[Federal Register Volume 79, Number 1 (Thursday, January 2, 2014)]
[Rules and Regulations]
[Pages 34-47]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-31323]


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DEPARTMENT OF STATE

22 CFR Parts 121, 123, 124, and 125

RIN 1400-AD46
[Public Notice 8580]


Amendment to the International Traffic in Arms Regulations: Third 
Rule Implementing Export Control Reform

AGENCY: Department of State.

ACTION: Final rule.

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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 five more U.S. Munitions List (USML) 
categories and provide 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 July 1, 2014.

FOR FURTHER INFORMATION CONTACT: Ms. Sarah J. Heidema, Deputy Director, 
Office of Defense Trade Controls Policy, Department of State, telephone 
(202) 663-2809; email DDTCResponseTeam@state.gov. ATTN: Regulatory 
Change, Third 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 published proposed revisions to thirteen USML 
categories--and upon the effective date of this rule will have revised 
fifteen USML categories--to create a more positive control list and 
eliminate, where possible, ``catch all'' controls in the USML. The 
Department, along with the Departments of Commerce and Defense, 
reviewed the public comments the Department received on the proposed 
rules and, 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 rule. The Department continues to review the 
remaining USML categories and will publish them as proposed rules in 
the coming months.
    Discussions of the public comments relevant to six of the USML 
categories that have been published as final rules are in ``Amendment 
to the International Traffic in Arms Regulations: Initial 
Implementation of Export Control Reform,'' published April 16, 2013 (78 
FR 22740), and ``Amendment to the International Traffic in Arms 
Regulations: Continued Implementation of Export Control Reform,'' 
published July 8, 2013 (78 FR 40922). These rules also contain 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, 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. The 
Department of Commerce's companion to this rule is, ``Control of 
Military Training Equipment, Energetic Materials, Personal Protective 
Equipment, Shelters, Articles Related to Launch Vehicles, Missiles, 
Rockets, Military Explosives, and Related Items.'' It is published 
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 IV (Launch 
Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, 
Bombs, and Mines), V (Explosives and Energetic Materials, Propellants, 
Incendiary Agents, and Their Constituents), IX (Military Training 
Equipment), X (Personal Protective Equipment), and XVI (Nuclear Weapons 
Related Articles); (ii) addition of a definition for the term 
``equipment''; (iii) 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 (iv) related changes to other ITAR 
sections.

Revision of USML Category IV

    This final rule revises USML Category IV, covering launch vehicles, 
guided missiles, ballistic missiles, rockets, torpedoes, bombs, and 
mines, to describe more precisely the articles warranting control on 
the USML.
    Paragraph (a) is revised to remove demolition blocks and blasting 
caps, and to add subparagraphs (1) through (12) to more clearly 
describe the articles controlled in (a). ITAR Sec.  121.11, which 
further describes demolition blocks and blasting caps, is removed. 
Paragraphs (b) and (d) are revised to more specifically enumerate the 
articles controlled therein. The articles of paragraph (e), military 
explosive excavating devices, are transferred to the jurisdiction of 
the Department of Commerce under ECCN 0A604.b. The articles of 
paragraph (f), ablative materials, were moved to USML Category XIII(d) 
(see 78 FR 40922). Paragraph (h) is revised by removing its broad 
catch-all wording and adding subparagraphs (1) through (29) to 
specifically enumerate the articles controlled in that paragraph. In 
addition, articles common to the Missile

[[Page 35]]

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.
    A new ``(x) paragraph'' has been added to USML Category IV, 
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 IV and are described in the purchase documentation submitted 
with the application.
    This revision of USML Category IV was first published as a proposed 
rule (RIN 1400-AD19) on January 31, 2013, for public comment (see 78 FR 
6765). The comment period ended March 18, 2013. The public comments 
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 IV. When the recommended changes added 
to the clarity of the regulation and were consistent with ECR 
objectives, the Department accepted them.
    One commenting party observed that, with regard to technical data 
directly related to a defense article controlled on the USML and 
unclassified technical data directly related to parts and components of 
the defense article that are controlled on the CCL, insofar as the 
parts and components are directly related to the defense article, 
certain of the technical data directly related to the defense article 
by virtue of being directly related to the parts and components of the 
defense article would not be captured by the technical data control 
paragraph, depending on whether the parts and components are part of 
the defense article at the point of export, or are proposed for export 
apart from the defense article. The commenting party discerns an export 
jurisdictional conflict. The Department clarifies that unclassified 
technical data directly related to the parts and components that are 
controlled under the CCL would not be controlled under the ITAR. The 
Department would, however, have export jurisdiction over aggregated 
technical data that included technical data directly related to a 
defense article. Unclassified technical data directly related to parts 
and components that would be controlled under the CCL would remain 
subject to the EAR if they were proposed for export apart from the ITAR 
controlled technical data.
    In response to two commenting parties' requests for clarification, 
``payload fairings'' controlled under paragraph (h) has been revised to 
control for ``rocket or missile payload fairings.''
    Two commenting parties recommended changing the MT control text 
used in paragraph (h) from the criterion of ``usable in'' to that of 
``specially designed'' so as to prevent capture of items not intended 
to be controlled for MT reasons. The Department did not accept this 
recommendation because to do so would be in contravention of the 
Missile Technology Control Regime Annex. In explaining the use of the 
term ``usable in,'' the MTCR Annex provides that, ``there is no need 
for the equipment, parts, components or `software' to have been 
configured, modified or specified for the particular purpose.''
    One commenting party recommended controlling ``pulse weapons'' 
under USML Category IV. The control of these articles will be addressed 
in a future rule that will address USML Category XVIII.
    In response to two commenting parties' recommendations, the 
Department revised Note 1 to paragraph (b) to clarify that non-SLV 
launcher mechanisms for use on aircraft are controlled under USML 
Category VIII.
    One commenting party inquired whether the use of a Missile 
Technology (MT) component in conjunction with non-MT components renders 
the whole item MT-controlled. The Department notes that the MTCR 
guidelines provide the following: If a Category I item is included in a 
system, that system will also be considered as Category I, except when 
the incorporated item cannot be separated, removed, or duplicated. The 
ITAR will follow the same policy in such circumstances, and the 
Department placed a note in USML Category IV to this effect.
    The Department accepted the recommendation of one commenting party 
to control under paragraph (h) pneumatic flight control systems, in 
addition to hydraulic, mechanical, electro-optical, or 
electromechanical flight control systems already enumerated therein.
    In response to the recommendation of one commenting party, the 
Department revised the note to paragraph (h)(17) to provide more 
accurate guidance for determining the export jurisdiction of 
spacecraft: Exporters should consult USML Category XV and, if the 
spacecraft is not described therein, then CCL ECCN 9A515.
    One commenting party requested clarification of whether there are 
sounding or research rockets not controlled under the USML. The 
Department clarifies that all such rockets are controlled under USML 
Category IV.
    Two commenting parties observed that the issue of control of 
commercial space flight was not addressed in the USML Category IV 
proposed rule. This matter is dealt with in the USML Category XV 
proposed rule, which was published on May 24, 2013 (see 78 FR 31444). 
The Department will respond to comments on the substance of that rule, 
including commercial space flight, in a separate final rule.

Revision of USML Category V

    This final rule revises USML Category V, covering explosives and 
energetic materials, propellants, incendiary agents, and their 
constituents, to establish a clear ``bright line'' between the USML and 
the CCL for the control of these articles.
    One major change of this rule is the listing of specific materials 
that warrant ITAR control caught by former ``catch-all'' paragraphs. 
Examples of materials added because of deletion of catch-all paragraphs 
are as follows: Tetrazines (BTAT (Bis(2,2,2-trinitroethyl)-3,6-
diaminotetrazine); LAX-112 (3,6-diamino- 1,2,4,5-tetrazine- 1,4-
dioxide); PNO (Poly(3-nitrato oxetane); 4,5 diazidomethyl-2-methyl-
1,2,3-triazole (iso- DAMTR)); TEPB (Tris (ethoxyphenyl) bismuth) (CAS 
90591-48-3); and TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-
diazaisowurtzitane). Materials once captured in the catch-all 
paragraphs that do not warrant control on the USML are to be controlled 
on the CCL. Examples of such materials removed from various catch-all 
paragraphs and controlled on the CCL are spherical aluminum powder and 
hydrazine and its derivatives.
    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 V, 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 V and 
are described in the purchase documentation submitted with the 
application.
    This revision of USML Category V was first published as a proposed 
rule (RIN 1400-AD02) on May 2, 2012, for

[[Page 36]]

public comment (see 77 FR 25944). The comment period ended June 18, 
2012. The public comments were reviewed and considered by the 
Department and other agencies. The Department's evaluation of the 
written comments and recommendations follows.
    One commenting party recommended quantifying the level of 
concentration that would establish USML control of certain items that 
have commercial applications. For two of these items--RDX and its 
derivatives and HMX and its derivatives--the MTCR Annex does not 
provide for a minimum level for establishing control as a munitions 
item. For the other two--Tetryl and 1,3,5-trichlorobenezene--the 
Department determined that there is no minimum level for identifying 
military utility or lack thereof. Therefore, the Department did not 
accept this recommendation.
    In response to one commenting party's concern that the changing of 
a control criterion for explosives in paragraph (a)(38) may lead to the 
control under the USML of articles previously determined to be 
controlled under the CCL, the Department reverted to the previously-
provided threshold of 8,700m/s.
    One commenting party recommended removal of the control for 
developmental explosives, etc., when developed under a contract with 
the U.S. Government because this would stymie university fundamental 
research. The Department does not accept this recommendation, but 
revised paragraph (i) to qualify the control of such articles under 
development.
    The Department did not accept the recommendation of one commenting 
party to adopt the American Society for Metals definition for ``alloy'' 
so as to clarify the controls provided in paragraphs (c)(4)(ii)(B) and 
(c)(4)(iii) because the context of the controls makes clear that any 
alloys of materials covered in those paragraphs would automatically 
meet the criteria of that definition of alloy.

Revision of USML Category IX

    This final rule revises USML Category IX, covering military 
training equipment, to more accurately describe the articles within 
this category in order to establish a ``bright line'' between the USML 
and the CCL for the control of these articles.
    The title of the category is changed to indicate that it covers 
training equipment only. Training on a defense article would be a 
defense service covered under the category in which the defense article 
is enumerated.
    Paragraph (a) lists all the types of training equipment covered in 
this category. Paragraph (b) is revised to more specifically describe 
the items (simulators) controlled therein. Tooling and production 
equipment, formerly controlled in paragraph (c), are covered on the CCL 
in ECCN 0B614.
    Radar target generators are to be controlled in USML Category 
XI(a). Until the revised USML Category XI goes into effect, radar 
target generators are enumerated in paragraph (a). Similarly, infrared 
scene generators are enumerated in paragraph (a), although the 
intention is to control them in a revised USML Category XII.
    Upon the effective date of this rule USML Category IX will not 
contain controls on all generic parts, components, accessories, and 
attachments (formerly captured in paragraph (d)) that are in any way 
specifically designed or modified for a defense article described in 
USML Category IX, regardless of their significance to maintaining a 
military advantage for the United States. These items are subject to 
the new 600 series controls in Category 0 of the CCL, published 
separately by the Department of Commerce elsewhere in this issue of the 
Federal Register.
    A new ``(x) paragraph'' has been added to USML Category IX, 
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 IX and are described in the purchase documentation submitted 
with the application.
    This revision of USML Category IX was first published as a proposed 
rule (RIN 1400-AD02) on June 13, 2012, for public comment (see 77 FR 
35317). The comment period ended July 30, 2012. The public comments 
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 IX. When the recommended changes added 
to the clarity of the regulation, did not alter the intended scope of 
the control, and were consistent with ECR objectives, the Department 
accepted them.
    One commenting party recommended the removal of paragraph (b)(4), 
which covers software used for modeling or simulation, as the control 
of software elsewhere on the USML is related to hardware. The 
commenting party was concerned that treating it differently here may 
cause confusion over what software is controlled in other categories. 
The Department did not accept this recommendation because, in this 
instance, the enumerated software is the object of control. The 
Department believes that the control for software in other categories 
is clear.
    To address the concerns of one commenting party that paragraph 
(a)(2) would control articles outside the definition of a defense 
article, the Department added a note to that paragraph explaining that 
mockups of defense articles that do not reveal technical data and do 
not contain parts, components, accessories, or attachments controlled 
on the USML are themselves not controlled on the USML.

Revision of USML Category X

    This final rule revises USML Category X, covering personal 
protective equipment, in order to establish a ``bright line'' between 
the USML and the CCL for the control of these articles.
    The title of the category is changed to remove reference to 
shelters, as those items formerly enumerated in paragraph (b) 
(permanent or transportable shelters specifically designed or modified 
to protect against ballistic shock or impact and nuclear, biological, 
or chemical contamination) are now subject to the EAR and controlled 
under ECCN 1A613. Body armor enumerated in paragraph (a)(1) is that 
which meets or exceeds NIJ Standard-0101.06 Type IV. Type III body 
armor formerly on the USML is controlled on the CCL under ECCN 1A613. 
Anti-gravity suits, pressure suits, and atmosphere diving suits, 
formerly controlled in paragraphs (a)(3), (a)(4), and (a)(5), 
respectively, are now subject to the EAR. Paragraph (a)(7) controls 
certain protective goggles, spectacles, and visors with an optical 
density of greater than 3.
    Equipment for the production of articles covered in this category 
(former paragraph (c)), are controlled on the CCL under ECCN 1B613.
    Paragraph (d), which controls parts, components, assemblies, 
accessories, attachments, and associated equipment, is limited in scope 
to include only ceramic or composite body armor plates, laser 
protective lenses and other materials for the articles enumerated in 
paragraph (a)(7), and classified hardware. As with the revision of 
other categories, USML Category X will not control generic, non-
specific parts, components, accessories, and attachments that are in 
any way specifically designed or modified for a defense article, 
regardless of their significance to maintaining a military advantage 
for the United States. These items are subject to the new 600 series 
controls in Category 1 of the CCL,

[[Page 37]]

published separately by the Department of Commerce.
    A new ``(x) paragraph'' has been added to USML Category X, 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 X and 
are described in the purchase documentation submitted with the 
application.
    This revision of USML Category X was first published as a proposed 
rule (RIN 1400-AD16) on June 7, 2012, for public comment (see 77 FR 
33698). The comment period ended July 23, 2012. The public comments 
were reviewed and considered by the Department and other agencies. The 
Department's evaluation of the written comments and recommendations 
follows.
    In response to one commenting party's concern that the paragraph 
controlling goggles, etc., was written in a manner that would control 
commercial articles, the Department revised the text to better describe 
the articles meriting control on the USML.
    Two commenting parties expressed concern that the control for 
developmental articles would capture articles solely on the basis of 
being developed via funding by the Department of Defense, even though 
they were being developed for commercial applications. The Department 
revised that paragraph to make clear that, among other things, it does 
not capture articles identified in the relevant Department of Defense 
contract or other funding authorization as being developed for both 
civil and military applications.
    One commenting party recommended that generic, non-specific parts, 
components, accessories, and attachments for articles covered in this 
category not be controlled on the USML. Paragraph (d), which covers 
parts, components, assemblies, accessories, attachments, and associated 
equipment for this category, is limited in scope to include only 
ceramic or composite body armor plates, laser protective lenses and 
other materials for the articles enumerated in paragraph (a)(7), and 
classified hardware. The Department believes the rule is consistent 
with the commenting party's recommendation.

Revision of USML Category XVI

    This final rule removes most of the articles formerly enumerated in 
USML Category XVI (nuclear weapons related articles). The provisions of 
22 CFR 120-130 do not apply to the articles, technical data, or 
services formerly described in USML Category XVI to the extent that 
exports of such articles, 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 are pursuant 
to a government transfer authorized pursuant to these Acts.
    USML Category XVI will continue to control modeling or simulation 
tools that model or simulate the environments generated by nuclear 
detonations or the effects of these environments on systems, 
subsystems, components, structures, or humans, and technical data and 
defense services directly related to those defense articles. Nuclear 
radiation detection and measurement devices formerly in paragraph (c) 
are subject to the EAR under already existing ECCN 1A004.c.2 or 
2A291.e.
    A new ``(x) paragraph'' has been added to USML Category XVI, 
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 XVI and are described in the purchase documentation submitted 
with the application.
    This revision of USML Category XVI was first published as a 
proposed rule (RIN 1400-AD18) on January 30, 2013, for public comment 
(see 78 FR 6269). The comment period ended March 18, 2013. The public 
comments were reviewed and considered by the Department and other 
agencies. The Department's evaluation of the written comments and 
recommendations follows.
    One commenting party expressed concern that not controlling on the 
USML parts and components ``necessary for the [nuclear] weapon to be 
secured, made safe, survive to target, and detonate as planned'' will 
result in these articles becoming vulnerable to counterfeiting, 
sabotage, and compromise. The Department of Energy has always 
maintained and will retain control of nuclear weapon-related articles, 
so this revision of USML Category XVI does not represent a loosening of 
controls.
    One commenting party inquired whether an accessory for a modeling 
or simulation tool controlled in paragraph (b) is USML-controlled. The 
Department added a paragraph to the category to control parts, 
components, accessories, attachments, and associated equipment, to 
correct for an unintentional omission. This paragraph would control 
accessories for articles controlled in paragraph (b).
    One commenting party recommended including a note that USML 
Category XVI does not control modeling or simulation tools that are 
controlled by the Department of Energy pursuant to the Atomic Energy 
Act. The Department did not accept this recommendation because ITAR 
Sec.  123.20 explicitly states that the ITAR does not apply to nuclear 
weapon-related articles to the extent that such articles are under the 
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, as amended.
    In response to one commenting party's inquiry, the Department 
confirms that hardware and software are within the scope of USML 
Category XVI.
    One commenting party requested information on the export licensing 
procedure for items formerly listed in USML Category XVI but now 
clarified as being under the jurisdiction of the Department of Energy. 
The Department refers the commenting party to the Department of 
Energy's National Nuclear Security Administration for its policies and 
procedures.

Definition for ``Equipment''

    A definition for the term ``equipment'' is added to ITAR Sec.  
121.8. The Department proposed this definition for public comment in a 
proposed rule (RIN 1400-AD25) published on November 28, 2012 (see 77 FR 
70958). The Department accepted the recommendation of a commenting 
party to add the newly defined term ``equipment'' to the definition of 
``system,'' and amended ITAR Sec.  121.8(g) accordingly. In addition, 
it made editorial changes to the other paragraphs in that section.

Other Technical Changes Included in This Rule

    ITAR Sec.  121.5, which provided clarification of paragraph (c) of 
USML Category IV, is removed. Articles formerly listed therein are now 
identified in a note to paragraph (c) or are enumerated in paragraph 
(h) of USML Category IV.
    ITAR Sec.  121.11, which listed items not covered in paragraph (a) 
of USML Category IV, is removed.
    ITAR Sec.  123.20 is revised to replace certain undefined terms 
with terms defined and in normal use in the ITAR, and to provide 
citation of Department of Commerce authorities regarding the export of 
nuclear related items. ITAR Sec.  124(c)(5) is revised to remove

[[Page 38]]

subparagraphs (iii), (ix), and (xi), in accordance with the revision of 
USML Category XVI. And ITAR Sec.  125.1(e) is revised to refer to ITAR 
Sec.  123.20 for the export of technical data related to articles in 
USML Categories VI(e), XVI, and XX(b)(1).

Adoption of Proposed Rules and Other Changes

    Having reviewed and evaluated the comments and recommended changes 
for the USML Category IV, USML Category V, USML Category IX, USML 
Category X, and USML Category XVI proposed rules, as well as the 
proposed rule that included the definition of ``equipment,'' the 
Department determined that it will, and hereby does, adopt them, with 
changes noted and other technical corrections, 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 published this rule as 
separate proposed rules identified as 1400-AD02, 1400-AD15, 1400-AD16, 
1400-AD18, 1400-AD19, and 1400-AD25, 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 foreign-based 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 foreign-based 
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 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

    Following is a listing of approved collections that will be 
affected by revision of the U.S. Munitions List (USML) and the Commerce 
Control List pursuant to the President's Export Control Reform (ECR) 
initiative. This final 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 currently-
registered 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.

[[Page 39]]

    (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 newly-established 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 currently-registered 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 121 and 125

    Arms and munitions, Classified information, Exports.

22 CFR 123

    Arms and munitions, Exports, Reporting and recordkeeping 
requirements.

22 CFR 124

    Arms and munitions, Exports, Technical assistance.

    Accordingly, for the reasons set forth above, Title 22, Chapter I, 
Subchapter M, parts 121, 123, 124 and 125 are amended as follows:

PART 121--THE UNITED STATES MUNITIONS LIST

0
1. 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.


0
2. Section 121.1 is amended by revising U.S. Munitions List Categories 
IV, V, IX, X, and XVI to read as follows:


Sec.  121.1  General. The United States Munitions List.

* * * * *

Category IV--Launch Vehicles, Guided Missiles, Ballistic Missiles, 
Rockets, Torpedoes, Bombs, and Mines

    *(a) Rockets, space launch vehicles (SLVs), missiles, bombs, 
torpedoes, depth charges, mines, and grenades, as follows:
    (1) Rockets, SLVs, and missiles capable of delivering at least a 
500-kg payload to a range of at least 300 km (MT);
    (2) Rockets, SLVs, and missiles capable of delivering less than a 
500-kg payload to a range of at least 300 km (MT);
    (3) Man-portable air defense systems (MANPADS);
    (4) Anti-tank missiles and rockets;
    (5) Rockets, SLVs, and missiles not meeting the criteria of 
paragraphs (a)(1) through (a)(4) of this category;
    (6) Bombs;
    (7) Torpedoes;
    (8) Depth charges;
    (9) Anti-personnel, anti-vehicle, or anti-armor land mines (e.g., 
area denial devices);
    (10) Anti-helicopter mines;
    (11) Naval mines; or
    (12) Fragmentation and high explosive hand grenades.

    Note 1 to paragraph (a): ``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 2 to paragraph (a): ``Payload'' is the total mass that can 
be carried or delivered by the specified rocket, SLV, or missile 
that is not used to maintain flight.


    Note 3 to paragraph (a): This paragraph does not control model 
and high power rockets (as defined in National Fire Protection 
Association Code 1122) and kits thereof made of paper, wood, 
fiberglass, or plastic containing no substantial metal parts and 
designed to be flown with hobby rocket motors that are certified for 
consumer use. Such rockets must not contain active controls (e.g., 
RF, GPS).


    Note 4 to paragraph (a): ''Mine'' means a munition placed under, 
on, or near the ground or other surface area and designed to be 
exploded by the presence, proximity, or contact of a person or 
vehicle.

    *(b) Launchers for rockets, SLVs, and missiles, as follows:

[[Page 40]]

    (1) Fixed launch sites and mobile launcher mechanisms for any 
system enumerated in paragraphs (a)(1) and (a)(2) of this category 
(e.g., launch tables, TOW missile, MANPADS) (MT); or
    (2) Fixed launch sites and mobile launcher mechanisms for any 
system enumerated in paragraphs (a)(3) through (a)(5) of this category 
(e.g., launch tables, TOW missile, MANPADS).

    Note 1 to paragraph (b): For controls on non-SLV launcher 
mechanisms for use on aircraft, see USML Category VIII(h).


    Note 2 to paragraph (b): For controls on launcher mechanisms 
that are integrated onto a vessel or ground vehicle, see USML 
Categories VI and VII, respectively.


    Note 3 to paragraph (b): This paragraph does not control parts 
and accessories (e.g., igniters, launch stands) specially designed 
for consumer use with model and high power rockets (as defined in 
National Fire Protection Association Code 1122) and kits thereof 
made of paper, wood, fiberglass, or plastic containing no 
substantial metal parts and designed to be flown with hobby rocket 
motors that are certified for consumer use.

    (c) Apparatus and devices specially designed for the handling, 
control, activation, monitoring, detection, protection, discharge, or 
detonation of the articles enumerated in paragraphs (a) and (b) of this 
category (MT for those systems enumerated in paragraphs (a)(1), (a)(2), 
and (b)(1) of this category).

    Note 1 to paragraph (c): This paragraph includes specialized 
handling equipment (transporters, cranes, and lifts) specially 
designed to handle articles enumerated in paragraphs (a) and (b) of 
this category for preparation and launch from fixed and mobile 
sites. The equipment in this paragraph also includes specially 
designed robots, robot controllers, and robot end-effectors, and 
liquid propellant tanks specially designed for the storage or 
handling of the propellants controlled in USML Category V, CCL ECCNs 
1C011, 1C111, and 1C608, or other liquid propellants used in the 
systems enumerated in paragraphs (a)(1), (a)(2), or (a)(5) of this 
category.


    Note 2 to paragraph (c): Aircraft Missile Protection Systems 
(AMPS) are controlled in USML Category XI.

    *(d) Rocket, SLV, and missile power plants, as follows:
    (1) Except as enumerated in paragraph (d)(2) or (d)(3) of this 
category, individual rocket stages for the articles enumerated in 
paragraph (a)(1), (a)(2), or (a)(5) of this category (MT for those 
stages usable in systems enumerated in paragraphs (a)(1) and (a)(2) of 
this category);
    (2) Solid propellant rocket motors, hybrid or gel rocket motors, or 
liquid propellant rocket engines having a total impulse capacity equal 
to or greater than 1.1 x 10\6\ N[middot]s (MT);
    (3) Solid propellant rocket motors, hybrid or gel rocket motors, or 
liquid propellant rocket engines having a total impulse capacity equal 
to or greater than 8.41 x 10\5\ N[middot]s, but less than 1.1 x 10\6\ 
N[middot]s (MT);
    (4) Combined cycle, pulsejet, ramjet, or scramjet engines (MT);
    (5) Air-breathing engines that operate above Mach 4 not enumerated 
in paragraph (d)(4) of this category;
    (6) Pressure gain combustion-based propulsion systems not 
enumerated in paragraphs (d)(4) and (d)(5) of this category; or
    (7) Rocket, SLV, and missile engines and motors, not otherwise 
enumerated in paragraphs (d)(1) through (d)(6) of this category or USML 
Category XIX.

    Note to paragraph (d): This paragraph does not control model and 
high power rocket motors, containing no more than 5 pounds of 
propellant, that are certified for U.S. consumer use as described in 
National Fire Protection Association Code 1125.

    (e) [Reserved]
    (f) [Reserved]
    *(g) Non-nuclear warheads for rockets, bombs, and missiles (e.g., 
explosive, kinetic, EMP, thermobaric, shape charge, and fuel air 
explosive (FAE)).
    (h) Systems, subsystems, parts, components, accessories, 
attachments, or associated equipment, as follows:
    (1) Flight control and guidance systems (including guidance sets) 
specially designed for articles enumerated in paragraph (a) of this 
category (MT for those articles enumerated in paragraphs (a)(1) and 
(a)(2) of this category);

    Note to paragraph (h)(1): A guidance set integrates the process 
of measuring and computing a vehicle's position and velocity (i.e., 
navigation) with that of computing and sending commands to the 
vehicle's flight control systems to correct the trajectory.

    (2) Seeker systems specially designed for articles enumerated in 
paragraph (a) of this category (e.g., radiofrequency, infrared) (MT for 
articles enumerated in paragraphs (a)(1) and (a)(2) of this category);
    (3) Kinetic kill vehicles and specially designed parts and 
components therefor;
    (4) Missile or rocket thrust vector control systems (MT for those 
thrust vector control systems usable in articles enumerated in 
paragraph (a)(1) of this category);
    (5) MANPADS grip stocks and specially designed parts and components 
therefor;
    (6) Rocket or missile nozzles and nozzle throats, and specially 
designed parts and components therefor (MT for those nozzles and nozzle 
throats usable in systems enumerated in paragraphs (a)(1) and (a)(2) of 
this category);
    (7) Rocket or missile nose tips, nose fairings, or aerospikes, and 
specially designed parts and components therefor (MT for those articles 
enumerated in paragraphs (a)(1) and (a)(2) of this category);
    (8) Re-entry vehicle or warhead heat shields (MT for those re-entry 
vehicles and heat shields usable in systems enumerated in paragraph 
(a)(1) of this category);
    (9) Missile and rocket safing, arming, fuzing, and firing (SAFF) 
components (to include target detection and proximity sensing devices), 
and specially designed parts therefor (MT for those SAFF components 
usable in systems enumerated in paragraph (a)(1) of this category);
    (10) Self-destruct systems specially designed for articles 
enumerated in paragraph (a) of this category (MT for those articles 
enumerated in paragraphs (a)(1) and (a)(2) of this category);
    (11) Separation mechanisms, staging mechanisms, and interstages 
useable for articles enumerated in paragraph (a) of this category, and 
specially designed parts and components therefor (MT for those 
separation mechanisms, staging mechanisms, and interstages usable in 
systems enumerated in paragraph (a)(1) of this category);
    (12) Post-boost vehicles (PBV) (MT);
    (13) Engine or motor mounts specially designed for articles 
enumerated in paragraphs (a) and (b) of this category (MT for those 
articles enumerated in paragraphs (a)(1), (a)(2), and (b)(1) of this 
category);
    (14) Combustion chambers specially designed for articles enumerated 
in paragraphs (a) and (d) of this category and specially designed parts 
and components therefor (MT for those articles enumerated in paragraphs 
(a)(1), (a)(2), (b)(1), and (d)(1) through (d)(5) of this category);
    (15) Injectors specially designed for articles controlled in this 
category (MT for those injectors specially designed which are usable in 
systems enumerated in paragraph (a)(1) of this category);
    (16) Solid rocket motor or liquid engine igniters;
    (17) Re-entry vehicles and specially designed parts and components 
therefor not elsewhere specified in this category (MT);

    Note to paragraph (h)(17): This paragraph does not control 
spacecraft. For controls on spacecraft, see USML Category XV and, if 
not described therein, then CCL ECCN 9A515.

    (18) Specially designed parts and components for articles 
controlled in

[[Page 41]]

paragraph (g) not elsewhere specified in this category;
    (19) Penetration aids and specially designed parts and components 
therefor (e.g., physical or electronic countermeasure suites, re-entry 
vehicle replicas or decoys, or submunitions);
    (20) Rocket motor cases and specially designed parts and components 
therefor (e.g., flanges, flange seals, end domes) (MT for those rocket 
motor cases usable in systems enumerated in paragraphs (a)(1) and 
(a)(2) of this category and for specially designed parts and components 
for hybrid rocket motors enumerated in paragraphs (d)(2) and (d)(3) of 
this category);
    (21) Solid rocket motor liners and rocket motor insulation (MT for 
those solid rocket motor liners usable in systems enumerated in 
paragraph (a)(1) of this category or specially designed for systems 
enumerated in paragraph (a)(2) of this category; and rocket motor 
insulation usable in systems enumerated in paragraphs (a)(1) and (a)(2) 
of this category);
    (22) Radomes, sensor windows, and antenna windows specially 
designed for articles enumerated in paragraph (a) of this category (MT 
for those radomes usable in systems enumerated in paragraph (a)(1) of 
this category and for any radomes, sensor windows, or antenna windows 
manufactured as composite structures or laminates specially designed 
for use in the systems and components enumerated in paragraph (a)(1), 
(a)(2), (d)(1), (h)(8), (h)(9), (h)(17), or (h)(25) of this category);
    (23) Rocket or missile payload fairings;
    (24) Rocket or missile launch canisters (MT for those rocket or 
missile launch canisters designed or modified for systems enumerated in 
paragraphs (a)(1) and (a)(2) of this category);
    (25) Fuzes specially designed for articles enumerated in paragraph 
(a) of this category (e.g., proximity, contact, electronic, dispenser 
proximity, airburst, variable time delay, or multi-option) (MT for 
those fuzes usable in systems enumerated in paragraph (a)(1) of this 
category);
    (26) Rocket or missile liquid propellant tanks (MT for those rocket 
or missile liquid propellant tanks usable in systems enumerated in 
paragraph (a)(1) of this category);
    (27) Rocket or missile altimeters specially designed for use in 
articles enumerated in paragraph (a)(1) of this category (MT);
    (28) Pneumatic, hydraulic, mechanical, electro-optical, or 
electromechanical flight control systems (including fly-by-wire 
systems) and attitude control equipment specially designed for use in 
the rockets or missiles enumerated in paragraph (a)(1) of this category 
(MT for these systems which have been designed or modified for those 
enumerated in paragraph (a)(1) of this category);
    (29) Umbilical and interstage electrical connectors specially 
designed for use in the rockets or missiles enumerated in paragraph 
(a)(1) or (a)(2) of this category (MT); or

    Note to paragraph (h)(29): This paragraph also includes 
electrical connectors installed between the systems specified in 
paragraph (a)(1) or (a)(2) of this category and their payload.

    *(30) 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.

    Note to paragraph (h)(30): ``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.

    (i) Technical data (see Sec.  120.10 of this subchapter) and 
defense services (see Sec.  120.9 of this subchapter) directly related 
to the defense articles enumerated in paragraphs (a) through (h) of 
this category and classified technical data directly related to items 
controlled in ECCNs 0A604, 0B604, 0D604, 9A604, 9B604, or 9D604 and 
defense services using the classified technical data. (See Sec.  125.4 
of this subchapter for exemptions.) (MT for technical data and defense 
services related to articles designated as such.)
    (j)-(w) [Reserved]
    (x) Commodities, software, and technical data subject to the EAR 
(see Sec.  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 Sec.  123.1(b) 
of this subchapter).


    Note to Category IV: If a Missile Technology Control Regime 
Category I item is included in a system, that system will also be 
considered as a Category I item, except when the incorporated item 
cannot be separated, removed, or duplicated.

Category V--Explosives and Energetic Materials, Propellants, Incendiary 
Agents, and Their Constituents

    *(a) Explosives, and mixtures thereof, as follows:
    (1) ADNBF (aminodinitrobenzofuroxan or 7-Amino 4,6-
dinitrobenzofurazane-1-oxide) (CAS 97096-78-1);
    (2) BNCP (cis-bis(5-nitrotetrazolato) tetra amine-cobalt (III) 
perchlorate) (CAS 117412-28-9);
    (3) CL-14 (diaminodinitrobenzofuroxan or 5,7-diamino-4,6-
dinitrobenzofurazane-1-oxide) (CAS 117907-74-1);
    (4) CL-20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285-90-
4); clathrates of CL-20 (MT for CL-20);
    (5) CP (2-(5-cyanotetrazolato) penta aminecobalt (III) perchlorate) 
(CAS 70247-32-4);
    (6) DADE (1,1-diamino-2,2-dinitroethylene, FOX-7);
    (7) DATB (Diaminotrinitrobenzene) (CAS 1630-08-6);
    (8) DDFP (1,4-dinitrodifurazanopiperazine);
    (9) DDPO (2,6-diamino-3,5-dinitropyrazine-1-oxide, PZO) (CAS 
194486-77-6);
    (10) DIPAM (3,3'-Diamino-2,2',4,4',6,6'-hexanitrobiphenyl or 
dipicramide) (CAS 17215-44-0);
    (11) DNAN (2,4-Dinitroanisole) (CAS 119-27-7);
    (12) DNGU (DINGU or dinitroglycoluril) (CAS 55510-04-8);
    (13) Furazans, as follows:
    (i) DAAOF (DAAF, DAAFox, or diaminoazoxyfurazan);
    (ii) DAAzF (diaminoazofurazan) (CAS 78644-90-3);
    (iii) ANF (Furazanamine, 4-nitro- or 3-Amino-4-nitrofurazan; or 4-
Nitro-1,2,5-oxadiazol-3-amine; or 4-Nitro-3-furazanamine; CAS 66328-69-
6); or
    (iv) ANAzF (Aminonitroazofurazan or 1,2,5-Oxadiazol-3-amine, 4-[2-
(4-nitro-1,2,5-oxadiazol-3-yl) diazenyl]; or 1,2,5-Oxadiazol-3-amine, 
4-[(4-nitro-1,2,5-oxadiazol-3-yl)azo]- (9CI); or Furazanamine, 4-
[(nitrofurananyl)azo]-; or 4-[(4-Nitro-1,2,5-oxadiazol-3-yl)azo]-1,2,5-
oxadiazol-3-amine) (CAS 155438-11-2);
    (14) GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
    (15) HMX and derivatives, as follows:
    (i) HMX (Cyclotetramethylenetetranitramine; octahydro-1,3,5,7-
tetranitro-1,3,5,7-tetrazine; 1,3,5,7-tetranitro-1,3,5,7-tetraza-
cyclooctane; octogen, octogene) (CAS 2691-41-0) (MT);
    (ii) Difluoroaminated analogs of HMX; or

[[Page 42]]

    (iii) K-55 (2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-
octanone-3, tetranitrosemiglycouril, or keto-bicyclic HMX) (CAS 130256-
72-3);
    (16) HNAD (hexanitroadamantane) (CAS 143850-71-9);
    (17) HNS (hexanitrostilbene) (CAS 20062-22-0);
    (18) Imidazoles, as follows:
    (i) BNNII (Octohydro-2,5-bis(nitroimino) imidazo [4,5-d]imidazole);
    (ii) DNI (2,4-dinitroimidazole) (CAS 5213-49-0);
    (iii) FDIA (1-fluoro-2,4-dinitroimidazole);
    (iv) NTDNIA (N-(2-nitrotriazolo)-2,4-dinitro-imidazole); or
    (v) PTIA (1-picryl-2,4,5-trinitroimidazole);
    (19) NTNMH (1-(2-nitrotriazolo)-2-dinitromethylene hydrazine);
    (20) NTO (ONTA or 3-nitro-1,2,4-triazol-5-one) (CAS 932-64-9);
    (21) Polynitrocubanes with more than four nitro groups;
    (22) PYX (2,6-Bis(picrylamino)-3,5-dinitropyridine) (CAS 38082-89-
2);
    (23) RDX and derivatives, as follows:
    (i) RDX (cyclotrimethylenetrinitramine), cyclonite, T4, hexahydro-
1,3,5-trinitro-1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza-cyclohexane, 
hexogen, or hexogene) (CAS 121-82-4) (MT);
    (ii) Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6-triazacyclohexanone) 
(CAS 115029-35-1); or
    (iii) Difluoraminated derivative of RDX; 1,3-Dinitro-5,5-
bis(difluoramino)1,3-diazahexane (CAS No. 193021-34-0);
    (24) TAGN (Triaminoguanidinenitrate) (CAS 4000-16-2);
    (25) TATB (Triaminotrinitrobenzene) (CAS 3058-38-6);
    (26) TEDDZ (3,3,7,7-tetrakis(difluoroamine) octahydro-1,5-dinitro-
1,5-diazocine;
    (27) Tetrazines, as follows:
    (i) BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine); or
    (ii) LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
    (28) Tetrazoles, as follows:
    (i) NTAT (nitrotriazolaminotetrazole); or
    (ii) NTNT (1-N-(2-nitrotriazolo)-4-nitrotetrazole);
    (29) Tetryl (trinitrophenylmethylnitramine) (CAS 479-45-8);
    (30) TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-diazaisowurtzitane);
    (31) TNAD (1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin) (CAS 135877-
16-6);
    (32) TNAZ (1,3,3-trinitroazetidine) (CAS 97645-24-4);
    (33) TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510-03-7);
    (34) TNP (1,4,5,8-tetranitro-pyridazino [4,5-d] pyridazine) (CAS 
229176-04-9);
    (35) Triazines, as follows:
    (i) DNAM (2-oxy-4,6-dinitroamino-s-triazine) (CAS 19899-80-0); or
    (ii) NNHT (2-nitroimino-5-nitro-hexahydro-1,3,5 triazine) (CAS 
130400-13-4);
    (36) Triazoles, as follows:
    (i) 5-azido-2-nitrotriazole;
    (ii) ADHTDN (4-amino-3,5-dihydrazino-1,2,4-triazole dinitramide) 
(CAS 1614-08-0);
    (iii) ADNT (1-amino-3,5-dinitro-1,2,4-triazole);
    (iv) BDNTA (Bis(dinitrotriazole)amine);
    (v) DBT (3,3'-dinitro-5,5-bi-1,2,4-triazole) (CAS 30003-46-4);
    (vi) DNBT (dinitrobistriazole) (CAS 70890-46-9);
    (vii) NTDNT (1-N-(2-nitrotriazolo) 3,5-dinitro-triazole);
    (viii) PDNT (1-picryl-3,5-dinitrotriazole); or
    (ix) TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243-36-1);
    (37) Energetic ionic materials melting between 70 and [deg]degrees 
C and with detonation velocity exceeding 6800 m/s or detonation 
pressure exceeding 18 GPa (180 kbar); or
    (38) Explosives, not otherwise enumerated in this paragraph or on 
the CCL in ECCN 1C608, with a detonation velocity exceeding 8700 m/s at 
maximum density or a detonation pressure exceeding 34 Gpa (340 kbar).
    *(b) Propellants, as follows (MT for composite and composite 
modified double-base propellants):
    (1) Any solid propellant with a theoretical specific impulse (see 
paragraph (k)(4) of this category) greater than:
    (i) 240 seconds for non-metallized, non-halogenated propellant;
    (ii) 250 seconds for non-metallized, halogenated propellant; or
    (iii) 260 seconds for metallized propellant;
    (2) Propellants having a force constant of more than 1,200 kJ/Kg;
    (3) Propellants that can sustain a steady-state burning rate more 
than 38 mm/s under standard conditions (as measured in the form of an 
inhibited single strand) of 6.89 Mpa (68.9 bar) pressure and 294K 
(21[deg]C);
    (4) Elastomer-modified cast double-based propellants with 
extensibility at maximum stress greater than 5% at 233 K (-40[deg]C); 
or
    (5) Other composite and composite modified double-base propellants.
    (c) Pyrotechnics, fuels and related substances, and mixtures 
thereof, as follows:
    (1) Alane (aluminum hydride) (CAS 7784-21-6);
    (2) Carboranes; decaborane (CAS 17702-41-9); pentaborane and 
derivatives thereof (MT);
    (3) Liquid high energy density fuels, as follows (MT):
    (i) Mixed fuels that incorporate both solid and liquid fuels, such 
as boron slurry, having a mass-based energy density of 40 MJ/kg or 
greater; or
    (ii) Other high energy density fuels and fuel additives (e.g., 
cubane, ionic solutions, JP-7, JP-10) having a volume-based energy 
density of 37.5 GJ per cubic meter or greater, measured at 20[deg]C and 
one atmosphere (101.325 kPa) pressure;

    Note to paragraph (c)(3)(ii): JP-4, JP-8, fossil refined fuels 
or biofuels, or fuels for engines certified for use in civil 
aviation are not included.

    (4) Metal fuels, and fuel or pyrotechnic mixtures in particle form 
whether spherical, atomized, spheroidal, flaked, or ground, 
manufactured from material consisting of 99% or more of any of the 
following:
    (i) Metals, and mixtures thereof, as follows:
    (A) Beryllium (CAS 7440-41-7) in particle sizes of less than 60 
micrometers (MT); or
    (B) Iron powder (CAS 7439-89-6) with particle size of 3 micrometers 
or less produced by reduction of iron oxide with hydrogen;
    (ii) Fuel mixtures or pyrotechnic mixtures, which contain any of 
the following:
    (A) Boron (CAS 7440-42-8) or boron carbide (CAS 12069-32-8) fuels 
of 85% purity or higher and particle sizes of less than 60 micrometers; 
or
    (B) Zirconium (CAS 7440-67-7), magnesium (CAS 7439-95-4), or alloys 
of these in particle sizes of less than 60 micrometers;
    (iii) Explosives and fuels containing the metals or alloys listed 
in paragraphs (c)(4)(i) and (c)(4)(ii) of this category whether or not 
the metals or alloys are encapsulated in aluminum, magnesium, 
zirconium, or beryllium;
    (5) Fuel, pyrotechnic, or energetic mixtures having any nanosized 
aluminum, beryllium, boron, zirconium, magnesium, or titanium, as 
follows:
    (i) Having particle size less than 200 nm in any direction; and
    (ii) Having 60% or higher purity;
    (6) Pyrotechnic and pyrophoric materials, as follows:
    (i) Pyrotechnic or pyrophoric materials specifically formulated to

[[Page 43]]

enhance or control the production of radiated energy in any part of the 
IR spectrum; or
    (ii) Mixtures of magnesium, polytetrafluoroethylene and the 
copolymer vinylidene difluoride and hexafluoropropylene (MT);
    (7) Titanium subhydride (TiHn) of stoichiometry equivalent to n = 
0.65-1.68; or
    (8) Hydrocarbon fuels specially formulated for use in flame 
throwers or incendiary munitions containing metal stearates (e.g., 
octal) or palmitates, and M1, M2, and M3 thickeners.
    (d) Oxidizers, as follows:
    (1) ADN (ammonium dinitramide or SR-12) (CAS 140456-78-6) (MT);
    (2) AP (ammonium perchlorate) (CAS 7790-98-9) (MT);
    (3) BDNPN (bis(2,2-dinitropropyl)nitrate) (CAS 28464-24-6);
    (4) DNAD (1,3-dinitro-1,3-diazetidine) (CAS 78246-06-7);
    (5) HAN (Hydroxylammonium nitrate) (CAS 13465-08-2);
    (6) HAP (hydroxylammonium perchlorate) (CAS 15588-62-2);
    (7) HNF (Hydrazinium nitroformate) (CAS 20773-28-8) (MT);
    (8) Hydrazine nitrate (CAS 37836-27-4) (MT);
    (9) Hydrazine perchlorate (CAS 27978-54-7) (MT);
    (10) Inhibited red fuming nitric acid (IRFNA) (CAS 8007-58-7) and 
liquid oxidizers comprised of or containing IRFNA or oxygen difluoride 
(MT for liquid oxidizers comprised of IRFNA); or
    (11) Perchlorates, chlorates, and chromates composited with 
powdered metal or other high energy fuel components controlled under 
this category (MT).
    *(e) Binders, and mixtures thereof, as follows:
    (1) AMMO (azidomethylmethyloxetane and its polymers) (CAS 90683-29-
7);
    (2) BAMO (bis(azidomethyl)oxetane and its polymers) (CAS 17607-20-
4);
    (3) BTTN (butanetriol trinitrate) (CAS 6659-60-5) (MT);
    (4) FAMAO (3-difluoroaminomethyl-3-azidomethyloxetane) and its 
polymers;
    (5) FEFO (bis(2-fluoro-2,2-dinitroethyl)formal) (CAS 17003-79-1);
    (6) GAP (glycidyl azide polymer) (CAS 143178-24-9) and its 
derivatives (MT for GAP);
    (7) HTPB (hydroxyl-terminated polybutadiene) with a hydroxyl 
functionality equal to or greater than 2.2 and less than or equal to 
2.4, a hydroxyl value of less than 0.77 meq/g, and a viscosity at 30 
[deg]C of less than 47 poise (CAS 69102-90-5) (MT);
    (8) 4,5 diazidomethyl-2-methyl-1,2,3-triazole (iso-DAMTR) (MT);
    (9) NENAS (nitratoethylnitramine compounds), as follows:
    (i) N-Methyl 2-nitratoethylnitramine (Methyl-NENA) (CAS 17096-47-8) 
(MT);
    (ii) N-Ethyl 2-nitratoethylnitramine (Ethyl-NENA) (CAS 85068-73-1) 
(MT);
    (iii) N-Propyl 2-nitratoethylnitramine (CAS 82486-83-7);
    (iv) N-Butyl-2-nitratoethylnitramine (BuNENA) (CAS 82486-82-6); or
    (v) N-Pentyl 2-nitratoethylnitramine (CAS 85954-06-9);
    (10) Poly-NIMMO (poly nitratomethylmethyoxetane, poly-NMMO, 
(poly[3-nitratomethyl-3-methyl oxetane]) (CAS 84051-81-0);
    (11) PNO (Poly(3-nitratooxetane));
    (12) TVOPA 1,2,3-Tris [1,2-bis(difluoroamino)ethoxy]propane; tris 
vinoxy propane adduct (CAS 53159-39-0);
    (13) Polynitrorthocarbonates;
    (14) FPF-1 (poly-2,2,3,3,4,4-hexafluoro pentane-1,5-diolformal) 
(CAS 376-90-9);
    (15) FPF-3 (poly-2,4,4,5,5,6,6-heptafluoro-2-trifluoromethyl-3-
oxaheptane-1,7-diolformal);
    (16) PGN (Polyglycidyl nitrate or poly(nitratomethyloxirane); poly-
GLYN); (CAS 27814-48-8);
    (17) N-methyl-p-nitroaniline (MT);
    (18) Low (less than 10,000) molecular weight, alcohol-
functionalized, poly(epichlorohydrin); poly(epichlorohydrindiol); and 
triol; or
    (19) Dinitropropyl based plasticizers, as follows (MT):
    (i) BDNPA (bis (2,2-dinitropropyl) acetal) (CAS 5108-69-0); or
    (ii) BDNPF (bis (2,2-dinitropropyl) formal) (CAS 5917-61-3).
    (f) Additives, as follows:
    (1) Basic copper salicylate (CAS 62320-94-9);
    (2) BHEGA (Bis-(2-hydroxyethyl)glycolamide) (CAS 17409-41-5);
    (3) BNO (Butadienenitrile oxide);
    (4) Ferrocene derivatives, as follows (MT):
    (i) Butacene (CAS 125856-62-4);
    (ii) Catocene (2,2-Bis-ethylferrocenylpropane) (CAS 37206-42-1);
    (iii) Ferrocene carboxylic acids and ferrocene carboxylic acid 
esters;
    (iv) n-butylferrocene (CAS 31904-29-7);
    (v) Ethylferrocene (CAS 1273-89-8);
    (vi) Propylferrocene;
    (vii) Pentylferrocene (CAS 1274-00-6);
    (viii) Dicyclopentylferrocene;
    (ix) Dicyclohexylferrocene;
    (x) Diethylferrocene (CAS 173-97-8);
    (xi) Dipropylferrocene;
    (xii) Dibutylferrocene (CAS 1274-08-4);
    (xiii) Dihexylferrocene (CAS 93894-59-8);
    (xiv) Acetylferrocene (CAS 1271-55-2)/1,1'-diacetyl ferrocene (CAS 
1273-94-5); or
    (xv) Other ferrocene derivatives that do not contain a six carbon 
aromatic functional group attached to the ferrocene molecule (MT if 
usable as rocket propellant burning rate modifier);
    (5) Lead beta-resorcylate (CAS 20936-32-7);
    (6) Lead citrate (CAS 14450-60-3);
    (7) Lead-copper chelates of beta-resorcylate or salicylates (CAS 
68411-07-4);
    (8) Lead maleate (CAS 19136-34-6);
    (9) Lead salicylate (CAS 15748-73-9);
    (10) Lead stannate (CAS 12036-31-6);
    (11) MAPO (tris-1-(2-methyl) aziridinylphosphine oxide) (CAS 57-39-
6); BOBBA-8 (bis(2-methyl aziridinyl)-2-(2-hydroxypropanoxy) 
propylamino phosphine oxide); and other MAPO derivatives (MT for MAPO);
    (12) Methyl BAPO (Bis(2-methyl aziridinyl)methylaminophosphine 
oxide) (CAS 85068-72-0);
    (13) 3-Nitraza-1,5-pentane diisocyanate (CAS 7406-61-9);
    (14) Organo-metallic coupling agents, as follows:
    (i) Neopentyl[diallyl]oxy, tri [dioctyl] phosphatotitanate (CAS 
103850-22-2); also known as titanium IV, 2,2[bis 2-propenolato-methyl, 
butanolato, tris (dioctyl) phosphato] (CAS 110438-25-0), or LICA 12 
(CAS 103850-22-2);
    (ii) Titanium IV, [(2-propenolato-1) methyl, n-propanolatomethyl] 
butanolato-1, tris(dioctyl)pyrophosphate, or KR3538; or
    (iii) Titanium IV, [(2-propenolato-1)methyl, propanolatomethyl] 
butanolato-1, tris(dioctyl) phosphate;
    (15) PCDE (Polycyanodifluoroaminoethylene oxide);
    (16) Certain bonding agents, as follows (MT):
    (i) 1,1R,1S-trimesoyl-tris(2-ethylaziridine) (HX-868, BITA) (CAS 
7722-73-8); or
    (ii) Polyfunctional aziridine amides with isophthalic, trimesic, 
isocyanuric, or trimethyladipic backbone also having a 2-methyl or 2-
ethyl aziridine group;

    Note to paragraph (f)(16)(ii): Included are (1) 1,1H-
Isophthaloyl-bis(2-methylaziridine) (HX-752) (CAS 7652-64-4); (2) 
2,4,6-tris(2-ethyl-1-aziridinyl)-1,3,5-triazine (HX-874) (CAS 18924-
91-9); and (3) 1,1'-trimethyladipoylbis(2-ethylaziridine) (HX-877) 
(CAS 71463-62-2).


[[Page 44]]


    (17) Superfine iron oxide (Fe2O3, hematite) 
with a specific surface area more than 250 m\2\/g and an average 
particle size of 0.003 micrometers or less (CAS 1309-37-1);
    (18) TEPAN (HX-879) (tetraethylenepentaamineacrylonitrile) (CAS 
68412-45-3); cyanoethylated polyamines and their salts (MT for TEPAN 
(HX-879));
    (19) TEPANOL (HX-878) (tetraethy-
lenepentaamineacrylonitrileglycidol) (CAS 110445-33-5); cyanoethylated 
polyamines adducted with glycidol and their salts (MT for TEPANOL (HX-
878));
    (20) TPB (triphenyl bismuth) (CAS 603-33-8) (MT); or
    (21) Tris (ethoxyphenyl) bismuth (TEPB) (CAS 90591-48-3).
    (g) Precursors, as follows:
    (1) BCMO (bischloromethyloxetane) (CAS 142173-26-0);
    (2) DADN (1,5-diacetyl-3,7-dinitro-1, 3, 5, 7-tetraazacyclooctane);
    (3) Dinitroazetidine-t-butyl salt (CAS 125735-38-8);
    (4) CL-20 precursors (any molecule containing hexaazaisowurtzitane) 
(e.g., HBIW (hexabenzylhexaazaisowurtzitane), TAIW 
(tetraacetyldibenzylhexa-azaisowurtzitane));
    (5) TAT (1, 3, 5, 7-tetraacetyl-1, 3, 5, 7-tetraazacyclooctane) 
(CAS 41378-98-7);
    (6) Tetraazadecalin (CAS 5409-42-7);
    (7) 1,3,5-trichlorobenzene (CAS 108-70-3); or
    (8) 1,2,4-trihydroxybutane (1,2,4-butanetriol) (CAS 3068-00-6).
    *(h) Any explosive, propellant, pyrotechnic, fuel, oxidizer, 
binder, additive, or precursor that (MT for articles designated as 
such):
    (1) Is classified; or
    (2) Is being developed using classified information (see Sec.  
120.10(a)(2) of this subchapter).

    Note to paragraph (h): ``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.

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

    Note 1 to paragraph (i): This paragraph does not control 
explosives, propellants, pyrotechnics, fuels, oxidizers, binders, 
additives, or precursors therefor (a) in production, (b) determined 
to be subject to the EAR via a commodity jurisdiction determination 
(see Sec.  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 (i): Note 1 does not apply to defense 
articles enumerated on the U.S. Munitions List, whether in 
production or development.


    Note 3 to paragraph (i): This paragraph is applicable only to 
those contracts and funding authorizations that are dated January 5, 
2015, or later.

    (j) Technical data (as defined in Sec.  120.10 of this subchapter) 
and defense services (as defined in Sec.  120.9 of this subchapter) 
directly related to the defense articles numerated in paragraphs (a) 
through (i) of this category (see also Sec.  123.20 of this subchapter) 
(MT for articles designated as such).
    (k) The following interpretations explain and amplify the terms 
used in this category and elsewhere in this subchapter:
    (1) USML Category V contains explosives, energetic materials, 
propellants, and pyrotechnics and specially formulated fuels for 
aircraft, missile, and naval applications. Explosives are solid, 
liquid, or gaseous substances or mixtures of substances, which, in 
their primary, booster, or main charges in warheads, demolition, or 
other military applications, are required to detonate.
    (2) The resulting product of the combination or conversion of any 
substance controlled by this category into an item not controlled will 
no longer be controlled by this category provided the controlled item 
cannot easily be recovered through dissolution, melting, sieving, etc. 
As an example, beryllium converted to a near net shape using hot 
isostatic processes will result in an uncontrolled part. A cured 
thermoset containing beryllium powder is not controlled unless meeting 
an explosive or propellant control. The mixture of beryllium powder in 
a cured thermoset shape is not controlled by this category. The mixture 
of controlled beryllium powder mixed with a typical propellant binder 
will remain controlled by this category. The addition of dry silica 
powder to dry beryllium powder will remain controlled.
    (3) Paragraph (c)(4)(ii)(A) of this category does not apply to 
boron and boron carbide enriched with boron-10 (20% or more of total 
boron-10 content).
    (4) Theoretical specific impulse (Isp) is calculated using standard 
conditions (1000 psi chamber pressure expanded to 14.7 psi) and 
measured in units of pound-force-seconds per pound-mass (lbf-s/lbm) or 
simplified to seconds (s). Calculations will be based on shifting 
equilibrium.
    (5) Particle size is the mean particle diameter on a weight basis. 
Best industrial practices will be used in determining particle size and 
the controls may not be undermined by addition of larger or smaller 
sized material to shift the mean diameter.
    (l)-(w) [Reserved]
    (x) Commodities, software, and technical data subject to the EAR 
(see Sec.  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 Sec.  123.1(b) 
of this subchapter).


    Note 1 to USML Category V: To assist the exporter, an item has 
been categorized by the most common use. Also, where appropriate, 
references have been provided to the related controlled precursors.


    Note 2 to USML Category V: Chemical Abstract Service (CAS) 
registry numbers do not cover all the substances and mixtures 
controlled by this category. The numbers are provided as examples to 
assist government agencies in the license review process and 
exporters when completing their license application and export 
documentation.

* * * * *

Category IX--Military Training Equipment

    (a) Training equipment, as follows:
    (1) Ground, surface, submersible, space, or towed airborne targets 
that:
    (i) Have an infrared, radar, acoustic, magnetic, or thermal 
signature that mimic a specific defense article, specific other item, 
or specific person; or
    (ii) Are instrumented to provide hit/miss performance information 
for defense articles controlled in this subchapter;

    Note to paragraph (a)(1): Target drones are controlled in USML 
Category VIII(a).

    (2) Devices that are mockups of articles enumerated in this 
subchapter used for maintenance training or disposal training for 
ordnance enumerated in this subchapter;

    Note to paragraph (a)(2): This paragraph does not control 
mockups that do not reveal technical data (see ITAR Sec.  120.10 of 
this subchapter) and do not contain parts, components, accessories, 
or attachments controlled in this subchapter.

    (3) Air combat maneuvering instrumentation and ground stations 
therefor;
    (4) Physiological flight trainers for fighter aircraft or attack 
helicopters;

[[Page 45]]

    (5) Radar trainers specially designed for training on radar 
controlled by USML Category XI;
    (6) Training devices specially designed to be attached to a crew 
station, mission system, or weapon of an article controlled in this 
subchapter;

    Note to paragraph (a)(6): This paragraph includes stimulators 
that are built-in or add-on devices that cause the actual equipment 
to act as a trainer.

    (7) Anti-submarine warfare trainers;
    (8) Missile launch trainers;
    (9) Radar target generators;
    (10) Infrared scene generators; or
    *(11) Any training device 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 to paragraph (a): Training equipment does not include 
combat games without item signatures or tactics, techniques, and 
procedures covered by this subchapter.

    (b) Simulators, as follows:
    (1) System specific simulators that replicate the operation of an 
individual crew station, a mission system, or a weapon of an end-item 
that is controlled in this subchapter;
    (2) [Reserved]
    (3) [Reserved]
    (4) Software and associated databases not elsewhere enumerated in 
this subchapter that can be used to model or simulate the following:
    (i) Trainers enumerated in paragraph (a) of this category;
    (ii) Battle management;
    (iii) Military test scenarios/models; or
    (iv) Effects of weapons enumerated in this subchapter; or
    *(5) Simulators that:
    (i) Are classified;
    (ii) Contain classified software directly related to defense 
articles in this subchapter or 600 series items subject to the EAR; or
    (iii) Are being developed using classified information.

    Note to paragraph (b)(5):  ``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.

    (c) [Reserved]
    (d) [Reserved]
    (e) Technical data (see Sec.  120.10 of this subchapter) and 
defense services (see Sec.  120.9 of this subchapter) directly related 
to the defense articles enumerated in paragraphs (a) and (b) of this 
category.

    Note to paragraph (e):  This paragraph includes defense services 
(see Sec.  120.9 of this subchapter) directly related to the 
software and associated databases enumerated in paragraph (b)(4) of 
this category even if no defense articles are used or transferred.

    (f)-(w) [Reserved]
    (x) Commodities, software, and technical data subject to the EAR 
(see Sec.  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 Sec.  123.1(b) 
of this subchapter).


    Note to USML Category IX: Parts, components, accessories, or 
attachments of a simulator in this category that are common to the 
simulated system or simulated end-item are controlled under the same 
USML category or CCL ECCN as the parts, components, accessories, and 
attachments of the simulated system or simulated end-item.

Category X--Personal Protective Equipment

    (a) Personal protective equipment, as follows:
    (1) Body armor providing a protection level equal to or greater 
than NIJ Type IV;

    Note 1 to paragraph (a)(1): For body armor providing a level of 
protection of Type I, Type II, Type IIA, Type IIIA, or Type III, see 
ECCNs 1A005 and 1A613.


    Note 2 to paragraph (a)(1): See USML Category XIII(e) for 
controls on related materials.

    (2) Personal protective clothing, equipment, or face paints 
specially designed to protect against or reduce detection by radar, IR, 
or other sensors at wavelengths greater than 900 nanometers;

    Note to paragraph (a)(2): See USML Category XIII(j) for controls 
on related materials.

    (3) [Reserved]
    (4) [Reserved]
    (5) Integrated helmets, not specified in USML Category VIII(h)(15) 
or USML Category XII, incorporating optical sights or slewing devices, 
which include the ability to aim, launch, track, or manage munitions;
    (6) Helmets and helmet shells providing a protection level equal to 
or greater than NIJ Type IV;
    (7) Goggles, spectacles, visors, vision blocks, canopies, or 
filters for optical sights or viewers, employing other than common 
broadband absorptive dyes or UV inhibitors as a means of protection 
(e.g., narrow band filters/dyes or broadband limiters/coatings with 
high visible transparency), having an optical density greater than 3, 
and that protect against:
    (i) Multiple visible (in-band) laser wavelengths;
    (ii) Thermal flashes associated with nuclear detonations; or
    (iii) Near infrared or ultraviolet (out-of-band) laser wavelengths; 
or

    Note 1 to paragraph (a)(7): See paragraphs (d)(2) and (3) of 
this category for controls on related parts, components, and 
materials.


    Note 2 to paragraph (a)(7): See USML Category XII for sensor 
protection equipment.

    (8) Developmental personal protective equipment and specially 
designed parts, components, accessories, and attachments therefor, 
developed for the U.S. Department of Defense via contract or other 
funding authorization.

    Note 1 to paragraph (a)(8): This paragraph does not control 
personal protective equipment and specially designed parts, 
components, accessories, and attachments (a) in production, (b) 
determined to be subject to the EAR via a commodity jurisdiction 
determination (see Sec.  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)(8): Note 1 does not apply to defense 
articles enumerated on the USML, whether in production or 
development.


    Note 3 to paragraph (a)(8): This paragraph is applicable only to 
those contracts and funding authorizations that are dated January 5, 
2015, or later.

    (b) [Reserved]
    (c) [Reserved]
    (d) Parts, components, assemblies, accessories, attachments, and 
associated equipment for the personal protective equipment controlled 
in this category, as follows:
    (1) Ceramic or composite plates that provide protection equal to or 
greater than NIJ Type IV;
    (2) Lenses, substrates, or filters ``specially designed'' for the 
articles covered in paragraph (a)(7) of this category;
    (3) Materials and coatings specially designed for the articles 
covered in paragraph (a)(7) of this category with optical density 
greater than 3, as follows:

[[Page 46]]

    (i) Narrowband absorbing dyes;
    (ii) Broadband optical switches or limiters (i.e., nonlinear 
material, tunable or switchable agile filters, optical power limiters, 
near infrared interference based filters); or
    (iii) Narrowband interference based notch filters (i.e., multi-
layer dielectric coatings, rugate, holograms or hybrid (i.e., 
interference with dye)) protecting against multiple laser wavelength 
and having high visible band transparency; or
    *(4) Any component, part, 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.

    Note to paragraph (d)(4): ``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 government.


    Note to paragraphs (a) and (d):  See National Institute of 
Justice Classification, NIJ Standard-0101.06, or national 
equivalents, for a description of level of protection for armor.

    (e) Technical data (see Sec.  120.10 of this subchapter) and 
defense services (see Sec.  120.9 of this subchapter) directly related 
to the defense articles enumerated in paragraphs (a) through (d) of 
this category.
    (f)-(w) [Reserved]
    (x) Commodities, software, and technical data subject to the EAR 
(see Sec.  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 Sec.  123.1(b) 
of this subchapter).

* * * * *

Category XVI--Nuclear Weapons Related Articles

    (a) [Reserved]
    *(b) Modeling or simulation tools that model or simulate the 
environments generated by nuclear detonations or the effects of these 
environments on systems, subsystems, components, structures, or humans.
    (c) [Reserved]
    (d) Parts, components, accessories, attachments, associated 
equipment, and production, testing, and inspection equipment and 
tooling, specially designed for the articles in paragraph (b) of this 
category.
    (e) Technical data (see Sec.  120.10 of this subchapter) and 
defense services (see Sec.  120.9 of this subchapter) directly related 
to the defense articles enumerated in paragraph (b) of this category. 
(See Sec.  123.20 of this subchapter for nuclear related controls.)
    (f)-(w) [Reserved]
    (x) Commodities, software, and technical data subject to the EAR 
(see Sec.  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 Sec.  123.1(b) 
of this subchapter).

* * * * *
0
3. Section 121.5 is removed and reserved, as follows:


Sec.  121.5  [Reserved]

0
4. Section 121.8 is revised to read as follows:


Sec.  121.8  End-items, components, accessories, attachments, parts, 
firmware, software, systems, and equipment.

    (a) An end-item is a system, equipment, or an assembled article 
ready for its intended use. Only ammunition or fuel or other energy 
source is required to place it in an operating state.
    (b) A component is an item which is useful only when used in 
conjunction with an end-item. A major component includes any assembled 
element which forms a portion of an end-item without which the end-item 
is inoperable. A minor component includes any assembled element of a 
major component.
    (c) Accessories and attachments are associated articles for any 
component, equipment, system, or end-item, and which are not necessary 
for its operation, but which enhance its usefulness or effectiveness.
    (d) A part is any single unassembled element of a major or a minor 
component, accessory, or attachment which is not normally subject to 
disassembly without the destruction or the impairment of designed use.
    (e) Firmware and any related unique support tools (such as 
computers, linkers, editors, test case generators, diagnostic checkers, 
library of functions, and system test diagnostics) directly related to 
equipment or systems covered under any category of the U.S. Munitions 
List are considered as part of the end-item or component. Firmware 
includes but is not limited to circuits into which software has been 
programmed.
    (f) Software includes but is not limited to the system functional 
design, logic flow, algorithms, application programs, operating 
systems, and support software for design, implementation, test, 
operation, diagnosis and repair. A person who intends to export 
software only should, unless it is specifically enumerated in Sec.  
121.1 of this subchapter (e.g., USML Category XIII(b)), apply for a 
technical data license pursuant to part 125 of this subchapter.
    (g) A system is a combination of parts, components, accessories, 
attachments, firmware, software, equipment, or end-items that operate 
together to perform a function.

    Note to paragraph (g): The industrial standards established by 
INCOSE and NASA provide examples for when commodities and software 
operate together to perform a function as a system. References to 
these standards are included in this note to provide examples for 
when commodities or software operate together to perform a function 
as a system. See the INCOSE standards for what constitutes a system 
at: http://g2sebok.incose.org/app/mss/asset.cfm?ID=INCOSE%20G2SEBOK%202.00&ST=F, and in INCOSE SE Handbook 
v3.1 2007; ISO/IEC 15288:2008. See the NASA standards for examples 
of what constitutes a system in NASA SE Handbook SP-2007-6105 Rev 1.

    (h) Equipment is a combination of parts, components, accessories, 
attachments, firmware, or software that operate together to perform a 
function of, as, or for an end-item or system. Equipment may be a 
subset of an end-item based on the characteristics of the equipment. 
Equipment that meets the definition of an end-item is an end-item. 
Equipment that does not meet the definition of an end-item is a 
component, accessory, attachment, firmware, or software.
0
5. Section 121.11 is removed and reserved, as follows:


Sec.  121.11  [Reserved]

PART 123--LICENSES FOR THE EXPORT AND TEMPORARY IMPORT OF DEFENSE 
ARTICLES

0
6. 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; 
Section 1261, Pub. L. 112-239; E.O. 13637, 78 FR 16129.

[[Page 47]]


0
7. Section 123.20 is amended by revising paragraph (a) and paragraph 
(c) introductory text, to read as follows:


Sec.  123.20  Nuclear related controls.

    (a) The provisions of this subchapter do not apply to articles, 
technical data, or services in Category VI, Category XVI, or Category 
XX of Sec.  121.1 of this subchapter to the extent that exports of such 
articles, technical data, or services are controlled by the Department 
of Energy or the Nuclear Regulatory Commission pursuant to the Atomic 
Energy Act of 1954, as amended, and the Nuclear Non-Proliferation Act 
of 1978, as amended, or are pursuant to a government transfer 
authorized pursuant to these Acts. For Department of Commerce controls, 
see 15 CFR 742.3 and 744.2, administered pursuant to Section 309(c) of 
the Nuclear Nonproliferation Act of 1978, as amended (42 U.S.C. 
2139a(c)), and 15 CFR 744.5, none of which are subject to the 
provisions of this subchapter.
* * * * *
    (c) A license for the export of a defense article, technical data, 
or the furnishing of a defense service relating to defense articles 
referred to in Category VI(e) or Category XX(b)(1) of Sec.  121.1 of 
this subchapter will not be granted unless the defense article, 
technical data, or defense service 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 defense article, technical 
data, or defense service is to be exported. Licenses may be granted in 
the absence of such an agreement only:
* * * * *

PART 124--AGREEMENTS, OFF-SHORE PROCUREMENT, AND OTHER DEFENSE 
SERVICES

0
8. The authority citation for part 124 continues 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.


0
9. Section 124.2 is amended by removing and reserving paragraphs 
(c)(5)(iii), (c)(5)(ix), and (c)(5)(xi), as follows:


Sec.  124.2  Exemptions for training and military service.

* * * * *
    (c) * * *
    (5) * * *
    (iii) [Reserved]
* * * * *
    (ix) [Reserved]
* * * * *
    (xi) [Reserved]
* * * * *

PART 125--LICENSES FOR THE EXPORT OF TECHNICAL DATA AND CLASSIFIED 
DEFENSE ARTICLES

0
10. The authority citation for part 125 continues 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.


0
11. Section 125.1 is amended by revising paragraph (e) to read as 
follows:


Sec.  125.1  Exports subject to this part.

* * * * *
    (e) For the export of technical data related to articles in 
Category VI(e), Category XVI, and Category XX(b)(1) of Sec.  121.1 of 
this subchapter, please see Sec.  123.20 of this subchapter.

Rose E. Gottemoeller,
Acting Under Secretary, Arms Control and International Security, 
Department of State.
[FR Doc. 2013-31323 Filed 12-31-13; 8:45 am]
BILLING CODE 4710-25-P