

subchapter) and defense services (see 

§ 120.9 of this subchapter) directly 

related to the defense articles 

enumerated in paragraphs (a) through 

(g) of this category and classified 

technical data directly related to items 

controlled in ECCNs 0A606, 0B606, 

0C606, and 0D606 and defense services 

using the classified technical data. (See 

§ 125.4 of this subchapter for 

exemptions.) (MT for technical data and 

defense services related to articles 

designated as such.) 

(i)–(w) [Reserved] 

(x) Commodities, software, and 

technical data subject to the EAR (see 

§ 120.42 of this subchapter) used in or 

with defense articles controlled in this 

category. 

Note to paragraph (x): Use of this 

paragraph is limited to license applications 

for defense articles controlled in this category 

where the purchase documentation includes 

commodities, software, or technical data 

subject to the EAR (see § 123.1(b) of this 

subchapter). 

* * * * * 

Category XIII— Materials and 

Miscellaneous Articles 

(a) Cameras and specialized 

processing equipment therefor, 

photointerpretation, stereoscopic 

plotting, and photogrammetry 

equipment which are specifically 

designed, developed, modified, adapted, 

or configured for military purposes, and 

components specifically designed or 

modified therefor. 

(b) Information security or 

information assurance systems and 

equipment, cryptographic devices, 

software, and components, as follows: 

(1) Military or intelligence 

cryptographic (including key 

management) systems, equipment, 

assemblies, modules, integrated circuits, 

components, and software (including 

their cryptographic interfaces) capable 

of maintaining secrecy or confidentiality 

of information or information systems, 

including equipment or software for 

tracking, telemetry, and control (TT&C) 

encryption and decryption; 

(2) Military or intelligence 

cryptographic (including key 

management) systems, equipment, 

assemblies, modules, integrated circuits, 

components, and software (including 

their cryptographic interfaces) capable 

of generating spreading or hopping 

codes for spread spectrum systems or 

equipment; 

(3) Military or intelligence 

cryptanalytic systems, equipment, 

assemblies, modules, integrated circuits, 

components and software; 

(4) Military or intelligence systems, 

equipment, assemblies, modules, 


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40930 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 

integrated circuits, components, or 

software (including all previous or 

derived versions) authorized to control 

access to or transfer data between 

different security domains as listed on 

the Unified Cross Domain Management 

Office (UCDMO) Control List (UCL); or 

(5) Ancillary equipment specially 

designed for the articles in paragraphs 

(b)(1)–(b)(4) of this category. 

(c) [Reserved] 

(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 (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 

(2) Carbon/carbon billets and 

preforms that are reinforced with 

continuous unidirectional fibers, tows, 

tapes, or woven cloths in three or more 

dimensional planes (MT if designed for 

rocket, SLV, or missile systems and 

usable in rockets, SLVs, or missiles 

capable of achieving a range greater than 

or equal to 300 km). 

Note to paragraph (d): ‘‘Range’’ is the 

maximum distance that the specified rocket 

system is capable of traveling in the mode of 

stable flight as measured by the projection of 

its trajectory over the surface of the Earth. 

The maximum capability based on the design 

characteristics of the system, when fully 

loaded with fuel or propellant, will be taken 

into consideration in determining range. The 

range for rocket systems will be determined 

independently of any external factors such as 

operational restrictions, limitations imposed 

by telemetry, data links, or other external 

constraints. For rocket systems, the range 

will be determined using the trajectory that 

maximizes range, assuming International 

Civil Aviation Organization (ICAO) standard 

atmosphere with zero wind. 

Note to paragraph (d)(2): This paragraph 

does not control carbon/carbon billets and 

preforms where reinforcement in the third 

dimension is limited to interlocking of 

adjacent layers only. 

(e) Armor (e.g., organic, ceramic, 

metallic) and armor materials, as 

follows: 

(1) Spaced armor with Em greater than 

1.4 and meeting NIJ Level III or better; 

(2) Transparent armor having Em

greater than or equal to 1.3 or having Em

less than 1.3 and meeting and exceeding 

NIJ Level III standards with areal 

density less than or equal to 40 pounds 

per square foot; 

(3) Transparent ceramic plate greater 

than 1⁄4 inch-thick and larger than 8 

inches x 8 inches, excluding glass, for 

transparent armor; 

(4) Non-transparent ceramic plate or 

blanks, greater than 1⁄4 inches thick and 

larger than 8 inches x 8 inches for 

transparent armor. This includes spinel 

and aluminum oxynitride (ALON); 

(5) Composite armor with Em greater 

than 1.4 and meeting or exceeding NIJ 

Level III; 

(6) Metal laminate armor with Em

greater than 1.4 and meeting or 

exceeding NIJ Level III; or 

(7) Developmental armor funded by 

the Department of Defense via contract 

or other funding authorization. 

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

does not control developmental armor (a) in 

production, (b) determined to be subject to 

the EAR via a commodity jurisdiction 

determination (see § 120.4 of this 

subchapter), or (c) identified in the relevant 

Department of Defense contract or other 

funding authorization as being developed for 

both civil and military applications. 

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

apply to defense articles enumerated on the 

USML, whether in production or 

development. 

Note 3 to paragraph (e)(7): This provision 

is applicable to those contracts and funding 

authorizations that are dated one year or later 

following the publication of the rule, 

‘‘Amendment to the International Traffic in 

Arms Regulations: Continued 

Implementation of Export Control Reform,’’ 

RIN 140–AD40. 

*(f) Any article enumerated in this 

category that (MT for those articles 

designated as such): 

(i) Is classified; 

(ii) Contains classified software 

directly related to defense articles in 

this subchapter or 600 series items 

subject to the EAR; or 

(iii) Is being developed using 

classified information. 

‘‘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. 

*(g) Concealment and deception 

equipment, as follows (MT for 

applications usable for rockets, SLVs, 

missiles, drones, or unmanned aerial 

vehicles (UAVs) capable of achieving a 

range greater than or equal to 300 km 

and their subsystems. See note to 

paragraph (d) of this category): 

(1) Polymers loaded with carbonyl 

iron powder, ferrites, iron whiskers, 

fibers, flakes, or other magnetic 

additives having a surface resistivity of 

less than 5000 ohms/square and greater 

than 10 ohms/square with electrical 

isotropy of less than 5%; 

(2) Multi-layer camouflage systems 

specially designed to reduce detection 

of platforms or equipment in the 

infrared or ultraviolet frequency 

spectrums; 

(3) High temperature (greater than 

300 °F operation) ceramic or magnetic 

radar absorbing material (RAM) 

specially designed for use on defense 

articles or military items subject to the 

EAR; or 

(4) Broadband (greater than 30% 

bandwidth) lightweight (less than 2 lbs/ 

sq ft) magnetic radar absorbing material 

(RAM) specially designed for use on 

defense articles or military items subject 

to the EAR. 

(h) Energy conversion devices not 

otherwise enumerated in this 

subchapter, as follows: 

(1) Fuel cells specially designed for 

platforms or soldier systems specified in 

this subchapter; 

(2) Thermal engines specially 

designed for platforms or soldier 

systems specified in this subchapter; 

(3) Thermal batteries (MT if designed 

or modified for rockets, SLVs, missiles, 

drones, or UAVs capable of achieving a 

range equal to or greater than 300 km. 

See note to paragraph (d) of this 

category); or 

Note to paragraph (h)(3): Thermal batteries 

are single use batteries that contain a solid 

non-conducting inorganic salt as the 

electrolyte. These batteries incorporate a 

pyrolitic material that, when ignited, melts 

the electrolyte and activates the battery. 

(4) Thermionic generators specially 

designed for platforms or soldier 

systems enumerated in this subchapter. 

*(i) Signature reduction software, and 

technical data as follows (MT for 

software specially designed for reduced 

observables, for applications usable for 

rockets, SLVs, missiles, drones, or UAVs 

capable of achieving a range (see note to 

paragraph (d) of this category) greater 

than or equal to 300 km, and their 

subsystems, including software 

specially designed for analysis of 

signature reduction; MT for technical 

data for the development, production, or 

use of equipment, materials, or software 

designated as such, including databases 

specially designed for analysis of 

signature reduction): 

(1) Software associated with the 

measurement or modification of system 

signatures for defense articles to reduce 

detectability or observability; 

(2) Software for design of lowobservable platforms; 

(3) Software for design, analysis, 

prediction, or optimization of signature 

management solutions for defense 

articles; 

(4) Infrared signature measurement or 

prediction software for defense articles 


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or radar cross section measurement or 

prediction software; 

(5) Signature management technical 

data, including codes and algorithms for 

defense articles to reduce detectability 

or observability; 

(6) Signature control design 

methodology (see § 125.4(c)(4) of this 

subchapter) for defense articles to 

reduce detectability or observability; 

(7) Technical data for use of microencapsulation or micro-spheres to 

reduce infrared, radar, or visual 

detection of platforms or equipment; 

(8) Multi-layer camouflage system 

technical data for reducing detection of 

platforms or equipment; 

(9) Multi-spectral surface treatment 

technical data for modifying infrared, 

visual or radio frequency signatures of 

platforms or equipment; 

(10) Technical data for modifying 

visual, electro-optical, radiofrequency, 

electric, magnetic, electromagnetic, or 

wake signatures (e.g., low probability of 

intercept (LPI) techniques, methods or 

applications) of defense platforms or 

equipment through shaping, active, or 

passive techniques; or 

(11) Technical data for modifying 

acoustic signatures of defense platforms 

or equipment through shaping, active, 

or passive techniques. 

(j) Equipment, materials, coatings, and 

treatments not elsewhere specified, as 

follows: 

(1) Specially treated or formulated 

dyes, coatings, and fabrics used in the 

design, manufacture, or production of 

personnel protective clothing, 

equipment, or face paints designed to 

protect against or reduce detection by 

radar, infrared, or other sensors at 

wavelengths greater than 900 

nanometers (see USML Category 

X(a)(2)); or 

*(2) Equipment, materials, coatings, 

and treatments that are specially 

designed to modify the electro-optical, 

radiofrequency, infrared, electric, laser, 

magnetic, electromagnetic, acoustic, 

electro-static, or wake signatures of 

defense articles or 600 series items 

subject to the EAR through control of 

absorption, reflection, or emission to 

reduce detectability or observability 

(MT for applications usable for rockets, 

SLVs, missiles, drones, or UAVs capable 

of achieving a range greater than or 

equal to 300 km, and their subsystems. 

See note to paragraph (d) of this 

category). 

*(k) Tooling and equipment, as 

follows: 

(1) Tooling and equipment specially 

designed for production of low 

observable (LO) components; or 

(2) Portable platform signature field 

repair validation equipment (e.g., 

portable optical interrogator that 

validates integrity of a repair to a 

signature reduction structure). 

(l) Technical data (see § 120.10 of this 

subchapter) directly related to the 

defense articles enumerated in 

paragraphs (a) through (h), (j), and (k) of 

this category and defense services (see 

§ 120.9 of this subchapter) directly 

related to the defense articles 

enumerated in this category. (See also 

§ 123.20 of this subchapter.) (MT for 

technical data and defense services 

related to articles designated as such.) 

(m) The following interpretations 

explain and amplify terms used in this 

category and elsewhere in this 

subchapter: 

(1) Composite armor is defined as 

having more than one layer of different 

materials or a matrix. 

(2) Spaced armors are metallic or nonmetallic armors that incorporate an air 

space or obliquity or discontinuous 

material path effects as part of the defeat 

mechanism. 

(3) Reactive armor employs 

explosives, propellants, or other 

materials between plates for the purpose 

of enhancing plate motion during a 

ballistic event or otherwise defeating the 

penetrator. 

(4) Electromagnetic armor (EMA) 

employs electricity to defeat threats 

such as shaped charges. 

(5) Materials used in composite armor 

could include layers of metals, plastics, 

elastomers, fibers, glass, ceramics, 

ceramic-glass reinforced plastic 

laminates, encapsulated ceramics in a 

metallic or non-metallic matrix, 

functionally gradient ceramic-metal 

materials, or ceramic balls in a cast 

metal matrix. 

(6) For this category, a material is 

considered transparent if it allows 75% 

or greater transmission of light, 

corrected for index of refraction, in the 

visible spectrum through a 1 mm thick 

nominal sample. 

(7) The material controlled in 

paragraph (e)(4) of this category has not 

been treated to reach the 75% 

transmission level referenced in (m)(6) 

of this category. 

(8) Metal laminate armors are two or 

more layers of metallic materials which 

are mechanically or adhesively bonded 

together to form an armor system. 

(9) Em is the line-of-sight target mass 

effectiveness ratio and provides a 

measure of the tested armor’s 

performance to that of rolled 

homogenous armor, where Em is defined 

as follows: 

Where: 

rRHA = density of RHA, (7.85 g/cm3) 

Po = Baseline Penetration of RHA, (mm) 

Pr = Residual Line of Sight Penetration, 

either positive or negative (mm RHA 

equivalent) 

ADTARGET = Line-of-Sight Areal Density of 

Target (kg/m2) 

(10) NIJ is the National Institute of 

Justice and Level III refers to the 

requirements specified in NIJ standard 

0108.01 Ballistic Resistant Protective 

Materials. 

(n)–(w) [Reserved] 

(x) Commodities, software, and 

technical data subject to the EAR (see 

§ 120.42 of this subchapter) used in or 

with defense articles controlled in this 

category. 

Note to paragraph (x): Use of this 

paragraph is limited to license applications 

for defense articles controlled in this category 

where the purchase documentation includes 

commodities, software, or technical data 

subject to the EAR (see § 123.1(b) of this 

subchapter). 

* * * * * 

Category XX—Submersible Vessels and 

Related Articles 

(a) Submersible and semi-submersible 

vessels (see § 121.14 of this subchapter) 

that are: 

*(1) Submarines; 

(2) Mine countermeasure vehicles; 

(3) Anti-submarine warfare vehicles; 

(4) Armed; 

(5) Swimmer delivery vehicles 

specially designed for the deployment, 

recovery, or support of swimmers or 

divers from submarines; 

(6) Vessels equipped with any 

mission systems controlled under this 

subchapter; or 

(7) Developmental vessels funded by 

the Department of Defense via contract 

or other funding authorization. 

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

does not control developmental vessels, and 

specially designed parts, components, 

accessories, attachments, and associated 

equipment therefor, (a) in production, (b) 

determined to be subject to the EAR via a 

commodity jurisdiction determination (see 

§ 120.4 of this subchapter) or (c) identified in 

the relevant Department of Defense contract 

or other funding authorization as being 

developed for both civil and military 

applications. 

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

apply to defense articles enumerated on the 

U.S. Munitions List, whether in production 

or development. 

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

is applicable to those contracts and funding 

authorizations that are dated one year or later 

following the publication of the rule, 

‘‘Amendment to the International Traffic in 

Arms Regulations: Continued 


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40932 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 

Implementation of Export Control Reform,’’ 

RIN 140–AD40. 

*(b) Engines, electric motors, and 

propulsion plants as follows: 

(1) Naval nuclear propulsion plants 

and prototypes, and special facilities for 

construction, support, and maintenance 

therefor (see § 123.20 of this 

subchapter); 

(2) Electric motors specially designed 

for submarines that have the following: 

(i) Power output of more than 0.75 

MW (1,000 hp); 

(ii) Quick reversing; 

(iii) Liquid cooled; and 

(iv) Totally enclosed. 

(c) Parts, components, accessories, 

attachments, and associated equipment, 

including production, testing, and 

inspection equipment and tooling, 

specially designed for any of the articles 

in paragraphs (a) and (b) of this category 

(MT for launcher mechanisms specially 

designed for rockets, space launch 

vehicles, or missiles capable of 

achieving a range greater than or equal 

to 300 km). 

Note to paragraph (c): ‘‘Range’’ is the 

maximum distance that the specified rocket 

system is capable of traveling in the mode of 

stable flight as measured by the projection of 

its trajectory over the surface of the Earth. 

The maximum capability based on the design 

characteristics of the system, when fully 

loaded with fuel or propellant, will be taken 

into consideration in determining range. The 

range for rocket systems will be determined 

independently of any external factors such as 

operational restrictions, limitations imposed 

by telemetry, data links, or other external 

constraints. For rocket systems, the range 

will be determined using the trajectory that 

maximizes range, assuming International 

Civil Aviation Organization (ICAO) standard 

atmosphere with zero wind. 

(d) Technical data (see § 120.10 of this 

subchapter) and defense services (see 

§ 120.9 of this subchapter) directly 

related to the defense articles 

enumerated in paragraphs (a) through 

(c) of this category. (MT for technical 

data and defense services related to 

articles designated as such.) (See § 125.4 

of this subchapter for exemptions.) 

(e)–(w) [Reserved] 

(x) Commodities, software, and 

technical data subject to the EAR (see 

§ 120.42 of this subchapter) used in or 

with defense articles controlled in this 

category. 

Note to paragraph (x): Use of this 

paragraph is limited to license applications 

for defense articles controlled in this category 

where the purchase documentation includes 

commodities, software, or technical data 

subject to the EAR (see § 123.1(b) of this 

subchapter). 

* * * * * 

■ 5. Section 121.4 is added to read as 

follows: 

§ 121.4 Ground vehicles. 

(a) In USML Category VII, ‘‘ground 

vehicles’’ are those, whether manned or 

unmanned, that: 

(1) Are armed or are specially 

designed to be used as a platform to 

deliver munitions or otherwise destroy 

or incapacitate targets (e.g., firing lasers, 

launching rockets, firing missiles, firing 

mortars, firing artillery rounds, or firing 

other ammunition greater than .50 

caliber); 

(2) Are armored support vehicles 

capable of off-road or amphibious use 

specially designed to transport or 

deploy personnel or materiel, or to 

move with other vehicles over land in 

close support of combat vehicles or 

troops (e.g., personnel carriers, resupply 

vehicles, combat engineer vehicles, 

recovery vehicles, reconnaissance 

vehicles, bridge launching vehicles, 

ambulances, and command and control 

vehicles); or 

(3) Incorporate any ‘‘mission systems’’ 

controlled under this subchapter. 

‘‘Mission systems’’ are defined as 

‘‘systems’’ (see § 121.8(g) of this 

subchapter) that are defense articles that 

perform specific military functions, 

such as by providing military 

communication, target designation, 

surveillance, target detection, or sensor 

capabilities. 

Note 1 to paragraph (a): Armored ground 

vehicles are (i) ground vehicles that have 

integrated, fully armored hulls or cabs, or (ii) 

ground vehicles on which add-on armor has 

been installed to provide ballistic protection 

to level III (National Institute of Justice 

Standard 0108.01, September 1985) or better. 

Armored vehicles do not include those that 

are merely capable of being equipped with 

add-on armor. 

Note 2 to paragraph (a): Ground vehicles 

include any vehicle meeting the definitions 

or control parameters regardless of the 

surface (e.g., highway, off-road, rail) upon 

which the vehicle is designed to operate. 

(b) Ground vehicles specially 

designed for military applications that 

are not identified in paragraph (a) of this 

section are subject to the EAR under 

ECCN 0A606, including any unarmed 

ground vehicles, regardless of origin or 

designation, manufactured prior to 1956 

and unmodified since 1955. 

Modifications made to incorporate 

safety features required by law, are 

cosmetic (e.g., different paint, 

repositioning of bolt holes), or that add 

parts or components otherwise available 

prior to 1956 are considered 

‘‘unmodified’’ for the purposes of this 

paragraph. ECCN 0A606 also includes 

unarmed vehicles derived from 

otherwise EAR99 civilian vehicles that 

have been modified or otherwise fitted 

with materials to provide ballistic 

protection, including protection to level 

III (National Institute of Justice Standard 

0108.01, September 1985) or better and 

that do not have reactive or 

electromagnetic armor. 

■ 6. Section 121.14 is added to read as 

follows: 

§ 121.14 Submersible vessels. 

(a) In USML Category XX, 

submersible and semi-submersible 

vessels are those, manned or unmanned, 

tethered or untethered, that: 

(1) Are submarines specially designed 

for military use; 

(2) Are armed or are specially 

designed to be used as a platform to 

deliver munitions or otherwise destroy 

or incapacitate targets (e.g., firing 

torpedoes, launching rockets, firing 

missiles, deploying mines, deploying 

countermeasures) or deploy military 

payloads; 

(3) Are specially designed for the 

deployment, recovery, or support of 

swimmers or divers from submarines; 

(4) Are integrated with nuclear 

propulsion systems; 

(5) Incorporate any ‘‘mission systems’’ 

controlled under this subchapter. 

‘‘Mission systems’’ are defined as 

‘‘systems’’ (see § 121.8(g) of this 

subchapter) that are defense articles that 

perform specific military functions such 

as by providing military 

communication, electronic warfare, 

target designation, surveillance, target 

detection, or sensor capabilities; or 

(6) Are developmental vessels funded 

or contracted by the Department of 

Defense. 

(b) Submersible and semi-submersible 

vessels that are not identified in 

paragraph (a) of this section are subject 

to the EAR under Category 8. 

■ 7. Section 121.15 is revised to read as 

follows: 

§ 121.15 Surface vessels of war. 

(a) In USML Category VI, ‘‘surface 

vessels of war’’ are those, manned or 

unmanned, that: 

(1) Are warships or other combatant 

vessels (battleships, aircraft carriers, 

destroyers, frigates, cruisers, corvettes, 

littoral combat ships, mine sweepers, 

mine hunters, mine countermeasure 

ships, dock landing ships, amphibious 

assault ships), or Coast Guard Cutters 

(with or equivalent to those with U.S. 

designations WHEC, WMEC, WMSL, or 

WPB for the purpose of this subchapter); 

(2) Are foreign-origin vessels specially 

designed to provide functions 

equivalent to those of the vessels listed 

in paragraph (a)(1) of this section; 

(3) Are high-speed air cushion vessels 

for transporting cargo and personnel, 


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Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Rules and Regulations 40933 

ship-to-shore and across a beach, with a 

payload over 25 tons; 

(4) Are surface vessels integrated with 

nuclear propulsion plants or specially 

designed to support naval nuclear 

propulsion plants; 

(5) Are armed or are specially 

designed to be used as a platform to 

deliver munitions or otherwise destroy 

or incapacitate targets (e.g., firing lasers, 

launching torpedoes, rockets, or 

missiles, or firing munitions greater 

than .50 caliber); or 

(6) Incorporate any mission systems 

controlled under this subchapter. 

‘‘Mission systems’’ are defined as 

‘‘systems’’ (see § 121.8(g) of this 

subchapter) that are defense articles that 

perform specific military functions such 

as by providing military 

communication, electronic warfare, 

target designation, surveillance, target 

detection, or sensor capabilities. 

(b) Vessels specially designed for 

military use that are not identified in 

paragraph (a) of this section are subject 

to the EAR under ECCN 8A609, 

including any demilitarized vessels, 

regardless of origin or designation, 

manufactured prior to 1950 and 

unmodified since 1949. Modifications 

made to incorporate safety features 

required by law, are cosmetic (e.g., 

different paint), or that add parts or 

components otherwise available prior to 

1950 are considered ‘‘unmodified’’ for 

the purposes of this paragraph. 

PART 123—LICENSES FOR THE 

EXPORT AND TEMPORARY IMPORT 

OF DEFENSE ARTICLES 

■ 8. The authority citation for part 123 

continues to read as follows: 

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

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

2797); 22 U.S.C. 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; Sec. 520, Pub. 

L. 112–55; Section 1261, Pub. L. 112–239; 

E.O. 13637, 78 FR 16129. 

■ 9. Section 123.20 is amended by 

revising paragraphs (a) and (c) 

introductory text to read as follows: 

§ 123.20 Nuclear related controls. 

(a) The provisions of this subchapter 

do not apply to equipment, technical 

data, or services in Category VI, 

Category XVI, and Category XX of 

§ 121.1 of this subchapter to the extent 

such equipment, technical data, or 

services are under the export control of 

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. 

* * * * * 

(c) A license for the export of any 

machinery, device, component, 

equipment, or technical data relating to 

equipment referred to in Category VI(e) 

or Category XX(b) of § 121.1 of this 

subchapter will not be granted unless 

the proposed equipment comes within 

the scope of an existing Agreement for 

Cooperation for Mutual Defense 

Purposes concluded pursuant to the 

Atomic Energy Act of 1954, as amended, 

with the government of the country to 

which the Article is to be exported. 

Licenses may be granted in the absence 

of such an agreement only: 

* * * * * 

PART 124—AGREEMENTS, OFFSHORE PROCUREMENT, AND OTHER 

DEFENSE SERVICES 

■ 10. The authority citation for part 124 

is revised to read as follows: 

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

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

2797); 22 U.S.C. 2651a; 22 U.S.C. 2776; Pub. 

L. 105–261; Section 1261, Pub. L. 112–239; 

E.O. 13637, 78 FR 16129. 

■ 11. The heading for part 124 is revised 

to read as set forth above. 

■ 12. Section 124.2 is amended by 

revising paragraphs (c)(5)(iv) and (xii) to 

read as follows: 

§ 124.2 Exemptions for training and 

military service. 

* * * * * 

(c) * * * 

(5) * * * 

(iv) Naval nuclear propulsion 

equipment listed in USML Category VI 

and USML Category XX; 

* * * * * 

(xii) Submersible and semisubmersible vessels and related articles 

covered in USML Category XX; or 

* * * * * 

PART 125—LICENSES FOR THE 

EXPORT OF TECHNICAL DATA AND 

CLASSIFIED DEFENSE ARTICLES 

■ 13. The authority citation for part 125 

is revised to read as follows: 

Authority: Secs. 2 and 38, Pub. L. 90–629, 

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

2651a; E.O. 13637, 78 FR 16129. 

■ 14. Section 125.1 is amended by 

revising paragraph (e) to read as follows: 

§ 125.1 Exports subject to this part. 

* * * * * 

(e) The provisions of this subchapter 

do not apply to technical data related to 

articles in Category VI(e), Category XVI, 

and Category XX(b) of § 121.1 of this 

subchapter. The export of such data is 

controlled by the Department of Energy 

or the Nuclear Regulatory Commission 

pursuant to the Atomic Energy Act of 

1954, as amended, and the Nuclear NonProliferation Act of 1978, as amended. 

Rose E. Gottemoeller, 

Acting Under Secretary, Arms Control and 

International Security, Department of State. 

[FR Doc. 2013–16145 Filed 7–5–13; 8:45 am] 

BILLING CODE 4710–25–P 


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