8082 Federal Register / Vol. 79, No. 28 / Tuesday, February 11, 2014 / Rules and Regulations 

We prepared a regulatory evaluation 

of the estimated costs to comply with 

this AD and placed it in the AD docket. 

List of Subjects in 14 CFR Part 39 

Air transportation, Aircraft, Aviation 

safety, Incorporation by reference, 

Safety. 

Adoption of the Amendment 

Accordingly, under the authority 

delegated to me by the Administrator, 

the FAA amends 14 CFR part 39 as 

follows: 

PART 39 AIRWORTHINESS 

DIRECTIVES 

■ 1. The authority citation for part 39 

continues to read as follows: 

Authority: 49 U.S.C. 106(g), 40113, 44701. 

§ 39.13 [Amended] 

2. The FAA amends § 39.13 by adding 

the following new airworthiness 

directive (AD): 

2014–03–16 Rolls-Royce Deutschland Ltd & 

Co. KG (formerly Rolls-Royce plc): 

Amendment 39–17750; Docket No. 

FAA–2013–0342; Directorate Identifier 

2013–NE–14–AD. 

(a) Effective Date 

This AD becomes effective March 18, 2014. 

(b) Affected ADs 

None. 

(c) Applicability 

This AD applies to Rolls-Royce 

Deutschland Ltd & Co. KG (RRD) Tay 620– 

15, 650–15, and 651–54 turbofan engines. 

(d) Reason 

This AD was prompted by the discovery 

that the low-pressure compressor (LPC) fan 

blade leading edges erode in service and 

create an unacceptable blade flutter margin. 

We are issuing this AD to prevent LPC fan 

blade failure, damage to the engine, and 

damage to the airplane. 

(e) Actions and Compliance 

Unless already done, do the following 

actions: 

(1) For Tay 620–15 engines, replace the 

complete set of LPC fan blades with a set 

eligible for installation as follows: 

(i) If on the effective date of this AD, the 

LPC fan blades: 

(A) Have less than 10,000 flight cycles 

since new (FCSN) or flight cycles since last 

repair (FCSLR), replace the blades before 

accumulating 12,000 FCSN or FCSLR. 

(B) Have 10,000 or more FCSN or FCSLR, 

replace the blades within 2,000 flight cycles 

(FC). 

(ii) Thereafter, replace the LPC fan blades 

within 12,000 FCSN or FCSLR. 

(2) For Tay 650–15 and Tay 651–54 

engines, replace the complete set of LPC fan 

blades with a set eligible for installation as 

follows: 

(i) If on the effective date of this AD, the 

LPC fan blades: 

(A) Have less than 8,000 FCSN or FCSLR, 

replace the blades before accumulating 

10,000 FCSN or FCSLR. 

(B) Have 8,000 or more FCSN or FCSLR, 

replace the fan blades within 2,000 FC. 

(ii) Thereafter, replace the LPC fan blades 

within 10,000 FCSN or FCSLR. 

(f) Definitions 

(1) For the purpose of this AD, a repair is 

one that was performed in accordance with 

RRD Alert Non-Modification Service Bulletin 

(NMSB) No. Tay-72–A1782, Revision 2, 

dated May 30, 2013, or earlier versions of this 

Alert NMSB. 

(2) LPC fan blades eligible for installation 

are: 

(i) For Tay 620–15 engines, LPC fan blades 

with less than 12,000 FCSN or FCSLR; and 

(ii) For Tay 650–15 and Tay 651–54 

engines, LPC fan blades with less than 10,000 

FCSN or FCSLR. 

(g) Alternative Methods of Compliance 

(AMOCs) 

The Manager, Engine Certification Office, 

FAA, may approve AMOCs to this AD. Use 

the procedures found in 14 CFR 39.19 to 

make your request. 

(h) Related Information 

(1) For more information about this AD, 

contact Anthony W. Cerra, Jr., Aerospace 

Engineer, Engine Certification Office, FAA, 

Engine & Propeller Directorate, 12 New 

England Executive Park, Burlington, MA 

01803; phone: 781–238–7128; fax: 781–238– 

7199; email: anthony.cerra@faa.gov. 

(2) Refer to MCAI European Aviation 

Safety Agency AD 2013–0143, dated July 12, 

2013, for more information. You may 

examine the MCAI in the AD docket on the 

Internet at http://www.regulations.gov/

#!documentDetail;D=FAA-2013-0342-0002. 

(3) RRD Alert NMSB No. Tay-72–A1782, 

Revision 2, dated May 30, 2013, pertains to 

the subject of this AD and can be obtained 

from RRD, using the contact information in 

paragraph (h)(4) of this AD. 

(4) For service information identified in 

this AD, contact Rolls-Royce Deutschland Ltd 

& Co. KG, Eschenweg 11, Dahlewitz, 15827 

Blankenfelde-Mahlow, Germany; phone: 49 0 

33–7086–1200 (direct 1016); fax: 49 0 33– 

7086–1212. 

(5) You may view this service information 

at the FAA, Engine & Propeller Directorate, 

12 New England Executive Park, Burlington, 

MA. For information on the availability of 

this material at the FAA, call 781–238–7125. 

(i) Material Incorporated by Reference 

None. 

Issued in Burlington, Massachusetts, on 

January 30, 2014. 

Colleen M. D’Alessandro, 

Assistant Directorate Manager, Engine & 

Propeller Directorate, Aircraft Certification 

Service. 

[FR Doc. 2014–02809 Filed 2–10–14; 8:45 am] 

BILLING CODE 4910–13–P 

DEPARTMENT OF STATE 

22 CFR Parts 120, 122, 126, 127, 128, 

and 130 

RINs 1400–AD49, 1400–AC37, and 1400– 

AC81 

[Public Notice: 8620] 

Amendment to the International Traffic 

in Arms Regulations: Changes to 

Authorized Officials and the UK 

Defense Trade Treaty Exemption; 

Correction of Errors in Lebanon Policy 

and Violations; and Adoption of 

Recent Amendments as Final 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: The Department of State is 

amending the International Traffic in 

Arms Regulations (ITAR) to remove the 

managing director as an authorized 

official, update the marking and 

reporting requirements for the UK 

defense treaty exemption, correct a 

typographical error in the paragraph on 

export policy regarding Lebanon, and 

correct an error of syntactical 

arrangement in a section of the 

regulations regarding violations. The 

Department is also adopting as a final 

rule certain sections of the ITAR that 

were published in an interim final rule. 

DATES: Effective Date: This rule is 

effective February 11, 2014. 

FOR FURTHER INFORMATION CONTACT: Mr. 

C. Edward Peartree, Director, Office of 

Defense Trade Controls Policy, U.S. 

Department of State, telephone (202) 

663–2792, or email 

DDTCResponseTeam@state.gov. ATTN: 

Regulatory Change, Removing Managing 

Director, Other Changes. 

SUPPLEMENTARY INFORMATION: The 

Department is removing ‘‘Managing 

Director of Defense Trade Controls’’ as 

an authorized official from ITAR 

§ 120.1(b)(1) because it is no longer a 

position within the Department. Various 

sections of the ITAR are amended as a 

result. In each of these instances, 

another authorized official as identified 

in ITAR § 120.1(b) replaces the 

managing director. 

The Department is updating the text 

of the licensing exemption created 

pursuant to the Treaty Between the 

Government of the United States of 

America and the Government of the 

United Kingdom Concerning Defense 

Trade Cooperation (the ‘‘UK defense 

trade treaty exemption’’), at ITAR 

§ 126.17, so that it is a clearer 

representation of treaty requirements 

and is also consistent with ITAR 

§ 126.16 (the Australia defense trade 

treaty exemption). Most of the updates 


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Federal Register / Vol. 79, No. 28 / Tuesday, February 11, 2014 / Rules and Regulations 8083 

are formatting and textual edits. 

However, the Department notes in 

particular changes to: 1) The text for 

marking requirements (paragraph (j)) to 

make it clear that items should be 

marked ‘‘prior to’’ export, and to bring 

the classification level reading in line 

with treaty requirements; and 2) the 

indicated method of notification 

(paragraph (o)) to remove inclusion of 

Form DS–4048 from the process. 

The Department is correcting a 

typographical error in ITAR § 126.1(t), 

regarding the export policy on Lebanon. 

In the preamble to the rule providing 

that policy (see 76 FR 47990, RIN 1400– 

AC81), the exceptions to the arms 

embargo were correctly identified as 

‘‘not apply[ing] to arms and related 

materiel for the United Nations Interim 

Force in Lebanon or as authorized by 

the Government of Lebanon.’’ In the 

regulation itself, ‘‘or’’ was mistakenly 

replaced with ‘‘and.’’ This error is 

corrected in this rule. 

Finally, the Department is correcting 

an error of syntactical arrangement in 

ITAR § 127.1(d)(2). This rule clarifies 

that ineligible parties may not engage in 

transactions subject to the ITAR; the 

current construction specifies that such 

parties may not engage in any 

transactions regarding defense articles. 

This section was previously published 

as an interim final rule at 78 FR 52680 

on August 26, 2013 (RIN 1400–AC37); 

with the identified changes, the 

Department is adopting it as a final rule. 

The Department is also adopting as a 

final rule other portions of RIN 1400– 

AC37, as follows: (1) ITAR § 120.1(a) 

and (b), with changes regarding 

authorized officials, as described earlier 

in this section; (2) ITAR § 120.1(c) and 

(d), without any changes: (3) ITAR 

§ 120.20, with changes regarding 

authorized officials, as described earlier 

in this section; (4) ITAR § 126.1(a), (b), 

(e)(1), (e)(2), and note to paragraph (e), 

without any changes; (5) all sections of 

parts 127 and 128, except for ITAR 

§ 127.1(d)(2), which is changed 

regarding syntactical arrangement, as 

described earlier in this section, and for 

ITAR § 128.15(a), which is changed 

regarding authorized officials, as 

described earlier in this section. The 

Department did not receive public 

comments on these sections of the ITAR 

during the comment period of the 

interim final 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. Although the 

Department is of the opinion that this 

rule is exempt from the rulemaking 

provisions of the APA, the Department 

published portions of this rule as 

proposed and interim final rules 

identified as 1400–AC37, with 60- and 

45-day provisions for public comment, 

respectively, and without prejudice to 

its determination that controlling the 

import and export of defense articles 

and 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 

The Department does not believe this 

rulemaking is a major rule within the 

definition of 5 U.S.C. § 804. It will not 

have an annual effect on the economy 

of $100,000,000 or more, nor will it 

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 rule has not been 

designated a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order 12866. 

Executive Order 12988 

The Department of State 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 determined 

that this rulemaking will not have tribal 

implications, will not impose 

substantial direct compliance costs on 

Indian tribal governments, and will not 

preempt tribal law. Accordingly, the 

requirements of Executive Order 13175 

do not apply to this rulemaking. 

Paperwork Reduction Act 

This rule does not impose any new 

reporting or recordkeeping requirements 

subject to the Paperwork Reduction Act, 

44 U.S.C. Chapter 35. 

List of Subjects 

22 CFR Part 120 

Arms and munitions, Classified 

information, Exports. 

22 CFR Part 122 

Arms and munitions, Exports, 

Reporting and recordkeeping 

requirements. 

22 CFR Part 126 

Arms and munitions, Exports. 

22 CFR Part 127 

Arms and munitions, Crime, Exports, 

Penalties, Seizures and forfeitures. 


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8084 Federal Register / Vol. 79, No. 28 / Tuesday, February 11, 2014 / Rules and Regulations 

22 CFR Part 128 

Administrative practice and 

procedure, Arms and munitions, 

Exports. 

22 CFR Part 130 

Arms and munitions, Campaign 

funds, Confidential business 

information, Exports, Reporting and 

recordkeeping requirements. 

Accordingly, for the reasons set forth 

above, Title 22, Chapter I, Subchapter 

M, parts 120, 122, 126, 127, 128, and 

130 are amended; and the amendments 

to 22 CFR 120.1(a) and (b), 120.20, and 

all amendments to 22 CFR parts 127 and 

128 except for §§ 127.1(d)(2) and 

128.15(a), in the interim rule published 

at 78 FR 52680 on August 26, 2013, are 

adopted as final with changes, 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 120.1 is amended by 

revising paragraphs (a) and (b) to read 

as follows: 

§ 120.1 General authorities, receipt of 

licenses, and ineligibility. 

(a) Section 38 of the Arms Export 

Control Act (22 U.S.C. 2778), as 

amended, authorizes the President to 

control the export and import of defense 

articles and defense services. The 

statutory authority of the President to 

promulgate regulations with respect to 

exports of defense articles and defense 

services is delegated to the Secretary of 

State by Executive Order 13637. This 

subchapter implements that authority, 

as well as other relevant authorities in 

the Arms Export Control Act (22 U.S.C. 

2751 et seq.). By virtue of delegations of 

authority by the Secretary of State, these 

regulations are primarily administered 

by the Deputy Assistant Secretary of 

State for Defense Trade Controls, Bureau 

of Political-Military Affairs. 

(b)(1) Authorized officials. All 

authorities administered by the Deputy 

Assistant Secretary of State for Defense 

Trade Controls pursuant to this 

subchapter may be exercised at any time 

by the Under Secretary of State for Arms 

Control and International Security or 

the Assistant Secretary of State for 

Political-Military Affairs. 

(2) The Deputy Assistant Secretary of 

State for Defense Trade Controls 

supervises the Directorate of Defense 

Trade Controls, which is comprised of 

the following offices: 

(i) The Office of Defense Trade 

Controls Licensing and the Director, 

Office of Defense Trade Controls 

Licensing, which have responsibilities 

related to licensing or other approvals of 

defense trade, including references 

under parts 120, 123, 124, 125, 126, 129, 

and 130 of this subchapter. 

(ii) The Office of Defense Trade 

Controls Compliance and the Director, 

Office of Defense Trade Controls 

Compliance, which have 

responsibilities related to violations of 

law or regulation and compliance 

therewith, including references 

contained in parts 122, 126, 127, 128, 

and 130 of this subchapter, and that 

portion under part 129 of this 

subchapter pertaining to registration. 

(iii) The Office of Defense Trade 

Controls Policy and the Director, Office 

of Defense Trade Controls Policy, which 

have responsibilities related to the 

general policies of defense trade, 

including references under parts 120 

and 126 of this subchapter, and the 

commodity jurisdiction procedure 

under part 120 of this subchapter. 

* * * * * 

■ 3. Section 120.4 is amended by 

revising paragraph (g), to read as 

follows: 

§ 120.4 Commodity jurisdiction. 

* * * * * 

(g) A person may appeal a commodity 

jurisdiction determination by 

submitting a written request for 

reconsideration to the Deputy Assistant 

Secretary of State for Defense Trade 

Controls. The Deputy Assistant 

Secretary’s determination of the appeal 

will be provided, in writing, within 30 

days of receipt of the appeal. If desired, 

an appeal of the Deputy Assistant 

Secretary’s decision can then be made to 

the Assistant Secretary for PoliticalMilitary Affairs. 

■ 4. Section 120.20 is revised to read as 

follows: 

§ 120.20 License or other approval. 

License means a document bearing 

the word ‘‘license’’ issued by the Deputy 

Assistant Secretary of State for Defense 

Trade Controls, or his authorized 

designee, that permits the export, 

temporary import, or brokering of a 

specific defense article or defense 

service controlled by this subchapter. 

Other approval means a document 

issued by the Deputy Assistant 

Secretary of State for Defense Trade 

Controls, or his authorized designee, 

that approves an activity regulated by 

this subchapter (e.g., approvals for 

brokering activities or retransfer 

authorizations), or the use of an 

exemption to the license requirements 

as described in this subchapter. 

PART 122—REGISTRATION OF 

MANUFACTURERS AND EXPORTERS 

■ 5. The authority citation for part 122 

continues to read as follows: 

Authority: Sections 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. 

■ 6. Section 122.5 is amended by 

revising paragraph (a), to read as 

follows: 

§ 122.5 Maintenance of records by 

registrants. 

(a) A person who is required to 

register must maintain records 

concerning the manufacture, acquisition 

and disposition (to include copies of all 

documentation on exports using 

exemptions and applications and 

licenses and their related 

documentation), of defense articles; of 

technical data; the provision of defense 

services; brokering activities; and 

information on political contributions, 

fees, or commissions furnished or 

obtained, as required by part 130 of this 

subchapter. Records in an electronic 

format must be maintained using a 

process or system capable of 

reproducing all records on paper. Such 

records when displayed on a viewer, 

monitor, or reproduced on paper, must 

exhibit a high degree of legibility and 

readability. (For the purpose of this 

section, ‘‘legible’’ and ‘‘legibility’’ mean 

the quality of a letter or numeral that 

enables the observer to identify it 

positively and quickly to the exclusion 

of all other letters or numerals. 

‘‘Readable’’ and ‘‘readability’’ means the 

quality of a group of letters or numerals 

being recognized as complete words or 

numbers.) This information must be 

stored in such a manner that none of it 

may be altered once it is initially 

recorded without recording all changes, 

who made them, and when they were 

made. For processes or systems based 

on the storage of digital images, the 

process or system must afford 

accessibility to all digital images in the 

records being maintained. All records 

subject to this section must be 

maintained for a period of five years 

from the expiration of the license or 

other approval, to include exports using 

an exemption (see § 123.26 of this 

subchapter); or, from the date of the 

transaction (e.g., expired licenses or 

other approvals relevant to the export 

transaction using an exemption). The 

Deputy Assistant Secretary of State for 


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Federal Register / Vol. 79, No. 28 / Tuesday, February 11, 2014 / Rules and Regulations 8085 

Defense Trade Controls and the Director 

of the Office of Defense Trade Controls 

Licensing may prescribe a longer or 

shorter period in individual cases. 

* * * * * 

PART 126—GENERAL POLICIES AND 

PROVISIONS 

■ 7. 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. 

■ 8. Section 126.1 is amended by 

revising paragraph (t) to read as follows: 

§ 126.1 Prohibited exports, imports, and 

sales to or from certain countries. 

* * * * * 

(t) Lebanon. It is the policy of the 

United States to deny licenses or other 

approvals for exports or imports of 

defense articles and defense services 

destined for or originating in Lebanon, 

except that a license or other approval 

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

for the United Nations Interim Force in 

Lebanon (UNIFIL) or as authorized by 

the Government of Lebanon. 

* * * * * 

■ 9. Section 126.2 is revised to read as 

follows: 

§ 126.2 Temporary suspension or 

modification of this subchapter. 

The Deputy Assistant Secretary for 

Defense Trade Controls may order the 

temporary suspension or modification 

of any or all of the regulations of this 

subchapter in the interest of the security 

and foreign policy of the United States. 

■ 10. Section 126.3 is revised to read as 

follows: 

§ 126.3 Exceptions. 

In a case of exceptional or undue 

hardship, or when it is otherwise in the 

interest of the United States 

Government, the Deputy Assistant 

Secretary of State for Defense Trade 

Controls may make an exception to the 

provisions of this subchapter. 

■ 11. Section 126.14 is amended by 

revising paragraph (b) introductory text, 

to read as follows: 

§ 126.14 Special comprehensive export 

authorizations for NATO, Australia, Japan, 

and Sweden. 

* * * * * 

(b) Provisions and requirements for 

comprehensive authorizations. Requests 

for the special comprehensive 

authorizations set forth in paragraph (a) 

of this section should be by letter 

addressed to the Directorate of Defense 

Trade Controls. With regard to a 

commercial major program or project 

authorization, or technical data 

supporting a teaming arrangement, 

merger, joint venture or acquisition, 

registered U.S. exporters may consult 

the Deputy Assistant Secretary of State 

for Defense Trade Controls about 

eligibility for and obtaining available 

comprehensive authorizations set forth 

in paragraph (a) of this section or 

pursuant to § 126.9(b) of this 

subchapter. 

* * * * * 

■ 12. Section 126.17 is amended by 

revising paragraphs (a)(1)(iv), (a)(2), 

(a)(3)(i), (a)(4) introductory text, 

(a)(4)(iii), (b)(2), (d)(1), (d)(2), paragraph 

(e) introductory text, (f)(1), (f)(2), (g)(1), 

(g)(2), (g)(4), (g)(5), (h)(2) through (h)(4), 

(h)(6) through (h)(8), (i)(1) through (i)(4), 

(j)(1), (j)(2), (j)(3)(i), (j)(3)(ii), (j)(5), 

(k)(1)(i)(A), (k)(1)(i)(C), (k)(1)(ii)(B), (l)(1) 

introductory text, (l)(2)(iii), (l)(2)(iv), 

(m), (n)(4), (o)(1) introductory text, 

(o)(1)(iii), and (o)(2) to read as follows: 

§ 126.17 Exemption pursuant to the 

Defense Trade Cooperation Treaty between 

the United States and the United Kingdom. 

(a) * * * 

(1) * * * 

(iv) Intermediate consignee means, for 

purposes of this section, an approved 

entity or person who receives, but does 

not have access to, defense articles, 

including technical data, for the sole 

purpose of effecting onward movement 

to members of the Approved 

Community (see paragraph (k) of this 

section). 

(2) Persons or entities exporting or 

transferring defense articles or defense 

services are exempt from the otherwise 

applicable licensing requirements if 

such persons or entities comply with 

the regulations set forth in this section. 

Except as provided in Supplement No. 

1 to part 126 of this subchapter, Port 

Directors of U.S. Customs and Border 

Protection and postmasters shall permit 

the permanent and temporary export 

without a license from members of the 

United States Community to members of 

the United Kingdom Community (see 

paragraph (d) of this section regarding 

the identification of members of the 

United Kingdom Community) of defense 

articles and defense services not listed 

in Supplement No. 1 to part 126 of this 

subchapter, for the end-uses specifically 

identified pursuant to paragraphs (e) 

and (f) of this section. The purpose of 

this section is to specify the 

requirements to export, transfer, 

reexport, retransfer, or otherwise 

dispose of a defense article or defense 

service pursuant to the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom. All 

persons must continue to comply with 

statutory and regulatory requirements 

outside of this subchapter concerning 

the import of defense articles and 

defense services or the possession or 

transfer of defense articles, including, 

but not limited to, regulations issued by 

the Bureau of Alcohol, Tobacco, 

Firearms and Explosives found at 27 

CFR parts 447, 478, and 479, which are 

unaffected by the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom and 

continue to apply fully to defense 

articles and defense services subject to 

either of the aforementioned treaties and 

the exemptions contained in this 

section. 

(3) * * * 

(i) The exporter must be registered 

with the Directorate of Defense Trade 

Controls (DDTC) and must be eligible, 

according to the requirements and 

prohibitions of the Arms Export Control 

Act, this subchapter, and other 

provisions of United States law, to 

obtain an export license (or other forms 

of authorization to export) from any 

agency of the U.S. Government without 

restriction (see paragraphs (b) and (c) of 

this section for specific requirements); 

* * * * * 

(4) Transfers. In order for a member 

of the Approved Community (i.e., the 

United States Community and United 

Kingdom Community) to transfer a 

defense article or defense service under 

the Defense Trade Cooperation Treaty 

within the Approved Community, all of 

the following conditions must be met: 

* * * * * 

(iii) The transfer is required for an 

end-use specified in the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom and 

mutually agreed to by the Government 

of the United States and the 

Government of the United Kingdom 

pursuant to the terms of the Defense 

Trade Cooperation Treaty between the 

United States and the United Kingdom 

and the United Kingdom Implementing 

Arrangement (see paragraphs (e) and (f) 

of this section regarding authorized enduses); 

* * * * * 

(b) * * * 

(2) Non-governmental U.S. persons 

registered with DDTC and eligible, 

according to the requirements and 

prohibitions of the Arms Export Control 

Act, this subchapter, and other 

provisions of United States law, to 

obtain an export license (or other form 


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of authorization to export) from any 

agency of the U.S. Government without 

restriction, including their employees 

acting in their official capacity with, as 

appropriate, a security clearance and a 

need-to-know. 

* * * * * 

(d) * * * 

(1) Her Majesty’s Government entities 

and facilities identified as members of 

the Approved Community through the 

DDTC Web site at the time of a 

transaction under this section; and 

(2) The non-governmental United 

Kingdom entities and facilities 

identified as members of the Approved 

Community through the DDTC Web site 

(www.pmddtc.state.gov) at the time of a 

transaction under this section; nongovernmental United Kingdom entities 

and facilities that become ineligible for 

such membership will be removed from 

the United Kingdom Community. 

(e) Authorized End-uses. The 

following end-uses, subject to paragraph 

(f) of this section, are specified in the 

Defense Trade Cooperation Treaty 

between the United States and the 

United Kingdom: 

* * * * * 

(f) * * * 

(1) Operations, programs, and projects 

that can be publicly identified will be 

posted on the DDTC Web site; 

(2) Operations, programs, and projects 

that cannot be publicly identified will 

be confirmed in written correspondence 

from DDTC; or 

* * * * * 

(g) * * * 

(1) An exporter authorized pursuant 

to paragraph (b)(2) of this section may 

market a defense article to members of 

the United Kingdom Community if that 

exporter has been licensed by DDTC to 

export (as defined by § 120.17 of this 

subchapter) the identical type of defense 

article to any foreign person and enduse of the article is for an end-use 

identified in paragraph (e) of this 

section. 

(2) The export of any defense article 

specific to the existence of (e.g., reveals 

the existence of or details of) antitamper measures made at U.S. 

Government direction always requires 

prior written approval from DDTC. 

* * * * * 

(4) U.S.-origin defense articles 

specific to developmental systems that 

have not obtained written Milestone B 

approval from the U.S. Department of 

Defense milestone approval authority 

are not eligible for export 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 

pursuant to paragraph (e)(1), (2), or (4) 

of this section. 

(5) Defense articles excluded by 

paragraph (g) of this section or 

Supplement No. 1 to part 126 of this 

subchapter (e.g., USML Category XI 

(a)(3) electronically scanned array radar 

excluded by Note 2) that are embedded 

in a larger system that is eligible to ship 

under this section (e.g., a ship, an 

aircraft) must separately comply with 

any restrictions placed on that 

embedded defense article under this 

subchapter. The exporter must obtain a 

license or other authorization from 

DDTC for the export of such embedded 

defense articles (for example, USML 

Category XI (a)(3) electronically scanned 

array radar systems that are exempt 

from this section that are incorporated 

in an aircraft that is eligible to ship 

under this section continue to require 

separate authorization from DDTC for 

their export, transfer, reexport, or 

retransfer). 

* * * * * 

(h) * * * 

(2) Any transfer or other provision of 

a defense article or defense service for 

an end-use that is not authorized by the 

exemption provided by this section is 

prohibited without a license or the prior 

written approval of DDTC (see 

paragraphs (e) and (f) of this section 

regarding authorized end-uses). 

(3) Any retransfer or reexport, or other 

provision of a defense article or defense 

service by a member of the United 

Kingdom Community to a foreign 

person that is not a member of the 

United Kingdom Community, or to a 

U.S. person that is not a member of the 

United States Community, is prohibited 

without a license or the prior written 

approval of DDTC (see paragraph (d) of 

this section for specific information on 

the identification of the United 

Kingdom Community). 

(4) Any change in the use of a defense 

article or defense service previously 

exported, transferred, or obtained under 

this exemption by any foreign person, 

including a member of the United 

Kingdom Community, to an end-use 

that is not authorized by this exemption 

is prohibited without a license or other 

written approval of DDTC (see 

paragraphs (e) and (f) of this section 

regarding authorized end-uses). 

* * * * * 

(6) Defense articles excluded by 

paragraph (g) of this section or 

Supplement No. 1 to part 126 of this 

subchapter (e.g., USML Category XI 

(a)(3) electronically scanned array radar 

systems) that are embedded in a larger 

system that is eligible to ship under this 

section (e.g., a ship, an aircraft) must 

separately comply with any restrictions 

placed on that embedded defense article 

unless otherwise specified. A license or 

other authorization must be obtained 

from DDTC for the export, transfer, 

reexport, retransfer, or change in enduse of any such embedded defense 

article (for example, USML Category 

XI(a)(3) electronically scanned array 

radar systems that are excluded from 

this section by Supplement No. 1 to part 

126 of this subchapter, Note 2 that are 

incorporated in an aircraft that is 

eligible to ship under this section 

continue to require separate 

authorization from DDTC for their 

export, transfer, reexport, or retransfer). 

(7) A license or prior approval from 

DDTC is not required for a transfer, 

retransfer, or reexport of an exported 

defense article or defense service under 

this section, if: 

(i) The transfer of defense articles or 

defense services is made by a member 

of the United States Community to 

United Kingdom Ministry of Defence 

(UK MOD) elements deployed outside 

the Territory of the United Kingdom and 

engaged in an authorized end-use (see 

paragraphs (e) and (f) of this section 

regarding authorized end-uses) using 

United Kingdom Armed Forces 

transmission channels or the provisions 

of this section; 

(ii) The transfer of defense articles or 

defense services is made by a member 

of the United States Community to an 

Approved Community member (either 

United States or UK) that is operating in 

direct support of UK MOD elements 

deployed outside the Territory of the 

United Kingdom and engaged in an 

authorized end-use (see paragraphs (e) 

and (f) of this section regarding 

authorized end-uses) using United 

Kingdom Armed Forces transmission 

channels or the provisions of this 

section; 

(iii) The reexport is made by a 

member of the United Kingdom 

Community to UK MOD elements 

deployed outside the Territory of the 

United Kingdom engaged in an 

authorized end-use (see paragraphs (e) 

and (f) of this section regarding 

authorized end-uses) using United 

Kingdom Armed Forces transmission 

channels or the provisions of this 

section; 

(iv) The reexport is made by a 

member of the United Kingdom 

Community to an Approved Community 

member (either U.S. or UK) that is 

operating in direct support of UK MOD 

elements deployed outside the Territory 

of the United Kingdom engaged in an 

authorized end-use (see paragraphs (e) 

and (f) of this section regarding 

authorized end-uses) using United 


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Kingdom Armed Forces transmission 

channels or the provisions of this 

section; or 

(v) The defense article or defense 

service will be delivered to the UK MOD 

for an authorized end-use (see 

paragraphs (e) and (f) of this section 

regarding authorized end-uses); the UK 

MOD may deploy the item as necessary 

when conducting official business 

within or outside the Territory of the 

United Kingdom. The item must remain 

under the effective control of the UK 

MOD while deployed and access may 

not be provided to unauthorized third 

parties. 

(8) U.S. persons registered, or 

required to be registered, pursuant to 

part 122 of this subchapter and 

members of the United Kingdom 

Community must immediately notify 

DDTC of any actual or proposed sale, 

retransfer, or reexport of a defense 

article or defense service on the U.S. 

Munitions List originally exported 

under this exemption to any of the 

countries listed in § 126.1 of this 

subchapter or any person acting on 

behalf of such countries, whether within 

or outside the United States. Any person 

knowing or having reason to know of 

such a proposed or actual sale, reexport, 

or retransfer shall submit such 

information in writing to the Office of 

Defense Trade Controls Compliance, 

Directorate of Defense Trade Controls. 

(i) Transitions. (1) Any previous 

export of a defense article under a 

license or other approval of the U.S. 

Department of State remains subject to 

the conditions and limitations of the 

original license or authorization unless 

DDTC has approved in writing a 

transition to this section. 

(2) If a U.S. exporter desires to 

transition from an existing license or 

other approval to the use of the 

provisions of this section, the following 

is required: 

(i) The U.S. exporter must submit a 

written request to DDTC, which 

identifies the defense articles or defense 

services to be transitioned, the existing 

license(s) or other authorizations under 

which the defense articles or defense 

services were originally exported, and 

the Treaty-eligible end-use for which 

the defense articles or defense services 

will be used. Any license(s) filed with 

U.S. Customs and Border Protection 

should remain on file until the exporter 

has received approval from DDTC to 

retire the license(s) and transition to this 

section. When this approval is conveyed 

to U.S. Customs and Border Protection 

by DDTC, the license(s) will be returned 

to DDTC by U.S. Customs and Border 

Protection in accord with existing 

procedures for the return of expired 

licenses in § 123.22(c) of this 

subchapter. 

(ii) Any license(s) not filed with U.S. 

Customs and Border Protection must be 

returned to DDTC with a letter citing 

approval by DDTC to transition to this 

section as the reason for returning the 

license(s). 

(3) If a member of the United 

Kingdom Community desires to 

transition defense articles received 

under an existing license or other 

approval to the processes established 

under the Treaty, the United Kingdom 

Community member must submit a 

written request to DDTC, either directly 

or through the original U.S. exporter, 

which identifies the defense articles or 

defense services to be transitioned, the 

existing license(s) or other 

authorizations under which the defense 

articles or defense services were 

received, and the Treaty-eligible enduse (see paragraphs (e) and (f) of this 

section regarding authorized end-uses) 

for which the defense articles or defense 

services will be used. The defense 

article or defense service shall remain 

subject to the conditions and limitations 

of the existing license or other approval 

until the United Kingdom Community 

member has received approval from 

DDTC. 

(4) Authorized exporters identified in 

paragraph (b)(2) of this section who 

have exported a defense article or 

defense service that has subsequently 

been placed on the list of exempted 

items in Supplement No. 1 to part 126 

of this subchapter must review and 

adhere to the requirements in the 

relevant Federal Register notice 

announcing such removal. Once 

removed, the defense article or defense 

service will no longer be subject to this 

section, and such defense article or 

defense service previously exported 

shall remain on the U.S. Munitions List 

and be subject to the requirements of 

this subchapter unless the applicable 

Federal Register notice states otherwise. 

Subsequent reexport or retransfer must 

be made pursuant to § 123.9 of this 

subchapter. 

* * * * * 

(j) Marking of exports. (1) All defense 

articles and defense services exported or 

transitioned pursuant to the Defense 

Trade Cooperation Treaty between the 

United States and the United Kingdom 

and this section shall be marked or 

identified prior to movement as follows: 

(i) For classified defense articles and 

defense services the standard marking 

or identification shall read ‘‘//

CLASSIFICATION LEVEL USML//REL 

USA and GBR Treaty Community//.’’ 

For example, for defense articles 

classified SECRET, the marking or 

identification shall be ‘‘//SECRET 

USML//REL USA and GBR Treaty 

Community//.’’ 

(ii) Unclassified defense articles and 

defense services exported under or 

transitioned pursuant to this section 

shall be handled while in the UK as 

‘‘Restricted USML’’ and the standard 

marking or identification shall read ‘‘// 

RESTRICTED USML//REL USA and 

GBR Treaty Community//.’’ 

(2) Where U.S.-origin defense articles 

are returned to a member of the United 

States Community identified in 

paragraph (b) of this section, any 

defense articles marked or identified 

pursuant to paragraph (j)(1)(ii) of this 

section as ‘‘//RESTRICTED USML//REL 

USA and GBR Treaty Community//’’ 

will be considered unclassified and the 

marking or identification shall be 

removed; and 

(3) * * * 

(i) Defense articles (other than 

technical data) shall be individually 

labeled with the appropriate 

identification detailed in paragraphs 

(j)(1) and (j)(2) of this section; or, where 

such labeling is impracticable (e.g., 

propellants, chemicals), shall be 

accompanied by documentation (such 

as contracts or invoices) clearly 

associating the defense articles with the 

appropriate markings as detailed in 

paragraphs (j)(1)(i) and (j)(1)(ii) of this 

section; 

(ii) Technical data (including data 

packages, technical papers, manuals, 

presentations, specifications, guides and 

reports), regardless of media or means of 

transmission (physical, oral, or 

electronic), shall be individually labeled 

with the appropriate identification 

detailed in paragraphs (j)(1) and (j)(2) of 

this section; or, where such labeling is 

impractical shall be accompanied by 

documentation (such as contracts or 

invoices) or verbal notification clearly 

associating the technical data with the 

appropriate markings as detailed in 

paragraphs (j)(1)(i) and (j)(1)(ii) of this 

section; and 

* * * * * 

(5) The exporter shall incorporate the 

following statement as an integral part 

of the bill of lading and the invoice 

whenever defense articles are to be 

exported: ‘‘These U.S. Munitions List 

commodities are authorized by the U.S. 

Government under the U.S.-UK Defense 

Trade Cooperation Treaty for export 

only to United Kingdom for use in 

approved projects, programs or 

operations by members of the United 

Kingdom Community. They may not be 

retransferred or reexported or used 

outside of an approved project, program, 


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or operation, either in their original 

form or after being incorporated into 

other end-items, without the prior 

written approval of the U.S. Department 

of State.’’ 

(k) * * * 

(1) * * * 

(i) * * * 

(A) Exporters registered with DDTC 

and eligible; 

* * * * * 

(C) Commercial air freight and surface 

shipment carriers, freight forwarders, or 

other parties not exempt from 

registration under § 129.3(b)(3) of this 

subchapter, that are identified at the 

time of export as being on the U.S. 

Department of Defense Civil Reserve Air 

Fleet (CRAF) list of approved air 

carriers, a link to which is available on 

the DDTC Web site; or 

(ii) * * * 

(B) Freight forwarders, customs 

brokers, commercial air freight and 

surface shipment carriers, or other 

United Kingdom parties that are 

identified at the time of export as being 

on the list of Authorized United 

Kingdom Intermediate Consignees, 

which is available on the DDTC Web 

site. 

* * * * * 

(l) * * * 

(1) All exporters authorized pursuant 

to paragraph (b)(2) of this section who 

export defense articles or defense 

services pursuant to the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom and this 

section shall maintain detailed records 

of their exports, imports, and transfers. 

Exporters shall also maintain detailed 

records of any reexports and retransfers 

approved or otherwise authorized by 

DDTC of defense articles or defense 

services subject to the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom and this 

section. These records shall be 

maintained for a minimum of five years 

from the date of export, import, transfer, 

reexport, or retransfer and shall be made 

available upon request to DDTC or a 

person designated by DDTC (e.g., U.S. 

Department of State’s Bureau of 

Diplomatic Security) or U.S. 

Immigration and Customs Enforcement, 

or U.S. Customs and Border Protection. 

Records in an electronic format must be 

maintained using a process or system 

capable of reproducing all records on 

paper. Such records when displayed on 

a viewer, monitor, or reproduced on 

paper, must exhibit a high degree of 

legibility and readability. (For the 

purpose of this section, ‘‘legible’’ and 

‘‘legibility’’ mean the quality of a letter 

or numeral that enables the observer to 

identify it positively and quickly to the 

exclusion of all other letters or 

numerals. ‘‘Readable’’ and ‘‘readability’’ 

means the quality of a group of letters 

or numerals being recognized as 

complete words or numbers.) These 

records shall consist of the following: 

* * * * * 

(2) * * * 

(iii) For exports in support of 

mutually determined specific security 

and defense projects where the 

Government of the United Kingdom is 

the end-user identify § 126.17(e)(3) (the 

name or an appropriate description of 

the project shall be placed in the 

appropriate field in the EEI, as well); or 

(iv) For exports that will have a U.S. 

Government end-use identify 

§ 126.17(e)(4) (the U.S. Government 

contract number or solicitation number 

(e.g., ‘‘U.S. Government contract 

number XXXXX’’) shall be placed in the 

appropriate field in the EEI, as well). 

Such exports must meet the required 

export documentation and filing 

guidelines, including for defense 

services, of § 123.22(a), (b)(1), and (b)(2) 

of this subchapter. 

(m) Fees and commissions. All 

exporters authorized pursuant to 

paragraph (b)(2) of this section shall, 

with respect to each export, transfer, 

reexport, or retransfer, pursuant to the 

Defense Trade Cooperation Treaty 

between the United States and the 

United Kingdom and this section, 

submit a statement to DDTC containing 

the information identified in § 130.10 of 

this subchapter relating to fees, 

commissions, and political 

contributions on contracts or other 

instruments valued in an amount of 

$500,000 or more. 

(n) * * * 

(4) DDTC or a person designated by 

DDTC (e.g., U.S. Department of State’s 

Bureau of Diplomatic Security), U.S. 

Immigration and Customs Enforcement, 

or U.S. Customs and Border Protection 

may require the production of 

documents and information relating to 

any actual or attempted export, transfer, 

reexport, or retransfer pursuant to this 

section. Any foreign person refusing to 

provide such records within a 

reasonable period of time shall be 

suspended from the United Kingdom 

Community and ineligible to receive 

defense articles or defense services 

pursuant to the exemption under this 

section or otherwise. 

(o) * * * 

(1) Exports pursuant to the Defense 

Trade Cooperation Treaty between the 

United States and the United Kingdom 

and this section by any person 

identified in paragraph (b)(2) of this 

section shall not take place until 30 

days after DDTC has acknowledged 

receipt of a written notification from the 

exporter notifying the Department of 

State if the export involves one or more 

of the following: 

* * * * * 

(iii) A contract, regardless of value, for 

the manufacturing abroad of any item of 

significant military equipment (see 

§ 120.7 of this subchapter); or 

* * * * * 

(2) The written notification required 

in paragraph (o)(1) of this section shall 

indicate the item/model number, 

general item description, U.S. 

Munitions List category, value, and 

quantity of items to be exported 

pursuant to the Defense Trade 

Cooperation Treaty between the United 

States and the United Kingdom and this 

section, and shall be accompanied by 

the following additional information: 

* * * * * 

PART 127—VIOLATIONS AND 

PENALTIES 

■ 13. The authority citation for part 127 

continues to read as follows: 

Authority: Sections 2, 38, and 42, Pub. L. 

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

2791); 22 U.S.C. 401; 22 U.S.C. 2651a; 22 

U.S.C. 2779a; 22 U.S.C. 2780; E.O. 13637, 78 

FR 16129. 

■ 14. Section 127.1 is amended by 

revising paragraph (d)(2), to read as 

follows: 

§ 127.1 Violations. 

* * * * * 

(d) * * * 

(2) Order, buy, receive, use, sell, 

deliver, store, dispose of, forward, 

transport, finance, or otherwise service 

or participate in any manner in any 

transaction subject to this subchapter 

that may involve any defense article, 

which includes technical data, defense 

services, or brokering activities, where 

such ineligible person may obtain any 

benefit therefrom or have any direct or 

indirect interest therein. 

* * * * * 

■ 15. Section 127.11 is amended by 

revising paragraph (b), to read as 

follows: 

§ 127.11 Past violations. 

* * * * * 

(b) Policy. An exception to the policy 

of the Department of State to deny 

applications for licenses or other 

approvals that involve persons 

described in paragraph (a) of this 

section shall not be considered unless 

there are extraordinary circumstances 

surrounding the conviction or 


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ineligibility to export, and only if the 

applicant demonstrates, to the 

satisfaction of the Assistant Secretary of 

State for Political-Military Affairs, that 

the applicant has taken appropriate 

steps to mitigate any law enforcement 

and other legitimate concerns, and to 

deal with the causes that resulted in the 

conviction, ineligibility, or debarment. 

Any person described in paragraph (a) 

of this section who wishes to request 

consideration of any application must 

explain, in a letter to the Deputy 

Assistant Secretary of State for Defense 

Trade Controls the reasons why the 

application should be considered. If the 

Assistant Secretary of State for PoliticalMilitary Affairs concludes that the 

application and written explanation 

have sufficient merit, the Assistant 

Secretary shall consult with the Office 

of the Legal Adviser and the Department 

of the Treasury regarding law 

enforcement concerns, and may also 

request the views of other departments, 

including the Department of Justice. If 

the Directorate of Defense Trade 

Controls does grant the license or other 

approval, subsequent applications from 

the same person need not repeat the 

information previously provided but 

should instead refer to the favorable 

decision. 

* * * * * 

PART 128—ADMINISTRATIVE 

PROCEDURES 

■ 16. The authority citation for part 128 

continues to read as follows: 

Authority: Sections 2, 38, 40, 42, and 71, 

Arms Export Control Act. 90 Stat. 744 (22 

U.S.C. 2752, 2778, 2780, 2791, and 2797); 22 

U.S.C. 2651a; E.O. 12291, 46 FR 1981; E.O. 

13637, 78 FR 16129. 

■ 17. Section 128.5 is amended by 

revising paragraph (c), to read as 

follows: 

§ 128.5 Answer and demand for oral 

hearing. 

* * * * * 

(c) Submission of answer. The answer, 

written demand for oral hearing (if any) 

and supporting evidence required by 

paragraph (b) of this section shall be in 

duplicate and mailed or delivered to the 

designated Administrative Law Judge. A 

copy shall be simultaneously mailed to 

the Deputy Assistant Secretary of State 

for Defense Trade Controls, SA–1, Room 

1200, Department of State, Washington, 

DC 20522–0112, or delivered to 2401 

Street NW., Washington, DC addressed 

to the Deputy Assistant Secretary of 

State for Defense Trade Controls, SA–1, 

Room 1200, Department of State, 

Washington, DC 20037. 

■ 18. Section 128.10 is revised to read 

as follows: 

§ 128.10 Disposition of proceedings. 

Where the evidence is not sufficient 

to support the charges, the Deputy 

Assistant Secretary of State for Defense 

Trade Controls or the Administrative 

Law Judge will dismiss the charges. 

Where the Administrative Law Judge 

finds that a violation has been 

committed, the Administrative Law 

Judge’s recommendation shall be 

advisory only. The Assistant Secretary 

of State for Political-Military Affairs will 

review the record, consider the report of 

the Administrative Law Judge, and 

make an appropriate disposition of the 

case. The Deputy Assistant Secretary of 

State for Defense Trade Controls may 

issue an order debarring the respondent 

from participating in the export of 

defense articles or technical data or the 

furnishing of defense services as 

provided in § 127.7 of this subchapter, 

impose a civil penalty as provided in 

§ 127.10 of this subchapter, or take such 

action as the Administrative Law Judge 

may recommend. Any debarment order 

will be effective for the period of time 

specified therein and may contain such 

additional terms and conditions as are 

deemed appropriate. A copy of the order 

together with a copy of the 

Administrative Law Judge’s report will 

be served upon the respondent. 

■ 19. Section 128.13 is amended by 

revising paragraph (e)(1), to read as 

follows: 

§ 128.13 Appeals. 

* * * * * 

(e) Preparation of appeals—(1) 

General requirements. An appeal shall 

be in letter form. The appeal and 

accompanying material should be filed 

in duplicate, unless otherwise 

indicated, and a copy simultaneously 

mailed to the Deputy Assistant 

Secretary of State for Defense Trade 

Controls, SA–1, Room 1200, Department 

of State, Washington, DC 20522–0112 or 

delivered to 2401 E Street NW., 

Washington, DC addressed to the 

Deputy Assistant Secretary of State for 

Defense Trade Controls, SA–1, Room 

1200, Department of State, Washington, 

DC 20037. 

* * * * * 

■ 20. Section 128.15 is amended by 

revising paragraph (a), to read as 

follows: 

§ 128.15 Orders containing probationary 

periods. 

(a) Revocation of probationary 

periods. A debarment order may set a 

probationary period during which the 

order may be held in abeyance for all or 

part of the debarment period, subject to 

the conditions stated therein. The 

Deputy Assistant Secretary of State for 

Defense Trade Controls may apply, 

without notice to any person to be 

affected thereby, to the Administrative 

Law Judge for a recommendation on the 

appropriateness of revoking probation 

when it appears that the conditions of 

the probation have been breached. The 

facts in support of the application will 

be presented to the Administrative Law 

Judge, who will report thereon and 

make a recommendation to the Assistant 

Secretary of State for Political-Military 

Affairs. The latter will make a 

determination whether to revoke 

probation and will issue an appropriate 

order. The party affected by this action 

may request the Assistant Secretary of 

State for Political-Military Affairs to 

reconsider the decision by submitting a 

request within 10 days of the date of the 

order. 

* * * * * 

PART 130—POLITICAL 

CONTRIBUTIONS, FEES AND 

COMMISSIONS 

■ 21. The authority citation for part 130 

is revised to read as follows: 

Authority: Sec. 39, Pub. L. 94–329, 90 Stat. 

767 (22 U.S.C. 2779); 22 U.S.C. 2651a; E.O. 

13637, 78 FR 16129. 

■ 22. Section 130.9 is amended by 

revising paragraph (a)(1)(ii), to read as 

follows: 

§ 130.9 Obligation to furnish information 

to the Directorate of Defense Trade 

Controls. 

(a)(1) * * * 

(ii) Fees or commissions in an 

aggregate amount of $100,000 or more. 

If so, applicant must furnish to the 

Directorate of Defense Trade Controls 

the information specified in § 130.10. 

The furnishing of such information or 

an explanation satisfactory to the 

Director of the Office of Defense Trade 

Controls Licensing as to why all the 

information cannot be furnished at that 

time is a condition precedent to the 

granting of the relevant license or 

approval. 

* * * * * 

Dated: January 23, 2014. 

Rose E. Gottemoeller, 

Acting Under Secretary, Arms Control and 

International Security, Department of State. 

[FR Doc. 2014–02293 Filed 2–10–14; 8:45 am] 

BILLING CODE 4710–25–P 


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