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other procedures and controls that are PART 121—THE UNITED STATES in accordance with guidance provided MUNITIONS LIST in current U.S. National Institute for Standards and Technology (NIST) pub- ENUMERATION OF ARTICLES lications, or by other cryptographic Sec. means that provide security strength 121.1 The United States Munitions List. that is at least comparable to the min- 121.2–121.15 [Reserved] imum 128 bits of security strength 121.16 Missile Technology Control Regime achieved by the Advanced Encryption Annex. Standard (AES–128); AUTHORITY: Secs. 2, 38, and 71, Pub. L. 90– (iv) Not intentionally sent to a per- 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, 2797); 22 son in or stored in a country proscribed U.S.C. 2651a; Pub. L. 105–261, 112 Stat. 1920; in § 126.1 of this subchapter or the Rus- Section 1261, Pub. L. 112–239; E.O. 13637, 78 FR 16129. sian Federation; and SOURCE: 58 FR 39287, July 22, 1993, unless NOTE TO PARAGRAPH (a)(5)(iv): Data in- transit via the internet is not deemed to be otherwise noted. stored. ENUMERATION OF ARTICLES (v) Not sent from a country pro- scribed in § 126.1 of this subchapter or § 121.1 The United States Munitions the Russian Federation. List. (b)(1) For purposes of this section, (a) U.S. Munitions List. In this part, end-to-end encryption is defined as: articles, services, and related technical (i) The provision of cryptographic data are designated as defense articles protection of data, such that the data or defense services pursuant to sections is not in an unencrypted form, between 38 and 47(7) of the Arms Export Control an originator (or the originator’s in- Act and constitute the U.S. Munitions country security boundary) and an in- List (USML). Changes in designations tended recipient (or the recipient’s in- are published in the FEDERAL REG- country security boundary); and ISTER. Paragraphs (a)(1) through (3) of (ii) The means of decryption are not this section describe or explain the ele- provided to any third party. ments of a USML category: (1) Composition of U.S. Munitions List (2) The originator and the intended categories. USML categories are orga- recipient may be the same person. The nized by paragraphs and subparagraphs intended recipient must be the origi- identified alphanumerically. They usu- nator, a U.S. person in the United ally start by enumerating or otherwise States, or a person otherwise author- describing end-items, followed by ized to receive the technical data, such major systems and equipment; parts, as by a license or other approval pursu- components, accessories, and attach- ant to this subchapter. ments; and technical data and defense (c) The ability to access technical services directly related to the defense data in encrypted form that satisfies articles of that USML category. the criteria set forth in paragraph (2) Significant Military Equipment. All (a)(5) of this section does not con- items described within a USML para- stitute the release or export of such graph or subparagraph that is preceded technical data. by an asterisk (*) are designated ‘‘Sig- nificant Military Equipment’’ (see [84 FR 70892, Dec. 26, 2019] § 120.7 of this subchapter). Note that technical data directly related to the § 120.55 Access Information. manufacture or production of a defense Access information is information article designated as Significant Mili- that allows access to encrypted tech- tary Equipment (SME) is also des- nical data subject to this subchapter in ignated as SME. an unencrypted form. Examples include (3) Missile Technology Control Regime decryption keys, network access codes, (MTCR) designation. Annotation with and passwords. the parenthetical ‘‘(MT)’’ at the end of a USML entry, or inclusion in § 121.16, [84 FR 70893, Dec. 26, 2019] indicates those defense articles that

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are on the MTCR Annex. See § 120.29 of (h) Parts, components, accessories, this subchapter. and attachments, as follows: (b) Order of review. Articles are con- (1) Drum and other magazines for trolled on the U.S. Munitions List be- to .50 caliber (12.7 mm) inclu- cause they are either: sive with a capacity greater than 50 (1) Enumerated in a category; or rounds, regardless of jurisdiction of the (2) Described in a ‘‘catch-all’’ para- , and specially designed parts graph that incorporates ‘‘specially de- and components therefor; signed’’ (see § 120.41 of this subchapter) (2) Parts and components specially as a control parameter. In order to designed for conversion of a semi-auto- classify an item on the USML, begin matic firearm to a fully automatic with a review of the general character- firearm; istics of the item. This should guide (3) Parts and components specially you to the appropriate category, designed for defense articles described whereupon you should attempt to in paragraphs (c) and (e) of this cat- match the particular characteristics egory; or and functions of the article to a spe- (4) Accessories or attachments spe- cific entry within that category. If the cially designed to automatically sta- entry includes the term ‘‘specially de- bilize aim (other than gun rests) or for signed,’’ refer to § 120.41 to determine if automatic targeting, and specially de- the article qualifies for one or more of signed parts and components therefor. the exclusions articulated in § 120.41(b). (i) Technical data ( § 120.10 of this An item described in multiple entries see should be categorized according to an subchapter) and defense services (see enumerated entry rather than a spe- § 120.9 of this subchapter) directly re- cially designed catch-all paragraph. In lated to the defense articles described all cases, articles not controlled on the in this category and classified tech- USML may be subject to another U.S. nical data directly related to items government regulatory agency (see controlled in ECCNs 0A501, 0B501, § 120.5 of this subchapter, and Supple- 0D501, and 0E501 and defense services ment No. 4 to part 774 of the Export using the classified technical data. (See Administration Regulations for guid- § 125.4 of this subchapter for exemp- ance on classifying an item subject to tions.) the EAR). (j)–(w) [Reserved] (x) Commodities, software, and tech- CATEGORY I—FIREARMS AND RELATED nology subject to the EAR (see § 120.42 ARTICLES of this subchapter) used in or with de- fense articles. *(a) Firearms using caseless ammuni- NOTE TO PARAGRAPH (x): Use of this para- tion. graph is limited to license applications for *(b) Fully automatic firearms to .50 defense articles where the purchase docu- caliber (12.7 mm) inclusive. mentation includes commodities, software, *(c) Firearms specially designed to or technology subject to the EAR (see integrate fire control, automatic § 123.1(b) of this subchapter). tracking, or automatic firing (e.g., Pre- NOTE 1 TO CATEGORY I: The following inter- cision Guided Firearms). pretations explain and amplify the terms used in this category: NOTE 1 TO PARAGRAPH (c): Integration does (1) A firearm is a weapon not over .50 cal- not include only attaching to the firearm or iber (12.7 mm) which is designed to expel a rail. projectile by the deflagration of propellant; *(d) Fully automatic shotguns re- (2) A fully automatic firearm or shotgun is gardless of gauge. any firearm or shotgun that shoots, is de- *(e) Silencers, mufflers, and sound signed to shoot, or can readily be restored to suppressors. shoot, automatically more than one shot, without manual reloading, by a single func- (f) [Reserved] tion of the trigger; and (g) Barrels, receivers (frames), bolts, (3) Caseless ammunition is firearm ammu- bolt carriers, slides, or sears specially nition without a case that holds designed for the articles in paragraphs the , propellant, and projectile to- (a), (b), and (d) of this category. gether as a unit.

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CATEGORY II—GUNS AND ARMAMENT locities in excess of 1.6 km/s, in single or rapid fire modes, using methods such as: (a) Guns and armament greater than Electromagnetic, electrothermal, plasma, .50 caliber (12.7 mm), as follows: light gas, or chemical. This does not include *(1) Guns, howitzers, artillery, and launch systems and subsystems used for re- cannons; search and testing facilities subject to the *(2) Mortars; EAR, which are controlled on the CCL under *(3) Recoilless rifles; ECCN 2B232. *(4) Grenade launchers; or (e) Signature reduction devices spe- (5) Developmental guns and arma- cially designed for the guns and arma- ment greater than .50 caliber (12.7 mm) ment controlled in paragraphs (a), (b), funded by the Department of Defense and (d) of this category (e.g., muzzle and specially designed parts and com- flash suppression devices). ponents therefor. (f)–(i) [Reserved] NOTE 1 TO PARAGRAPH (a)(5): This para- (j) Parts, components, accessories, graph does not control guns and armament and attachments, as follows: greater than .50 caliber (12.7 mm): (1) Gun barrels, rails, tubes, and re- (a) in production; ceivers specially designed for the weap- (b) determined to be subject to the EAR ons controlled in paragraphs (a) and (d) via a commodity jurisdiction determination of this category; (see § 120.4 of this subchapter); or (2) Sights specially designed to orient (c) identified in the relevant Department of Defense contract or other funding author- indirect fire weapons; ization as being developed for both civil and (3) Breech blocks for the weapons military applications. controlled in paragraphs (a) and (d) of NOTE 2 TO PARAGRAPH (a)(5): Note 1 to this category; pargraph (a)(5) does not apply to defense ar- (4) Firing mechanisms for the weap- ticles enumerated on the U.S. Munitions ons controlled in paragraphs (a) and (d) List, whether in production or development. of this category and specially designed NOTE 3 TO PARAGRAPH (a)(5): This provision parts and components therefor; is applicable to those contracts or other (5) Systems for firing superposed or funding authorizations that are dated Janu- ary 23, 2021, or later. stacked ammunition and specially de- NOTE 1 TO PARAGRAPH (a): This paragraph signed parts and components therefor; does not include: Non-automatic and non- (6) Servo-electronic and hydraulic semi-automatic rifles, carbines, and pistols elevation adjustment mechanisms; between .50 (12.7 mm) and .72 caliber (18.288 (7) Muzzle brakes; mm) that are controlled on the CCL under (8) Bore evacuators; ECCN 0A501; shotguns controlled on the CCL (9) Independent ammunition handling under ECCN 0A502; black powder guns and systems for the guns and armament armaments manufactured between 1890 and 1919 controlled on the CCL under ECCN controlled in paragraphs (a), (b), and 0A602; or black powder guns and armaments (d) of this category; manufactured earlier than 1890. (10) Components for independently NOTE 2 TO PARAGRAPH (a): Guns and arma- powered ammunition handling systems ment when integrated into their carrier (e.g., and platform interface, as follows: surface vessels, ground , or ) (i) Mounts; are controlled in the category associated (ii) Carriages; with the carrier. Self-propelled guns and ar- (iii) Gun pallets; mament are controlled in USML Category VII. Towed guns and armament and stand- (iv) Hydro-pneumatic equilibration alone guns and armament are controlled cylinders; or under this category. (v) Hydro-pneumatic systems capable (b) Flamethrowers with an effective of scavenging recoil energy to power range greater than or equal to 20 me- howitzer functions; ters. NOTE 1 TO PARAGRAPH (j)(10): For weapons (c) [Reserved] mounts specially designed for surface vessels *(d) Kinetic energy weapon systems and special naval equipment, see Category specially designed for destruction or VI. For weapons mounts specially designed rendering mission-abort of a target. for ground vehicles, see Category VII. NOTE 1 TO PARAGRAPH (d): Kinetic energy (11) Ammunition containers/drums, weapons systems include but are not limited ammunition chutes, ammunition con- to launch systems and subsystems capable of veyor elements, ammunition feeder accelerating masses larger than 0.1g to ve- systems, and ammunition container/

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drum entrance and exit units, specially (l)–(w) [Reserved] designed for the guns and armament (x) Commodities, software, and tech- controlled in paragraphs (a), (b), and nology subject to the EAR (see § 120.42 (d) of this category; of this subchapter) used in or with de- (12) Systems and equipment for the fense articles. guns and armament controlled in para- NOTE TO PARAGRAPH (x): Use of this para- graphs (a) and (d) of this category for graph is limited to license applications for use in programming ammunition, and defense articles where the purchase docu- specially designed parts and compo- mentation includes commodities, software, nents therefor; or technology subject to the EAR (see (13) Aircraft/gun interface units to § 123.1(b) of this subchapter). support gun systems with a designed rate of fire greater than 100 rounds per CATEGORY III—AMMUNITION AND minute and specially designed parts ORDNANCE and components therefor; (a) Ammunition, as follows: (14) Recoil systems specially designed *(1) Ammunition that incorporates a to mitigate the shock associated with projectile controlled in paragraph (d)(1) the firing process of guns integrated or (3) of this category; into air platforms and specially de- *(2) Ammunition preassembled into signed parts and components therefor; links or belts; (15) Prime power generation, energy *(3) Shotgun ammunition that incor- storage, thermal management, condi- porates a projectile controlled in para- tioning, switching, and fuel-handling graph (d)(2) of this category; equipment, and the electrical inter- *(4) Caseless ammunition manufac- faces between the gun power supply tured with smokeless powder; and other turret electric drive compo- NOTE 1 TO PARAGRAPH (a)(4): Caseless am- nents specially designed for kinetic munition is ammunition without a cartridge weapons controlled in paragraph (d) of case that holds the primer, propellant, and this category; projectile together as a unit. (16) Kinetic energy weapon target ac- *(5) Ammunition, except shotgun am- quisition, tracking fire control, and munition, based on non-metallic cases, damage assessment systems and spe- or non-metallic cases that have only a cially designed parts and components metallic base, which result in a total therefor; or cartridge mass 80% or less than the *(17) Any part, component, accessory, mass of a brass- or steel-cased car- attachment, equipment, or system tridge that provides comparable bal- that: listic performance; (i) Is classified; *(6) Ammunition employing pyro- (ii) Contains classified software; or technic material in the projectile base (iii) Is being developed using classi- or any ammunition employing a pro- fied information. jectile that incorporates tracer mate- NOTE 1 TO PARAGRAPH (j)(17): ‘‘Classified’’ rials of any type having peak radiance means classified pursuant to Executive Order above 710 nm and designed to be ob- 13526, or predecessor order, and a security classification guide developed pursuant served primarily with night vision op- thereto or equivalent, or to the cor- tical systems; responding classification rules of another *(7) Ammunition for fully automatic government or intergovernmental organiza- firearms that fire superposed or tion. stacked projectiles or for guns that fire (k) Technical data (see § 120.10 of this superposed or stacked projectiles; subchapter) and defense services (see *(8) Electromagnetic armament pro- § 120.9 of this subchapter) directly re- jectiles or billets for weapons with a lated to the defense articles described design muzzle energy exceeding 5 MJ; in paragraphs (a), (b), (d), (e), and (j) of *(9) Ammunition, not specified above, this category and classified technical for the guns and armaments controlled data directly related to items con- in Category II; or trolled in ECCNs 0A602, 0B602, 0D602, (10) Developmental ammunition and 0E602 and defense services using funded by the Department of Defense the classified technical data. (See § 125.4 and specially designed parts and com- of this subchapter for exemptions.) ponents therefor.

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NOTE 1 TO PARAGRAPH (a)(10): This para- for the items controlled in USML Cat- graph does not control ammunition: egory II; (a) in production; (8) Non-metallic cases, including (b) determined to be subject to the EAR via a commodity jurisdiction determination cases that have only a metallic base, (see § 120.4 of this subchapter); or for the ammunition controlled in para- (c) identified in the relevant Department graph (a)(5) of this category; of Defense contract or other funding author- (9) Cartridge links and belts for fully ization as being developed for both civil and automatic firearms and guns con- military applications. trolled in USML Categories I or II; NOTE 2 TO PARAGRAPH (a)(10): Note 1 does not apply to defense articles enumerated on (10) Primers other than Boxer, the U.S. Munitions List, whether in produc- Berdan, or shotshell types; tion or development. NOTE 1 TO PARAGRAPH (d)(10): This para- NOTE 3 TO PARAGRAPH (a)(10): This provi- graph does not control caps or primers of sion is applicable to those contracts or other any type in use prior to 1890. funding authorizations that are dated Janu- ary 23, 2021, or later. (11) Safing, arming, and fuzing com- ponents (to include target detection (b) Ammunition/ordnance handling and proximity sensing devices) for the equipment specially designed for the ammunition in this category and spe- articles controlled in this category, as cially designed parts therefor; follows: (1) Belting, linking, and de-linking (12) Guidance and control compo- equipment; or nents for the ammunition in this cat- (2) Fuze setting devices. egory and specially designed parts (c) [Reserved] therefor; (d) Parts and components for the ar- (13) Terminal seeker assemblies for ticles in this category, as follows: the ammunition in this category and (1) Projectiles that use pyrotechnic specially designed parts and compo- tracer materials that incorporate any nents therefor; material having peak radiance above (14) Illuminating flares or target 710 nm or are incendiary or explosive; practice projectiles for the ammuni- (2) Shotgun projectiles that are tion controlled in paragraph (a)(9) of flechettes, incendiary, tracer, or explo- this category; or sive; *(15) Any part, component, accessory, attachment, equipment, or system NOTE 1 TO PARAGRAPH (d)(2): This para- graph does not include explosive projectiles that: specially designed to produce noise for scar- (i) Is classified; ing birds or other pests (e.g., bird bombs, (ii) Contains classified software; or whistlers, crackers). (iii) Is being developed using classi- (3) Projectiles of any caliber pro- fied information. duced from depleted uranium; NOTE 1 TO PARAGRAPH (d)(15): ‘‘Classified’’ (4) Projectiles not specified above, means classified pursuant to Executive Order guided or unguided, for the items con- 13526, or predecessor order, and a security trolled in USML Category II, and spe- classification guide developed pursuant cially designed parts and components thereto or equivalent, or to the cor- therefor (e.g., fuzes, rotating bands, responding classification rules of another cases, liners, fins, boosters); government or intergovernmental organiza- (5) Canisters or sub-munitions (e.g., tion. bomblets or minelets), and specially (e) Technical data (see § 120.10 of this designed parts and components there- subchapter) and defense services (see for, for the guns or armament con- § 120.9 of this subchapter) directly re- trolled in USML Category II; lated to the defense articles enumer- (6) Projectiles that employ tips (e.g., ated in paragraphs (a), (b), and (d) of M855A1 Enhanced Performance Round this category and classified technical (EPR)) or cores regardless of caliber, data directly related to items con- produced from one or a combination of trolled in ECCNs 0A505, 0B505, 0D505, the following: Tungsten, steel, or be- and 0E505 and defense services using ryllium copper alloy; the classified technical data. (See § 125.4 (7) Cartridge cases, powder bags, or of this subchapter for exemptions.) combustible cases specially designed (f)–(w) [Reserved]

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(x) Commodities, software, and tech- Earth. The maximum capability based on the nology subject to the EAR (see § 120.42 design characteristics of the system, when of this subchapter) used in or with de- fully loaded with fuel or propellant, will be fense articles. taken into consideration in determining range. The range for systems will be NOTE TO PARAGRAPH (x): Use of this para- determined independently of any external graph is limited to license applications for factors such as operational restrictions, lim- defense articles where the purchase docu- itations imposed by telemetry, data links, or mentation includes commodities, software, other external constraints. For rocket sys- or technology subject to the EAR (see § 123.1(b) of this subchapter). tems, the range will be determined using the NOTE 1 TO CATEGORY III: This category does trajectory that maximizes range, assuming not control ammunition crimped without a International Civil Aviation Organization projectile (blank star) and dummy ammuni- (ICAO) standard atmosphere with zero wind. tion with a pierced powder chamber. NOTE 2 TO PARAGRAPH (a): ‘‘Payload’’ is the NOTE 2 TO CATEGORY III: This category does total mass that can be carried or delivered not control cartridge and shell casings that, by the specified rocket, SLV, or missile that prior to export, have been rendered useless is not used to maintain flight. beyond the possibility of restoration for use NOTE 3 TO PARAGRAPH (a): This paragraph as a cartridge or shell casing by means of does not control model and high power rock- heating, flame treatment, mangling, crush- ets (as defined in National Fire Protection ing, cutting, or popping. Association Code 1122) and kits thereof made NOTE 3 TO CATEGORY III: Grenades con- of paper, wood, fiberglass, or con- taining non-lethal or less lethal projectiles taining no substantial metal parts and de- are under the jurisdiction of the Department signed to be flown with hobby rocket motors of Commerce. that are certified for consumer use. Such must not contain active controls CATEGORY IV—LAUNCH VEHICLES, GUID- (e.g., RF, GPS). ED MISSILES, BALLISTIC MISSILES, NOTE 4 TO PARAGRAPH (a): ’’Mine’’ means a ROCKETS, TORPEDOES, BOMBS, AND munition placed under, on, or near the MINES ground or other surface area and designed to * (a) Rockets, space launch vehicles be exploded by the presence, proximity, or (SLVs), missiles, bombs, torpedoes, contact of a person or . depth charges, mines, and grenades, as * (b) Launchers for rockets, SLVs, follows: and missiles, as follows: (1) Rockets, SLVs, and missiles capa- (1) Fixed launch sites and mobile ble of delivering at least a 500-kg pay- launcher mechanisms for any system load to a range of at least 300 km (MT); enumerated in paragraphs (a)(1) and (2) Rockets, SLVs, and missiles capa- (a)(2) of this category (MT); or ble of delivering less than a 500-kg pay- (2) Fixed launch sites and mobile load to a range of at least 300 km (MT); launcher mechanisms for any system (3) Man-portable air defense systems enumerated in paragraphs (a)(3) (MANPADS); through (a)(5) of this category (e.g., (4) Anti-tank missiles and rockets; (5) Rockets, SLVs, and missiles not launch tables, TOW missile, meeting the criteria of paragraphs MANPADS). (a)(1) through (a)(4) of this category; NOTE 1 TO PARAGRAPH (b): For controls on (6) Bombs; non-SLV launcher mechanisms for use on (7) Torpedoes; aircraft, see USML Category VIII(h). (8) Depth charges; NOTE 2 TO PARAGRAPH (b): For controls on (9) Anti-personnel, anti-vehicle, or launcher mechanisms that are integrated anti-armor land mines (e.g., area de- onto a vessel or ground vehicle, see USML Categories VI and VII, respectively. nial devices); NOTE 3 TO PARAGRAPH (b): This paragraph (10) Anti-helicopter mines; does not control parts and accessories (e.g., (11) Naval mines; or igniters, launch stands) specially designed (12) Fragmentation and high explo- for consumer use with model and high power sive hand grenades. rockets (as defined in National Fire Protec- NOTE 1 TO PARAGRAPH (a): ‘‘Range’’ is the tion Association Code 1122) and kits thereof maximum distance that the specified rocket made of paper, wood, fiberglass, or plastic system is capable of traveling in the mode of containing no substantial metal parts and stable flight as measured by the projection designed to be flown with hobby rocket mo- of its trajectory over the surface of the tors that are certified for consumer use.

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(c) Apparatus and devices specially in paragraphs (d)(1) through (d)(6) of designed for the handling, control, ac- this category or USML Category XIX. tivation, monitoring, detection, pro- NOTE 1 TO PARAGRAPH (d): This paragraph tection, discharge, or detonation of the does not control model and high power rock- articles enumerated in paragraphs (a) et motors, containing no more than 5 pounds and (b) of this category (MT for those of propellant, that are certified for U.S. con- systems enumerated in paragraphs sumer use as described in National Fire Pro- (a)(1), (a)(2), and (b)(1) of this cat- tection Association Code 1125. NOTE 2 TO PARAGRAPH (d): This paragraph egory). does not control thrusters for spacecraft. NOTE 1 TO PARAGRAPH (c): This paragraph (e)–(f) [Reserved] includes specialized handling equipment * (g) Non-nuclear warheads for rock- (transporters, cranes, and lifts) specially de- ets, bombs, and missiles (e.g., explo- signed to handle articles enumerated in paragraphs (a) and (b) of this category for sive, kinetic, EMP, thermobaric, shape preparation and launch from fixed and mo- charge, and fuel air explosive (FAE)). bile sites. The equipment in this paragraph (h) Systems, subsystems, parts, com- also includes specially designed robots, robot ponents, accessories, attachments, or controllers, and robot end-effectors, and liq- associated equipment, as follows: uid propellant tanks specially designed for (1) Flight control and guidance sys- the storage or handling of the propellants tems (including guidance sets) spe- controlled in USML Category V, CCL ECCNs cially designed for articles enumerated 1C011, 1C111, and 1C608, or other liquid pro- in paragraph (a) of this category (MT pellants used in the systems enumerated in paragraphs (a)(1), (a)(2), or (a)(5) of this cat- for those articles enumerated in para- egory. graphs (a)(1) and (a)(2) of this cat- NOTE 2 TO PARAGRAPH (c): Aircraft Missile egory); Protection Systems (AMPS) are controlled NOTE TO PARAGRAPH (h)(1): A guidance set in USML Category XI. integrates the process of measuring and com- * (d) Rocket, SLV, and missile power puting a vehicle’s position and velocity (i.e., plants, as follows: navigation) with that of computing and sending commands to the vehicle’s flight (1) Except as enumerated in para- control systems to correct the trajectory. graph (d)(2) or (d)(3) of this category, (2) Seeker systems specially designed individual rocket stages for the arti- for articles enumerated in paragraph cles enumerated in paragraph (a)(1), (a) of this category (e.g., radio- (a)(2), or (a)(5) of this category (MT for frequency, infrared) (MT for articles those stages usable in systems enumer- enumerated in paragraphs (a)(1) and ated in paragraphs (a)(1) and (a)(2) of (a)(2) of this category); this category); (3) Kinetic kill vehicles and specially (2) Solid propellant rocket motors, designed parts and components there- hybrid or gel rocket motors, or liquid for; propellant rocket having a (4) Missile or rocket thrust vector total impulse capacity equal to or control systems (MT for those thrust × 6 greater than 1.1 10 N·s (MT); vector control systems usable in arti- (3) Solid propellant rocket motors, cles enumerated in paragraph (a)(1) of hybrid or gel rocket motors, or liquid this category); propellant rocket engines having a (5) MANPADS grip stocks and spe- total impulse capacity equal to or cially designed parts and components greater than 8.41 × 105 N·s, but less than therefor; 1.1 × 106 N·s (MT); (6) Rocket or missile nozzles and noz- (4) Combined cycle, pulsejet, , zle throats, and specially designed or engines (MT); parts and components therefor (MT for (5) Air-breathing engines that oper- those nozzles and nozzle throats usable ate above Mach 4 not enumerated in in systems enumerated in paragraphs paragraph (d)(4) of this category; (a)(1) and (a)(2) of this category); (6) Pressure gain combustion-based (7) Rocket or missile nose tips, nose propulsion systems not enumerated in fairings, or aerospikes, and specially paragraphs (d)(4) and (d)(5) of this cat- designed parts and components there- egory; or for (MT for those articles enumerated (7) Rocket, SLV, and missile engines in paragraphs (a)(1) and (a)(2) of this and motors, not otherwise enumerated category);

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(8) Re-entry vehicle or warhead heat (18) Specially designed parts and shields (MT for those re-entry vehicles components for articles controlled in and heat shields usable in systems enu- paragraph (g) not elsewhere specified merated in paragraph (a)(1) of this cat- in this category; egory); (19) Penetration aids and specially (9) Missile and rocket safing, arming, designed parts and components there- fuzing, and firing (SAFF) components for (e.g., physical or electronic coun- (to include target detection and prox- termeasure suites, re-entry vehicle rep- imity sensing devices), and specially licas or decoys, or submunitions); designed parts therefor (MT for those (20) Rocket motor cases and specially SAFF components usable in systems designed parts and components there- enumerated in paragraph (a)(1) of this for (e.g., flanges, flange seals, end category); domes) (MT for those rocket motor (10) Self-destruct systems specially cases usable in systems enumerated in designed for articles enumerated in paragraph (a) of this category (MT for paragraphs (a)(1) and (a)(2) of this cat- those articles enumerated in para- egory and for specially designed parts graphs (a)(1) and (a)(2) of this cat- and components for hybrid rocket mo- egory); tors enumerated in paragraphs (d)(2) (11) Separation mechanisms, staging and (d)(3) of this category); mechanisms, and interstages useable (21) Solid rocket motor liners and for articles enumerated in paragraph rocket motor insulation (MT for those (a) of this category, and specially de- solid rocket motor liners usable in sys- signed parts and components therefor tems enumerated in paragraph (a)(1) of (MT for those separation mechanisms, this category or specially designed for staging mechanisms, and interstages systems enumerated in paragraph (a)(2) usable in systems enumerated in para- of this category; and rocket motor in- graph (a)(1) of this category); sulation usable in systems enumerated (12) Post-boost vehicles (PBV) (MT); in paragraphs (a)(1) and (a)(2) of this (13) or motor mounts spe- category); cially designed for articles enumerated (22) Radomes, sensor windows, and in paragraphs (a) and (b) of this cat- antenna windows specially designed for egory (MT for those articles enumer- articles enumerated in paragraph (a) of ated in paragraphs (a)(1), (a)(2), and this category (MT for those radomes (b)(1) of this category); usable in systems enumerated in para- (14) Combustion chambers specially graph (a)(1) of this category and for designed for articles enumerated in any radomes, sensor windows, or an- paragraphs (a) and (d) of this category tenna windows manufactured as com- and specially designed parts and com- posite structures or laminates spe- ponents therefor (MT for those articles cially designed for use in the systems enumerated in paragraphs (a)(1), (a)(2), and components enumerated in para- (b)(1), and (d)(1) through (d)(5) of this graph (a)(1), (a)(2), (d)(1), (h)(8), (h)(9), category); (h)(17), or (h)(25) of this category); (15) Injectors specially designed for (23) Rocket or missile payload fair- articles controlled in this category ings; (MT for those injectors specially de- signed which are usable in systems (24) Rocket or missile launch can- enumerated in paragraph (a)(1) of this isters (MT for those rocket or missile category); launch canisters designed or modified (16) Solid rocket motor or liquid en- for systems enumerated in paragraphs gine igniters; (a)(1) and (a)(2) of this category); (17) Re-entry vehicles and specially (25) Fuzes specially designed for arti- designed parts and components there- cles enumerated in paragraph (a) of for not elsewhere specified in this cat- this category (e.g., proximity, contact, egory (MT); electronic, dispenser proximity, air- burst, variable time delay, or multi-op- NOTE TO PARAGRAPH (h)(17): This paragraph does not control spacecraft. For controls on tion) (MT for those fuzes usable in sys- spacecraft, see USML Category XV and, if tems enumerated in paragraph (a)(1) of not described therein, then CCL ECCN 9A515. this category);

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(26) Rocket or missile liquid propel- ance (including training) to a foreign lant tanks (MT for those rocket or mis- person in the integration of a satellite sile liquid propellant tanks usable in or spacecraft to a launch vehicle, in- systems enumerated in paragraph (a)(1) cluding both planning and onsite sup- of this category); port, regardless of the jurisdiction, (27) Rocket or missile altimeters spe- ownership, or origin of the satellite or cially designed for use in articles enu- spacecraft, or whether technical data is merated in paragraph (a)(1) of this cat- used. It also includes the furnishing of egory (MT); assistance (including training) to a for- (28) Pneumatic, hydraulic, mechan- eign person in the launch failure anal- ical, electro-optical, or ysis of a launch vehicle, regardless of electromechanical flight control sys- the jurisdiction, ownership, or origin of tems (including fly-by-wire systems) the launch vehicle, or whether tech- and attitude control equipment spe- nical data is used. (See § 125.4 of this cially designed for use in the rockets or subchapter for exemptions, and § 124.15 missiles enumerated in paragraph (a)(1) of this subchapter for special export of this category (MT for these systems controls for spacecraft and spacecraft which have been designed or modified launches.) (MT for technical data and for those enumerated in paragraph defense services related to articles des- (a)(1) of this category); ignated as such.) (29) Umbilical and interstage elec- (j)–(w) [Reserved] trical connectors specially designed for (x) Commodities, software, and tech- use in the rockets or missiles enumer- nical data subject to the EAR (see ated in paragraph (a)(1) or (a)(2) of this § 120.42 of this subchapter) used in or category (MT); or with defense articles. NOTE TO PARAGRAPH (h)(29): This paragraph NOTE TO PARAGRAPH (x): Use of this para- also includes electrical connectors installed graph is limited to license applications for between the systems specified in paragraph defense articles where the purchase docu- (a)(1) or (a)(2) of this category and their pay- mentation includes commodities, software, load. or technical data subject to the EAR (see * (30) Any part, component, acces- § 123.1(b) of this subchapter). sory, attachment, equipment, or sys- NOTE TO CATEGORY IV: If a Missile Tech- tem that (MT for those articles des- nology Control Regime Category I item is in- cluded in a system, that system will also be ignated as such): considered as a Category I item, except when (i) Is classified; the incorporated item cannot be separated, (ii) Contains classified software di- removed, or duplicated. rectly related to defense articles in this subchapter or 600 series items sub- CATEGORY V—EXPLOSIVES AND ENER- ject to the EAR; or GETIC MATERIALS, PROPELLANTS, IN- (iii) Is being developed using classi- CENDIARY AGENTS, AND THEIR CON- fied information. STITUENTS NOTE TO PARAGRAPH (h)(30): ‘‘Classified’’ * (a) Explosives, and mixtures there- means classified pursuant to Executive Order of, as follows: 13526, or predecessor order, and a security classification guide developed pursuant (1) ADNBF thereto or equivalent, or to the cor- (aminodinitrobenzofuroxan or 7-Amino responding classification rules of another 4,6-dinitrobenzofurazane-1-oxide) (CAS government or international organization. 97096–78–1); (i) Technical data (see § 120.10 of this (2) BNCP (cis-bis(5-nitrotetrazolato) subchapter) and defense services (see tetra amine-cobalt (III) perchlorate) § 120.9 of this subchapter) directly re- (CAS 117412–28–9); lated to the defense articles described (3) CL–14 in paragraphs (a) through (h) of this (diaminodinitrobenzofuroxan or 5,7- category and classified technical data diamino-4,6-dinitrobenzofurazane-1- directly related to items controlled in oxide) (CAS 117907–74–1); ECCNs 0A604, 0B604, 0D604, 9A604, 9B604, (4) CL–20 (HNIW or or 9D604 and defense services using the Hexanitrohexaazaisowurtzitane) (CAS classified technical data. Defense serv- 135285–90–4); clathrates of CL–20 (MT ices include the furnishing of assist- for CL–20);

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(5) CP (2-(5-cyanotetrazolato) penta (i) BNNII (Octohydro-2,5- aminecobalt (III) perchlorate) (CAS bis(nitroimino) imidazo [4,5- 70247–32–4); d]imidazole); (6) DADE (1,1-diamino-2,2- (ii) DNI (2,4-dinitroimidazole) (CAS dinitroethylene, FOX–7) (CAS 145250– 5213–49–0); 81–3); (iii) FDIA (1-fluoro-2,4- (7) DATB (Diaminotrinitrobenzene) dinitroimidazole); (CAS 1630–08–6); (iv) NTDNIA (N-(2-nitrotriazolo)-2,4- (8) DDFP (1,4- dinitro-imidazole); or dinitrodifurazanopiperazine); (v) PTIA (1-picryl-2,4,5- (9) DDPO (2,6-diamino-3,5- trinitroimidazole); dinitropyrazine-1-oxide, PZO) (CAS (19) NTNMH (1-(2-nitrotriazolo)-2- 194486–77–6); dinitromethylene hydrazine); (10) DIPAM (3,3′-Diamino-2,2′,4,4′,6,6′- (20) NTO (ONTA or 3-nitro-1,2,4- hexanitrobiphenyl or dipicramide) triazol-5-one) (CAS 932–64–9); (CAS 17215–44–0); (21) Polynitrocubanes with more than (11) DNAN (2,4-Dinitroanisole) (CAS four nitro groups; 119–27–7); (22) PYX (2,6-Bis(picrylamino)-3,5- (12) DNGU (DINGU or dinitropyridine) (CAS 38082–89–2); dinitroglycoluril) (CAS 55510–04–8); (23) RDX and derivatives, as follows: (13) Furazans, as follows: (i) RDX (i) DAAOF (DAAF, DAAFox, or (cyclotrimethylenetrinitramine), cy- diaminoazoxyfurazan); clonite, T4, hexahydro-1,3,5-trinitro- (ii) DAAzF (diaminoazofurazan) (CAS 1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza- 78644–90–3); cyclohexane, hexogen, or hexogene) (iii) ANF (Furazanamine, 4-nitro- or (CAS 121–82–4) (MT); 3-Amino-4-nitrofurazan; or 4-Nitro- (ii) Keto-RDX (K–6 or 2,4,6-trinitro- 1,2,5-oxadiazol-3-amine; or 4-Nitro-3- 2,4,6-triazacyclohexanone) (CAS 115029– furazanamine; CAS 66328–69–6); or 35–1); or (iv) ANAzF (Aminonitroazofurazan or (iii) Difluoraminated derivative of 1,2,5-Oxadiazol-3-amine, 4-[2-(4-nitro- RDX; 1,3-Dinitro-5,5- 1,2,5-oxadiazol-3-yl) diazenyl]; or 1,2,5- bis(difluoramino)1,3-diazahexane (CAS Oxadiazol-3-amine, 4-[(4-nitro-1,2,5- No. 193021–34–0); oxadiazol-3-yl)azo]- (9CI); or (24) TAGN Furazanamine, 4-[(nitrofurananyl)azo]- (Triaminoguanidinenitrate) (CAS 4000– ; or 4-[(4-Nitro-1,2,5-oxadiazol-3-yl)azo]- 16–2); 1,2,5-oxadiazol-3-amine) (CAS 155438–11– (25) TATB (Triaminotrinitrobenzene) 2); (CAS 3058–38–6); (14) GUDN (Guanylurea dinitramide) (26) TEDDZ (3,3,7,7- FOX–12 (CAS 217464–38–5); tetrakis(difluoroamine) octahydro-1,5- (15) HMX and derivatives, as follows: dinitro-1,5-diazocine; (i) HMX (27) Tetrazines, as follows: (Cyclotetramethylenetetranitramine; (i) BTAT (Bis(2,2,2-trinitroethyl)-3,6- octahydro-1,3,5,7-tetranitro-1,3,5,7-tet- diaminotetrazine); or razine; 1,3,5,7-tetranitro-1,3,5,7-tetraza- (ii) LAX–112 (3,6-diamino-1,2,4,5-tetra- cyclooctane; octogen, octogene) (CAS zine-1,4-dioxide); 2691–41–0) (MT); (28) Tetrazoles, as follows: (ii) Difluoroaminated analogs of (i) NTAT HMX; or (nitrotriazolaminotetrazole); or (iii) K–55 (2,4,6,8-tetranitro-2,4,6,8- (ii) NTNT (1-N-(2-nitrotriazolo)-4- tetraazabicyclo [3,3,0]-octanone-3, nitrotetrazole); tetranitrosemiglycouril, or keto- (29) Tetryl bicyclic HMX) (CAS 130256–72–3); (trinitrophenylmethylnitramine) (CAS (16) HNAD (hexanitroadamantane) 479–45–8); (CAS 143850–71–9); (30) TEX (4,10-Dinitro-2,6,8,12- (17) HNS (hexanitrostilbene) (CAS tetraoxa-4,10-diazaisowurtzitane); 20062–22–0); (31) TNAD (1,4,5,8-tetranitro-1,4,5,8- (18) Imidazoles, as follows: tetraazadecalin) (CAS 135877–16–6);

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(32) TNAZ (1,3,3-trinitroazetidine) mm/s under standard conditions (as (CAS 97645–24–4); measured in the form of an inhibited (33) TNGU (SORGUYL or single strand) of 6.89 Mpa (68.9 bar) tetranitroglycoluril) (CAS 55510–03–7); pressure and 294K (21 °C); (34) TNP (1,4,5,8-tetranitro-pyridazino (4) Elastomer-modified cast double- [4,5-d] pyridazine) (CAS 229176–04–9); based propellants with extensibility at (35) Triazines, as follows: maximum stress greater than 5% at 233 (i) DNAM (2-oxy-4,6-dinitroamino-s- K (¥40 °C); or triazine) (CAS 19899–80–0); or (5) Other composite and composite (ii) NNHT (2-nitroimino-5-nitro- modified double-base propellants. hexahydro-1,3,5 triazine) (CAS 130400– (c) Pyrotechnics, fuels and related 13–4); substances, and mixtures thereof, as (36) Triazoles, as follows: follows: (i) 5-azido-2-nitrotriazole; (1) Alane (aluminum hydride) (CAS (ii) ADHTDN (4-amino-3,5- 7784–21–6); dihydrazino-1,2,4-triazole dinitramide) (2) Carboranes; decaborane (CAS (CAS 1614–08–0); 17702–41–9); pentaborane and deriva- (iii) ADNT (1-amino-3,5-dinitro-1,2,4- tives thereof (MT); triazole); (3) Liquid high energy density fuels, (iv) BDNTA as follows (MT): (Bis(dinitrotriazole)amine); (i) Mixed fuels that incorporate both (v) DBT (3,3′-dinitro-5,5-bi-1,2,4-tri- solid and liquid fuels, such as boron azole) (CAS 30003–46–4); slurry, having a mass-based energy (vi) DNBT (dinitrobistriazole) (CAS density of 40 MJ/kg or greater; or 70890–46–9); (ii) Other high energy density fuels (vii) NTDNT (1–N-(2-nitrotriazolo) and fuel additives (e.g., cubane, ionic 3,5-dinitro-triazole); solutions, JP–7, JP–10) having a vol- (viii) PDNT (1-picryl-3,5- ume-based energy density of 37.5 GJ dinitrotriazole); or per cubic meter or greater, measured (ix) TACOT at 20 °C and one atmosphere (101.325 (tetranitrobenzotriazolobenzotriazole) kPa) pressure; (CAS 25243–36–1); NOTE TO PARAGRAPH (c)(3)(ii): JP–4, JP–8, (37) Energetic ionic materials melt- fossil refined fuels or biofuels, or fuels for ing between 343 K (70 °C) and 373 K (100 engines certified for use in civil aviation are °C) and with detonation velocity ex- not included. ceeding 6800 m/s or detonation pressure (4) Metal fuels, and fuel or pyro- exceeding 18 GPa (180 kbar); or technic mixtures in particle form (38) Explosives, not otherwise enu- whether spherical, atomized, sphe- merated in this paragraph or on the roidal, flaked, or ground, manufactured CCL in ECCN 1C608, with a detonation from material consisting of 99% or velocity exceeding 8700 m/s at max- more of any of the following: imum density or a detonation pressure (i) Metals, and mixtures thereof, as exceeding 34 Gpa (340 kbar). follows: * (b) Propellants, as follows (MT for (A) Beryllium (CAS 7440–41–7) in par- composite and composite modified dou- ticle sizes of less than 60 micrometers ble-base propellants): (MT); or (1) Any solid propellant with a theo- (B) Iron powder (CAS 7439–89–6) with retical (see paragraph particle size of 3 micrometers or less (k)(4) of this category) greater than: produced by reduction of iron oxide (i) 240 seconds for non-metallized, with hydrogen; non-halogenated propellant; (ii) Fuel mixtures or pyrotechnic (ii) 250 seconds for non-metallized, mixtures, which contain any of the fol- halogenated propellant; or lowing: (iii) 260 seconds for metallized propel- (A) Boron (CAS 7440–42–8) or boron lant; carbide (CAS 12069–32–8) fuels of 85% (2) Propellants having a force con- purity or higher and particle sizes of stant of more than 1,200 kJ/Kg; less than 60 micrometers; or (3) Propellants that can sustain a (B) Zirconium (CAS 7440–67–7), mag- steady-state burning rate more than 38 nesium (CAS 7439–95–4), or alloys of

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these in particle sizes of less than 60 (11) Perchlorates, chlorates, and micrometers; chromates composited with powdered (iii) Explosives and fuels containing metal or other high energy fuel compo- the metals or alloys listed in para- nents controlled under this category graphs (c)(4)(i) and (c)(4)(ii) of this cat- (MT). egory whether or not the metals or al- * (e) Binders, and mixtures thereof, as loys are encapsulated in aluminum, follows: magnesium, zirconium, or beryllium; (1) AMMO (5) Fuel, pyrotechnic, or energetic (azidomethylmethyloxetane and its mixtures having any nanosized alu- polymers) (CAS 90683–29–7); minum, beryllium, boron, zirconium, (2) BAMO-3-3 magnesium, or titanium, as follows: (bis(azidomethyl)oxetane and its poly- (i) Having particle size less than 200 mers) (CAS 17607–20–4); nm in any direction; and (3) BTTN (butanetriol trinitrate) (ii) Having 60% or higher purity; (CAS 6659–60–5) (MT); (6) Pyrotechnic and pyrophoric mate- (4) FAMAO (3-difluoroaminomethyl- rials, as follows: 3-azidomethyloxetane) and its poly- (i) Pyrotechnic or pyrophoric mate- mers; rials specifically formulated to en- (5) FEFO (bis(2-fluoro-2,2- hance or control the production of ra- dinitroethyl)formal) (CAS 17003–79–1); diated energy in any part of the IR (6) GAP (glycidyl azide polymer) spectrum; or (CAS 143178–24–9) and its derivatives (ii) Mixtures of magnesium, poly- (MT for GAP); tetrafluoroethylene and the copolymer (7) HTPB (hydroxyl-terminated vinylidene difluoride and polybutadiene) with a hydroxyl hexafluoropropylene (MT); functionality equal to or greater than (7) Titanium subhydride (TiHn) of 2.2 and less than or equal to 2.4, a stoichiometry equivalent to n = 0.65– hydroxyl value of less than 0.77 meq/g, 1.68; or and a viscosity at 30 °C of less than 47 (8) Hydrocarbon fuels specially for- poise (CAS 69102–90–5) (MT); mulated for use in flame throwers or (8) 4,5 diazidomethyl-2-methyl-1,2,3- incendiary munitions containing metal triazole (iso-DAMTR) (MT); stearates (e.g., octal) or palmitates, (9) NENAS (nitratoethylnitramine and M1, M2, and M3 thickeners. compounds), as follows: (d) Oxidizers, as follows: (i) N-Methyl 2-nitratoethylnitramine (1) ADN (ammonium dinitramide or (Methyl-NENA) (CAS 17096–47–8) (MT); SR–12) (CAS 140456–78–6) (MT); (ii) N-Ethyl 2-nitratoethylnitramine (2) AP (ammonium perchlorate) (CAS (Ethyl-NENA) (CAS 85068–73–1) (MT); 7790–98–9) (MT); (iii) N-Propyl 2- (3) BDNPN (bis(2,2- nitratoethylnitramine (CAS 82486–83–7); dinitropropyl)nitrate) (CAS 28464–24–6); (iv) N-Butyl-2-nitratoethylnitramine (4) DNAD (1,3-dinitro-1,3-diazetidine) (BuNENA) (CAS 82486–82–6); or (CAS 78246–06–7); (v) N-Pentyl 2-nitratoethylnitramine (5) HAN (Hydroxylammonium ni- (CAS 85954–06–9); trate) (CAS 13465–08–2); (10) Poly-NIMMO (poly (6) HAP (hydroxylammonium per- nitratomethylmethyoxetane, poly- chlorate) (CAS 15588–62–2); NMMO, (poly[3-nitratomethyl-3-methyl (7) HNF (Hydrazinium nitroformate) oxetane]) (CAS 84051–81–0); (CAS 20773–28–8) (MT); (11) PNO (Poly(3-nitratooxetane)); (8) Hydrazine nitrate (CAS 37836–27–4) (12) TVOPA 1,2,3-Tris [1,2- (MT); bis(difluoroamino)ethoxy]propane; tris (9) Hydrazine perchlorate (CAS 27978– vinoxy propane adduct (CAS 53159–39– 54–7) (MT); 0); (10) Inhibited red fuming nitric acid (13) Polynitrorthocarbonates; (IRFNA) (CAS 8007–58–7) and liquid (14) FPF–1 (poly-2,2,3,3,4,4-hexafluoro oxidizers comprised of or containing pentane-1,5-diolformal) (CAS 376–90–9); IRFNA or oxygen difluoride (MT for (15) FPF–3 (poly-2,4,4,5,5,6,6- liquid oxidizers comprised of IRFNA); heptafluoro-2-trifluoromethyl-3- or oxaheptane-1,7-diolformal);

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(16) PGN (Polyglycidyl nitrate or 6); BOBBA–8 (bis(2-methyl aziridinyl)- poly(nitratomethyloxirane); poly- 2-(2-hydroxypropanoxy) propylamino GLYN); (CAS 27814–48–8); phosphine oxide); and other MAPO de- (17) N-methyl-p-nitroaniline (MT); rivatives (MT for MAPO); (18) Low (less than 10,000) molecular (12) Methyl BAPO (Bis(2-methyl weight, alcohol-functionalized, aziridinyl)methylaminophosphine poly(epichlorohydrin); oxide) (CAS 85068–72–0); poly(epichlorohydrindiol); and triol; or (13) 3-Nitraza-1,5-pentane (19) Dinitropropyl based plasticizers, diisocyanate (CAS 7406–61–9); as follows (MT): (14) Organo-metallic coupling agents, (i) BDNPA (bis (2,2-dinitropropyl) as follows: acetal) (CAS 5108–69–0); or (i) Neopentyl[diallyl]oxy, tri (ii) BDNPF (bis (2,2-dinitropropyl) [dioctyl] phosphatotitanate (CAS formal) (CAS 5917–61–3). 103850–22–2); also known as titanium IV, (f) Additives, as follows: 2,2[bis 2-propenolato-methyl, (1) Basic copper salicylate (CAS butanolato, tris (dioctyl) phosphato] 62320–94–9); (CAS 110438–25–0), or LICA 12 (CAS (2) BHEGA (Bis-(2-hydroxy- 103850–22–2); ethyl)glycolamide) (CAS 17409–41–5); (ii) Titanium IV, [(2-propenolato-1) (3) BNO (Butadienenitrile oxide); methyl, n-propanolatomethyl] (4) Ferrocene derivatives, as follows butanolato-1, (MT): tris(dioctyl)pyrophosphate, or KR3538; (i) Butacene (CAS 125856–62–4); or (ii) Catocene (2,2-Bis- (iii) Titanium IV, [(2-propenolato- ethylferrocenylpropane) (CAS 37206–42– 1)methyl, propanolatomethyl] 1); butanolato-1, tris(dioctyl) phosphate; (iii) Ferrocene carboxylic acids and (15) PCDE ferrocene carboxylic acid esters; (Polycyanodifluoroaminoethylene (iv) n-butylferrocene (CAS 31904–29– oxide); 7); (16) Certain bonding agents, as fol- (v) Ethylferrocene (CAS 1273–89–8); lows (MT): (vi) Propylferrocene; (i) 1,1R,1S-trimesoyl-tris(2- (vii) Pentylferrocene (CAS 1274–00–6); ethylaziridine) (HX–868, BITA) (CAS (viii) Dicyclopentylferrocene; 7722–73–8); or (ix) Dicyclohexylferrocene; (ii) Polyfunctional aziridine amides (x) Diethylferrocene (CAS 173–97–8); with isophthalic, trimesic, isocyanuric, (xi) Dipropylferrocene; or trimethyladipic backbone also hav- (xii) Dibutylferrocene (CAS 1274–08– ing a 2-methyl or 2-ethyl aziridine 4); group; (xiii) Dihexylferrocene (CAS 93894–59– NOTE TO PARAGRAPH (f)(16)(ii): Included are 8); (1) 1,1H-Isophthaloyl-bis(2-methylaziridine) (xiv) Acetylferrocene (CAS 1271–55–2)/ (HX–752) (CAS 7652–64–4); (2) 2,4,6-tris(2-ethyl- 1,1′-diacetyl ferrocene (CAS 1273–94–5); 1-aziridinyl)-1,3,5-triazine (HX–874) (CAS or 18924–91–9); and (3) 1,1′-trimethyladipoylbis(2- (xv) Other ferrocene derivatives that ethylaziridine) (HX–877) (CAS 71463–62–2). do not contain a six carbon aromatic (17) Superfine iron oxide (Fe2O3, hem- functional group attached to the fer- atite) with a specific surface area more rocene molecule (MT if usable as rock- than 250 m2/g and an average particle et propellant burning rate modifier); size of 0.003 micrometers or less (CAS (5) Lead beta-resorcylate (CAS 20936– 1309–37–1); 32–7); (6) Lead citrate (CAS 14450–60–3); (18) TEPAN (HX–879) (tetraethyl- (7) Lead-copper chelates of beta- enepentaamineacrylonitrile) (CAS resorcylate or salicylates (CAS 68411– 68412–45–3); cyanoethylated polyamines 07–4); and their salts (MT for TEPAN (HX– (8) Lead maleate (CAS 19136–34–6); 879)); (9) Lead salicylate (CAS 15748–73–9); (19) TEPANOL (HX–878) (tetraethy- (10) Lead stannate (CAS 12036–31–6); lenepentaamineacrylonitrileglycidol) (11) MAPO (tris-1-(2-methyl) (CAS 68412–46–4); cyanoethylated aziridinylphosphine oxide) (CAS 57–39– polyamines adducted with glycidol and

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their salts (MT for TEPANOL (HX– NOTE 2 TO PARAGRAPH (i): Note 1 does not 878)); apply to defense articles enumerated on the U.S. Munitions List, whether in production (20) TPB (triphenyl bismuth) (CAS or development. 603–33–8) (MT); or NOTE 3 TO PARAGRAPH (i): This paragraph is (21) Tris (ethoxyphenyl) bismuth applicable only to those contracts and fund- (TEPB) (CAS 90591–48–3). ing authorizations that are dated January 5, (g) Precursors, as follows: 2015, or later. (1) BCMO (3,3- (j) Technical data (as defined in bis(chloromethyl)oxetane) (CAS 78–71– § 120.10 of this subchapter) and defense 7); services (as defined in § 120.9 of this (2) DADN (1,5-diacetyl-3,7-dinitro-1, 3, subchapter) directly related to the de- 5, 7-tetraazacyclooctane); fense articles described in paragraphs (3) Dinitroazetidine-t-butyl salt (CAS (a) through (i) of this category (see also 125735–38–8); § 123.20 of this subchapter) (MT for arti- cles designated as such). (4) CL–20 precursors (any molecule (k) The following interpretations ex- containing hexaazaisowurtzitane) (e.g., plain and amplify the terms used in HBIW this category and elsewhere in this (hexabenzylhexaazaisowurtzitane), subchapter: TAIW (tetraacetyldibenzylhexa- (1) USML Category V contains explo- azaisowurtzitane)); sives, energetic materials, propellants, (5) TAT (1, 3, 5, 7-tetraacetyl-1, 3, 5, 7- and pyrotechnics and specially formu- tetraazacyclooctane) (CAS 41378–98–7); lated fuels for aircraft, missile, and (6) Tetraazadecalin (CAS 5409–42–7); naval applications. Explosives are (7) 1,3,5-trichlorobenzene (CAS 108–70– solid, liquid, or gaseous substances or 3); or mixtures of substances, which, in their (8) 1,2,4-trihydroxybutane (1,2,4- primary, booster, or main charges in butanetriol) (CAS 3068–00–6). warheads, demolition, or other mili- * (h) Any explosive, propellant, pyro- tary applications, are required to deto- technic, fuel, oxidizer, binder, additive, nate. or precursor that (MT for articles des- (2) The resulting product of the com- ignated as such): bination or conversion of any sub- (1) Is classified; or stance controlled by this category into (2) Is being developed using classified an item not controlled will no longer information (see § 120.10(a)(2) of this be controlled by this category provided subchapter). the controlled item cannot easily be NOTE TO PARAGRAPH (h): ‘‘Classified’’ recovered through dissolution, melting, means classified pursuant to Executive Order sieving, etc. As an example, beryllium 13526, or predecessor order, and a security converted to a near net shape using hot classification guide developed pursuant isostatic processes will result in an un- thereto or equivalent, or to the cor- controlled part. A cured thermoset responding classification rules of another containing beryllium powder is not government or international organization. controlled unless meeting an explosive (i) Developmental explosives, propel- or propellant control. The mixture of lants, pyrotechnics, fuels, oxidizers, beryllium powder in a cured thermoset binders, additives, or precursors there- shape is not controlled by this cat- for funded by the Department of De- egory. The mixture of controlled beryl- fense via contract or other funding au- lium powder mixed with a typical pro- thorization. pellant binder will remain controlled NOTE 1 TO PARAGRAPH (i): This paragraph by this category. The addition of dry does not control explosives, propellants, py- silica powder to dry beryllium powder rotechnics, fuels, oxidizers, binders, addi- will remain controlled. tives, or precursors therefor (a) in produc- (3) Paragraph (c)(4)(ii)(A) of this cat- tion, (b) determined to be subject to the EAR egory does not apply to boron and via a commodity jurisdiction determination boron carbide enriched with boron-10 (see § 120.4 of this subchapter), or (c) identi- fied in the relevant Department of De- (20% or more of total boron-10 con- fense contract or other funding author- tent). ization as being developed for both civil (4) Theoretical specific impulse (Isp) and military applications. is calculated using standard conditions

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(1000 psi chamber pressure expanded to (b) Other vessels not controlled in 14.7 psi) and measured in units of paragraph (a) of this category, as fol- pound-force-seconds per pound-mass lows: (lbf-s/lbm) or simplified to seconds (s). (1) High-speed air cushion vessels for Calculations will be based on shifting transporting cargo and personnel, ship- equilibrium. to-shore and across a beach, with a (5) Particle size is the mean particle payload over 25 tons; diameter on a weight basis. Best indus- (2) Surface vessels integrated with trial practices will be used in deter- nuclear propulsion plants or specially mining particle size and the controls designed to support naval nuclear pro- may not be undermined by addition of pulsion plants; larger or smaller sized material to (3) Vessels armed or specially de- shift the mean diameter. signed to be used as a platform to de- liver munitions or otherwise destroy or (l)–(w) [Reserved] incapacitate targets (e.g., firing lasers, (x) Commodities, software, and tech- launching torpedoes, rockets, or mis- nical data subject to the EAR (see siles, or firing munitions greater than § 120.42 of this subchapter) used in or .50 caliber); or with defense articles. (4) Vessels incorporating any mission NOTE TO PARAGRAPH (x): Use of this para- systems controlled under this sub- graph is limited to license applications for chapter. defense articles where the purchase docu- NOTE TO PARAGRAPH (b)(4): ‘‘Mission sys- mentation includes commodities, software, tems’’ are defined as ‘‘systems’’ (see or technical data subject to the EAR (see § 120.45(g) of this subchapter) that are defense § 123.1(b) of this subchapter). articles that perform specific military func- NOTE 1 TO USML CATEGORY V: To assist the tions such as by providing military commu- exporter, an item has been categorized by nication, electronic warfare, target designa- the most common use. Also, where appro- tion, surveillance, target detection, or sensor priate, references have been provided to the capabilities. related controlled precursors. NOTE TO PARAGRAPHS (a) AND (b): Vessels NOTE 2 TO USML CATEGORY V: Chemical specially designed for military use that are Abstract Service (CAS) registry numbers do not identified in paragraph (a) or (b) of this not cover all the substances and mixtures category are subject to the EAR under ECCN controlled by this category. The numbers are 8A609, including any demilitarized vessels, provided as examples to assist government regardless of origin or designation, manufac- agencies in the license review process and tured prior to 1950 and unmodified since 1949. exporters when completing their license ap- Vessels with modifications made to incor- plication and export documentation. porate safety features required by law, are NOTE 3 TO USML CATEGORY V: Items con- cosmetic (e.g., different paint), or that add trolled in this Category, except for materials parts or components otherwise available described in paragraph (c)(6), (h), or (i), are prior to 1950 are considered ‘‘unmodified’’ for licensed by the Department of Commerce the purposes of this paragraph. when incorporated into an item subject to (c) Developmental vessels, and spe- the EAR and classified under ECCN 1C608. cially designed parts, components, ac- cessories, and attachments therefor, CATEGORY VI—SURFACE VESSELS OF funded by the Department of Defense WAR AND SPECIAL NAVAL EQUIPMENT via contract or other funding author- ization. * (a) Warships and other combatant vessels (i.e., battleships, aircraft car- NOTE 1 TO PARAGRAPH (c): This paragraph does not control vessels, and specially de- riers, destroyers, frigates, cruisers, cor- signed parts, components, accessories, and vettes, littoral combat ships, mine attachments therefor, (a) in production, (b) sweepers, mine hunters, mine counter- determined to be subject to the EAR via a measure ships, dock landing ships, am- commodity jurisdiction determination (see phibious assault ships), Coast Guard § 120.4 of this subchapter), or (c) identified in Cutters (with or equivalent to those the relevant Department of Defense contract with U.S. designations WHEC, WMEC, or other funding authorization as being de- WMSL, or WPB for the purpose of this veloped for both civil and military applica- tions. subchapter), or foreign-origin vessels NOTE 2 TO PARAGRAPH (c): Note 1 does not specially designed to provide functions apply to defense articles enumerated on the equivalent to those of the vessels listed U.S. Munitions List, whether in production above; or development.

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NOTE 3 TO PARAGRAPH (c): This provision is craft or arresting gear for recovering applicable to those contracts and funding au- aircraft (MT for launcher mechanisms thorizations that are dated July 8, 2014, or specially designed for rockets, space later. launch vehicles, or missiles capable of (d) [Reserved] achieving a range greater than or equal * (e) Naval nuclear propulsion plants to 300 km); and prototypes, and special facilities NOTE TO PARAGRAPH (f)(6): ‘‘Range’’ is the for construction, support, and mainte- maximum distance that the specified rocket nance therefor (see § 123.20 of this sub- system is capable of traveling in the mode of chapter). stable flight as measured by the projection (f) Vessel and naval equipment, parts, of its trajectory over the surface of the components, accessories, attachments, Earth. The maximum capability based on the associated equipment, and systems, as design characteristics of the system, when follows: fully loaded with fuel or propellant, will be (1) Hulls or superstructures, includ- taken into consideration in determining ing support structures therefor, that: range. The range for rocket systems will be determined independently of any external (i) Are specially designed for any ves- factors such as operational restrictions, lim- sels controlled in paragraph (a) of this itations imposed by telemetry, data links, or category; other external constraints. For rocket sys- (ii) Have armor, active protection tems, the range will be determined using the systems, or developmental armor sys- trajectory that maximizes range, assuming tems; or International Civil Aviation Organization (iii) Are specially designed to survive (ICAO) standard atmosphere with zero wind. 12.5% or greater damage across the (7) Shipborne active protection sys- length as measured between per- tems (i.e., defensive systems that ac- pendiculars; tively detect and track incoming (2) Systems that manage, store, cre- threats and launch a ballistic, explo- ate, distribute, conserve, and transfer sive, energy, or electromagnetic coun- energy, and specially designed parts termeasure(s) to neutralize the threat and components therefor, that have: prior to contact with a vessel) and spe- (i) Storage exceeding 30MJ; cially designed parts and components (ii) A discharge rate less than 3 sec- therefor; onds; and (8) Minesweeping and mine hunting (iii) A cycle time under 45 seconds; equipment (including mine counter- (3) Shipborne auxiliary systems for measures equipment deployed by air- chemical, biological, radiological, and craft), and specially designed parts and nuclear (CBRN) compartmentalization, components therefor; or over-pressurization and filtration sys- * (9) Any part, component, accessory, tems, and specially designed parts and attachment, equipment, or system components therefor; that: * (4) Control and monitoring systems (i) Is classified; for autonomous unmanned vessels ca- (ii) Contains classified software di- pable of on-board, autonomous percep- rectly related to defense articles in tion and decision-making necessary for this subchapter or 600 series items sub- the vessel to navigate while avoiding ject to the EAR; or fixed and moving hazards, and obeying (iii) Is being developed using classi- rules-of-the road without human inter- fied information. ‘‘Classified’’ means vention; classified pursuant to Executive Order * (5) Any machinery, device, compo- 13526, or predecessor order, and a secu- nent, or equipment, including produc- rity classification guide developed pur- tion, testing and inspection equipment, suant thereto or equivalent, or to the and tooling, specially designed for corresponding classification rules of plants or facilities controlled in para- another government or international graph (e) of this section (see § 123.20 of organization. this subchapter); (6) Parts, components, accessories, NOTE 1 TO PARAGRAPH (f): Parts, compo- nents, accessories, attachments, associated attachments, and equipment specially equipment, and systems specially designed designed for integration of articles for vessels described in this category but not controlled by USML Categories II, IV, listed in paragraph (f) are subject to the EAR or XVIII or catapults for launching air- under ECCN 8A609.

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NOTE 2 TO PARAGRAPH (f): For controls re- this subchapter) that are defense articles lated to ship signature management, see that perform specific military functions, USML Category XIII. such as by providing military communica- (g) Technical data (see § 120.10 of this tion, target designation, surveillance, target subchapter) and defense services (see detection, or sensor capabilities. NOTE TO PARAGRAPHS (b) AND (c): ‘‘Pay- § 120.9 of this subchapter) directly re- load’’ is the total mass that can be carried or lated to the defense articles described delivered by the specified rocket, space in paragraphs (a) through (f) of this launch vehicle, missile, drone, or unmanned category and classified technical data aerial vehicle that is not used to maintain directly related to items controlled in flight. For definition of ‘‘range’’ as it per- ECCNs 8A609, 8B609, 8C609, and 8D609 tains to aircraft systems, see note to para- and defense services using the classi- graph (a) USML Category VIII. For defini- fied technical data. (MT for technical tion of ‘‘range’’ as it pertains to rocket sys- tems, see note to paragraph (f)(6) of USML data and defense services related to ar- Category VI. ticles designated as such.) (See § 125.4 of this subchapter for ex- (d) [Reserved] emptions.) * (e) Armored support vehicles capa- (h)–(w) [Reserved] ble of off-road or amphibious use spe- (x) Commodities, software, and tech- cially designed to transport or deploy nical data subject to the EAR (see personnel or materiel, or to move with § 120.42 of this subchapter) used in or other vehicles over land in close sup- with defense articles. port of combat vehicles or troops (e.g., personnel carriers, resupply vehicles, NOTE TO PARAGRAPH (x): Use of this para- graph is limited to license applications for combat engineer vehicles, recovery ve- defense articles where the purchase docu- hicles, reconnaissance vehicles, bridge mentation includes commodities, software, launching vehicles, ambulances, and or technical data subject to the EAR (see command and control vehicles). § 123.1(b) of this subchapter). (f) [Reserved] (g) Ground vehicle parts, compo- CATEGORY VII—GROUND VEHICLES nents, accessories, attachments, asso- * (a) Armored combat ground vehicles ciated equipment, and systems as fol- as follows: lows: (1) Tanks; or (1) Armored hulls, armored turrets, (2) Infantry fighting vehicles. and turret rings; * (b) Ground vehicles (not enumerated (2) Active protection systems (i.e., de- in paragraph (a) of this category) and fensive systems that actively detect trailers that are armed or are specially and track incoming threats and launch designed to be used as a firing or a ballistic, explosive, energy, or elec- launch platform to deliver munitions tromagnetic countermeasure(s) to neu- or otherwise destroy or incapacitate tralize the threat prior to contact with targets (e.g., firing lasers, launching a vehicle) and specially designed parts rockets, firing missiles, firing mortars, and components therefor; firing artillery rounds, or firing other (3) Composite armor parts and com- ammunition greater than .50 caliber) ponents specially designed for the vehi- (MT if specially designed for rockets, cles in this category; space launch vehicles, missiles, drones, (4) Spaced armor components and or unmanned aerial vehicles capable of parts, including slat armor parts and delivering a payload of at least 500 kg components specially designed for the to a range of at least 300 km). vehicles in this category; (c) Ground vehicles and trailers (5) Reactive armor parts and compo- equipped with any mission systems nents; controlled under this subchapter (MT if (6) Electromagnetic armor parts and specially designed for rockets, space components, including pulsed power launch vehicles, missiles, drones, or specially designed parts and compo- unmanned aerial vehicles capable of nents therefor; delivering a payload of at least 500 kg NOTE TO PARAGRAPHS (g)(3)–(6): See USML to a range of at least 300 km). Category XIII(m)(1)–(4) for interpretations NOTE TO PARAGRAPH (c): ‘‘Mission systems’’ which explain and amplify terms used in are defined as ‘‘systems’’ (see § 120.45(g) of these paragraphs.

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(7) Built in test equipment (BITE) to classification rules of another govern- evaluate the condition of weapons or ment or international organization. other mission systems for vehicles NOTE TO PARAGRAPH (g): Parts, compo- identified in this category, excluding nents, accessories, attachments, associated equipment that provides diagnostics equipment, and systems specially designed solely for a subsystem or component for vehicles in this category but not listed in involved in the basic operation of the paragraph (g) are subject to the EAR under vehicle; ECCN 0A606. (8) Gun mount, stabilization, turret (h) Technical data (see § 120.10 of this drive, and automatic elevating sys- subchapter) and defense services (see tems, and specially designed parts and § 120.9 of this subchapter) directly re- components therefor; lated to the defense articles described (9) Self-launching bridge components in paragraphs (a) through (g) of this rated class 60 or above for deployment category and classified technical data by vehicles in this category; directly related to items controlled in (10) Suspension components as fol- ECCNs 0A606, 0B606, 0C606, and 0D606 lows: and defense services using the classi- (i) Rotary shock absorbers specially fied technical data. (See § 125.4 of this designed for the vehicles weighing subchapter for exemptions.) (MT for more than 30 tons in this category; or technical data and defense services re- (ii) Torsion bars specially designed lated to articles designated as such.) for the vehicles weighing more than 50 (i)–(w) [Reserved] tons in this category; (x) Commodities, software, and tech- (11) Kits specially designed to con- nical data subject to the EAR (see vert a vehicle in this category into ei- § 120.42 of this subchapter) used in or ther an unmanned or a driver-optional with defense articles. vehicle. For a kit to be controlled by NOTE TO PARAGRAPH (x): Use of this para- this paragraph, it must, at a minimum, graph is limited to license applications for include equipment for: defense articles where the purchase docu- (i) Remote or autonomous steering; mentation includes commodities, software, (ii) Acceleration and braking; and or technical data subject to the EAR (see (iii) A control system; § 123.1(b) of this subchapter). NOTE 1 TO CATEGORY VII: Ground vehicles (12) Fire control computers, mission specially designed for military applications computers, vehicle management com- that are not identified in this category are puters, integrated core processers, subject to the EAR under ECCN 0A606, in- stores management systems, arma- cluding any unarmed ground vehicles, re- ments control processors, vehicle- gardless of origin or designation, manufac- weapon interface units and computers; tured prior to 1956 and unmodified since 1955. (13) Test or calibration equipment for Ground vehicles with modifications made to the mission systems of the vehicles in incorporate safety features required by law, are cosmetic (e.g., different paint, repo- this category, except those enumerated sitioning of bolt holes), or that add parts or elsewhere; or components otherwise available prior to 1956 * (14) Any part, component, acces- are considered ‘‘unmodified’’ for the purposes sory, attachment, equipment, or sys- of this paragraph. ECCN 0A606 also includes tem that (MT for those articles des- unarmed vehicles derived from otherwise ignated as such): EAR99 civilian vehicles that have been modi- (i) Is classified; fied or otherwise fitted with materials to provide ballistic protection, including pro- (ii) Contains classified software di- tection to level III (National Institute of rectly related to defense articles in Justice Standard 0108.01, September 1985) or this subchapter or 600 series items sub- better and that do not have reactive or elec- ject to the EAR; or tromagnetic armor. (iii) Is being developed using classi- NOTE 2 TO CATEGORY VII: Armored ground fied information. vehicles are (i) ground vehicles that have in- ‘‘Classified’’ means classified pursu- tegrated, fully armored hulls or cabs, or (ii) ground vehicles on which add-on armor has ant to Executive Order 13526, or prede- been installed to provide ballistic protection cessor order, and a security classifica- to level III (National Institute of Justice tion guide developed pursuant thereto Standard 0108.01, September 1985) or better. or equivalent, or to the corresponding Armored support vehicles do not include

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those that are merely capable of being (i) U.S.-origin aircraft that bear an equipped with add-on armor. original military designation of A, B, NOTE 3 TO CATEGORY VII: Ground vehicles E, F, K, M, P, R, or S; or include any vehicle meeting the definitions (ii) Foreign-origin aircraft specially or control parameters regardless of the sur- face (e.g., highway, off-road, rail) upon which designed to provide functions equiva- the vehicle is designed to operate. lent to those of the aircraft listed in paragraph (a)(15)(i) of this category; or CATEGORY VIII—AIRCRAFT AND (16) Aircraft that are armed or are RELATED ARTICLES specially designed to be used as a plat- form to deliver munitions or otherwise (a) Aircraft, whether manned, un- destroy targets (e.g., firing lasers, manned, remotely piloted, or option- launching rockets, firing missiles, ally piloted, as follows (MT if the air- dropping bombs, or strafing); craft, excluding manned aircraft, has a range equal to or greater than 300 km): NOTE 1 TO PARAGRAPH (a): Aircraft spe- cially designed for military applications that * (1) Bombers; are not identified in paragraph (a) of this * (2) Fighters, fighter bombers, and section are subject to the EAR and classified fixed-wing attack aircraft; as ECCN 9A610, including any model of un- * (3) - or -powered armed military aircraft manufactured prior trainers used to train pilots for fighter, to 1956, regardless of origin or designation, attack, or bomber aircraft; and unmodified since manufacture. Aircraft * (4) Attack helicopters; with modifications made to incorporate safe- ty of flight features or other FAA or NTSB * (5) Unmanned aerial vehicles modifications such as transponders and air (UAVs) specially designed to incor- data recorders are considered ‘‘unmodified’’ porate a defense article; for the purposes of this paragraph. * (6) [Reserved] NOTE 2 TO PARAGRAPH (a): ‘‘Range’’ is the * (7) Aircraft specially designed to in- maximum distance that the specified air- corporate a defense article for the pur- craft system is capable of traveling in the pose of performing an intelligence, sur- mode of stable flight as measured by the pro- jection of its trajectory over the surface of veillance, and reconnaissance function; the Earth. The maximum capability based on * (8) Aircraft specially designed to in- the design characteristics of the system, corporate a defense article for the pur- when fully loaded with fuel or propellant, pose of performing an electronic war- will be taken into consideration in deter- fare function; airborne warning and mining range. The range for aircraft systems control aircraft; or aircraft specially will be determined independently of any ex- designed to incorporate a defense arti- ternal factors such as operational restric- cle for the purpose of performing a tions, limitations imposed by telemetry, data links, or other external constraints. For command, control, and communica- aircraft systems, the range will be deter- tions function; mined for a one-way distance using the most (9) Aircraft specially designed to in- fuel-efficient flight profile (e.g., cruise speed corporate a defense article for the pur- and altitude), assuming International Civil pose of performing an air refueling Aviation Organization (ICAO) standard at- function; mosphere with zero wind, but with no fuel (10) Target drones; reserve. (11) [Reserved] (b)–(c) [Reserved] (12) Aircraft capable of being refueled (d) Launching and recovery equip- in-flight including hover-in-flight re- ment specially designed to allow an fueling (HIFR); aircraft described in paragraph (a) of (13) [Reserved] this category to take off or land on a (14) Aircraft with a roll-on/roll-off vessel described in Category VI para- ramp, capable of airlifting payloads graphs (a) through (c) (MT if the over 35,000 lbs. to ranges over 2,000 nm launching and recovery equipment is without being refueled in-flight, and for an aircraft, excluding manned air- landing onto short or unimproved air- craft, that has a range equal to or fields, other than L–100 and LM–100J greater than 300 km). aircraft; NOTE TO PARAGRAPH (d): For the definition * (15) Aircraft not enumerated in of ‘‘range,’’ see note to paragraph (a) of this paragraphs (a)(1) through (a)(14) as fol- category. lows: (e) [Reserved]

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(f) Developmental aircraft funded by brication system, and specially de- the Department of Defense via contract signed parts and components therefor; or other funding authorization, and NOTE TO PARAGRAPH (h)(2): Loss of lubrica- specially designed parts, components, tion means a situation where oil/lubrication accessories, and attachments therefor. is mostly or completely lost from a trans- NOTE 1 TO PARAGRAPH (f): This paragraph mission/gearbox such that only a residual does not control aircraft and specially de- coating remains due to the lubrication sys- signed parts, components, accessories, and tem failure. attachments therefor (a) in production; (b) (3) Tail boom folding systems, stabi- determined to be subject to the EAR via a lator folding systems or automatic commodity jurisdiction determination (see rotor blade folding systems, and spe- § 120.4 of this subchapter), or (c) identified in the relevant Department of Defense contract cially designed parts and components or other funding authorization as being de- therefor; veloped for both civil and military applica- (4) Wing folding systems, and spe- tions. cially designed parts and components NOTE 2 TO PARAGRAPH (f): Note 1 does not therefor, for: apply to defense articles enumerated on the (i) Aircraft powered by power plants U.S. Munitions List, whether in production or development. controlled under USML Category IV(d); NOTE 3 TO PARAGRAPH (f): This paragraph is or applicable only to those contracts, other (ii) Aircraft with any of the following funding authorizations, or modifications ini- characteristics and powered by gas tur- tiating development of a new defense article bine engines: that are dated April 16, 2014, or later. (A) The portion of the wing outboard (g) [Reserved] of the wing fold is required for sus- (h) Parts, components, accessories, tained flight; attachments, associated equipment and (B) Fuel can be stored outboard of systems, as follows: the wing fold; (1) Parts, components, accessories, (C) Control surfaces are outboard of and attachments specially designed for the wing fold; the following U.S.-origin aircraft: The (D) Hard points are outboard of the B–1B, B–2, B–21, F–15SE, F/A–18 E/F, wing fold; EA–18G, F–22, F–35, and future variants (E) Hard points inboard of the wing thereof; or the F–117 or U.S. Govern- fold allow for in-flight ejection; or ment technology demonstrators. Parts, components, accessories, and attach- (F) The aircraft is designed to with- ments of the F–15SE and F/A–18 E/F stand maximum vertical maneuvering ¥ that are common to earlier models of accelerations greater than +3.5g/ 1.5g. these aircraft, unless listed in para- (5) On-aircraft arresting gear (e.g., graph (h) of this category, are subject tail hooks and drag chutes) and spe- to the EAR; cially designed parts and components therefor; NOTE TO PARAGRAPH (h)(1): This paragraph does not control parts, components, acces- (6) Bomb racks, missile or rocket sories, and attachments that are common to launchers, missile rails, weapon pylons, aircraft described in paragraph (a) of this pylon-to-launcher adapters, unmanned category but not identified in paragraph aerial vehicle (UAV) airborne launch- (h)(1), and those identified in paragraph ing systems, external stores support (h)(1). For example, when applying systems for ordnance or weapons, and § 120.41(b)(3), a part common to only the F–16 specially designed parts and compo- and F–35 is not specially designed for pur- nents therefor (MT if the bomb rack, poses of this paragraph. A part common to only the F–22 and F–35—two aircraft models missile launcher, missile rail, weapon identified in paragraph (h)(1)—is specially pylon, pylon-to-launcher adapter, UAV designed for purposes of this paragraph, un- airborne launching system, or external less one of the other paragraphs is applicable stores support system is for an air- under § 120.41(b) of this subchapter. craft, excluding manned aircraft, or (2) Rotorcraft gearboxes with inter- missile that has a ‘‘range’’ equal to or nal pitch line velocities exceeding greater than 300 km); 20,000 feet per minute and able to oper- (7) Damage or failure-adaptive flight ate 30 minutes with loss of lubrication control systems, that do not consist without an emergency or auxiliary lu- solely of redundant internal circuitry,

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specially designed for aircraft con- (16) Fire control computers, stores trolled in this category; management systems, armaments con- (8) Threat-adaptive autonomous trol processors, and aircraft-weapon flight control systems, where a interface units and computers (e.g., ‘‘threat-adaptive autonomous flight AGM–88 HARM Aircraft Launcher control system’’ is a flight control sys- Interface Computer (ALIC)); tem that, without input from the oper- (17) Mission computers, vehicle man- ator or pilot, adjusts the aircraft con- agement computers, and integrated trol or flight path to minimize risk core processers specially designed for caused by hostile threats; aircraft controlled in this category; (9) Non-surface-based flight control (18) Drive systems, flight control sys- systems and effectors (e.g., thrust vec- tems, and parts and components there- toring from gas ports other than main for, specially designed to function after engine thrust vector); impact of a 7.62mm or larger projectile; (10) Radar altimeters with output (19) Thrust reversers specially de- power management LPI (low prob- signed to be deployed in flight for air- ability of intercept) or signal modula- craft controlled in this category; tion (i.e., frequency hopping, chirping, * (20) Any part, component, acces- direct sequence-spectrum spreading) sory, attachment, equipment, or sys- LPI capabilities (MT if for an aircraft, tem that: excluding manned aircraft, or missile (i) Is classified; that has a ‘‘range’’ equal to or greater (ii) Contains classified software di- than 300 km); rectly related to defense articles in (11) Air-to-air refueling systems and this subchapter or 600 series items sub- hover-in-flight refueling (HIFR) sys- ject to the EAR; or tems, and specially designed parts and (iii) Is being developed using classi- components therefor; fied information. (12) Unmanned aerial vehicle (UAV) NOTE TO PARAGRAPH (h)(20): Classified flight control systems and vehicle means classified pursuant to Executive Order 13526, or predecessor order, and a security management systems with swarming classification guide developed pursuant capability (i.e. UAVs that operate au- thereto or equivalent, or to the cor- tonomously (without human input) to responding classification rules of another interact with each other to avoid colli- government or international organization; sions, fly in formations, and are capa- (21)–(26) [Reserved] ble of adapting in real-time to changes (27) Variable speed gearboxes, where in operational/threat environment, or, a ‘‘variable speed gearbox’’ has the if weaponized, coordinate targeting) ability to vary the gearbox output (MT if for an aircraft, excluding speed by mechanical means within the manned aircraft, or missile that has a gearbox while the gearbox input speed ‘‘range’’ equal to or greater than 300 from the engine or other source is con- km); stant, and is capable of varying output (13) [Reserved] speed by 20% or greater and providing (14) Lift fans, clutches, and roll posts power to rotors, proprotors, propellers, for short take-off, vertical landing , or liftfans; and specially de- (STOVL) aircraft and specially de- signed parts and components therefor; signed parts and components for such (28) Electrical power or thermal man- lift fans and roll posts; agement systems specially designed for (15) Integrated helmets incorporating an engine controlled in Category XIX optical sights or slewing devices, which and having any of the following: include the ability to aim, launch, (i) Electrical power generators that track, or manage munitions (e.g., Hel- provide greater than 300kW of elec- met Mounted Cueing Systems, Joint trical power (per generator) with Helmet Mounted Cueing Systems gravimetric power densities exceeding (JHMCS), Helmet Mounted Displays, 2kW/pound (excluding the mass of the Display and Sight Helmets (DASH)), controller for the purpose of calcu- and specially designed parts, compo- lating the gravimetric power density); nents, accessories, and attachments (ii) Heat exchangers that exchange 60 therefor; kW/K-m3 or 1 kW/K of heat or greater

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into the engine flow path; (ii) Are instrumented to provide hit/ or miss performance information for de- (iii) Direct-cooling thermal elec- fense articles controlled in this sub- tronic package heat exchangers that chapter; transfer 20kW of heat or greater at NOTE TO PARAGRAPH (a)(1): Target drones 100W/cm2 or greater. are controlled in USML Category VIII(a). (29) Any of the following equipment if (2) Devices that are mockups of arti- specially designed for a defense article cles enumerated in this subchapter described in paragraph (h)(1): used for maintenance training or dis- (i) Scale test models; posal training for ordnance enumerated (ii) Full scale iron bird ground rigs in this subchapter, that reveal tech- used to test major aircraft systems; or nical data or contain parts, compo- (iii) Jigs, locating fixtures, tem- nents, accessories, or attachments con- plates, gauges, molds, dies, or caul trolled in this subchapter; plates. (3) Air combat maneuvering instru- (i) Technical data (see § 120.10 of this mentation and ground stations there- subchapter) and defense services (see for; § 120.9 of this subchapter) directly re- (4) Physiological flight trainers for lated to the defense articles described or attack helicopters; in paragraphs (a) through (h) of this (5) Radar trainers specially designed category and classified technical data for training on radar controlled by directly related to items controlled in USML Category XI; (6) Training devices specially de- ECCNs 9A610, 9B610, 9C610, and 9D610 signed to be attached to a crew station, and defense services using classified mission system, or weapon of an article technical data. (See § 125.4 of this sub- controlled in this subchapter; chapter for exemptions.) (MT for tech- nical data and defense services related NOTE TO PARAGRAPH (a)(6): This paragraph to articles designated as such.) includes stimulators that are built-in or add- on devices that cause the actual equipment (j)–(w) [Reserved] to act as a trainer. (x) Commodities, software, and tech- (7) Anti-submarine warfare trainers; nology subject to the EAR (see § 120.42 (8) Missile launch trainers; of this subchapter) used in or with de- (9) Radar target generators; fense articles controlled in this cat- (10) Infrared scene generators; or egory. * (11) Any training device that: NOTE TO PARAGRAPH (x): Use of this para- (i) Is classified; graph is limited to license applications for (ii) Contains classified software di- defense articles controlled in this category rectly related to defense articles in where the purchase documentation includes this subchapter or 600 series items sub- commodities, software, or technology sub- ject to the EAR; or ject to the EAR (see § 123.1(b) of this sub- chapter). (iii) Is being developed using classi- fied information. NOTE: Parts, components, accessories, and attachments in paragraphs (h)(3)–(5), (7), (14), NOTE TO PARAGRAPH (a)(11): ‘‘Classified’’ (17), or (19) are licensed by the Department of means classified pursuant to Executive Order Commerce when incorporated in an aircraft 13526, or predecessor order, and a security subject to the EAR and classified under classification guide developed pursuant ECCN 9A610. Replacement systems, parts, thereto or equivalent, or to the cor- components, accessories and attachments responding classification rules of another are subject to the controls of the ITAR. government or international organization.’’ NOTE TO PARAGRAPH (a): Training equip- CATEGORY IX—MILITARY TRAINING ment does not include combat games with- EQUIPMENT AND TRAINING out item signatures or tactics, techniques, and procedures covered by this subchapter. (a) Training equipment, as follows: (b) Simulators, as follows: (1) Ground, surface, submersible, (1) System specific simulators that space, or towed airborne targets that: replicate the operation of an individual (i) Have an infrared, radar, acoustic, crew station, a mission system, or a magnetic, or thermal signature that weapon of an end-item that is con- mimic a specific defense article, spe- trolled in this subchapter; cific other item, or specific person; or (2)–(3) [Reserved]

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(4) Software and associated databases CATEGORY X—PERSONAL PROTECTIVE not elsewhere enumerated in this sub- EQUIPMENT chapter that can be used to model or simulate the following: (a) Personal protective equipment, as (i) Trainers enumerated in paragraph follows: (a) of this category; (1) Body armor providing a protec- (ii) Battle management; tion level equal to or greater than NIJ (iii) Military test scenarios/models; Type IV; or NOTE 1 TO PARAGRAPH (a)(1): For body (iv) Effects of weapons enumerated in armor providing a level of protection of Type this subchapter; or I, Type II, Type IIA, Type IIIA, or Type III, * (5) Simulators that: see ECCNs 1A005 and 1A613. (i) Are classified; NOTE 2 TO PARAGRAPH (a)(1): See USML Cat- (ii) Contain classified software di- egory XIII(e) for controls on related mate- rials. rectly related to defense articles in this subchapter or 600 series items sub- (2) Personal protective clothing, ject to the EAR; or equipment, or face paints specially de- (iii) Are being developed using classi- signed to protect against or reduce de- fied information. tection by radar, IR, or other sensors at wavelengths greater than 900 nano- NOTE TO PARAGRAPH (b)(5): ‘‘Classified’’ means classified pursuant to Executive Order meters; 13526, or predecessor order, and a security NOTE TO PARAGRAPH (a)(2): See USML Cat- classification guide developed pursuant egory XIII(j) for controls on related mate- thereto or equivalent, or to the cor- rials. responding classification rules of another (3)–(4) [Reserved] government or international organization. (5) Integrated helmets, not specified (c)–(d) [Reserved] in USML Category VIII(h)(15) or USML (e) Technical data (see § 120.10 of this Category XII, incorporating optical subchapter) and defense services (see sights or slewing devices, which in- § 120.9 of this subchapter): clude the ability to aim, launch, track, (1) Directly related to the defense ar- or manage munitions; ticles enumerated in paragraphs (a) (6) Helmets and helmet shells pro- and (b) of this category; viding a protection level equal to or (2) Directly related to the software greater than NIJ Type IV; and associated databases enumerated (7) Goggles, spectacles, visors, vision in paragraph (b)(4) of this category blocks, canopies, or filters for optical even if no defense articles are used or sights or viewers, employing other transferred; or than common broadband absorptive (3) Military training (see, § 120.9(a)(3) dyes or UV inhibitors as a means of of this subchapter) not directly related protection (e.g., narrow band filters/ to defense articles or technical data dyes or broadband limiters/coatings enumerated in this subchapter. (f)–(w) [Reserved] with high visible transparency), having (x) Commodities, software, and tech- an optical density greater than 3, and nical data subject to the EAR (see that protect against: § 120.42 of this subchapter) used in or (i) Multiple visible (in-band) laser with defense articles. wavelengths; (ii) Thermal flashes associated with NOTE TO PARAGRAPH (x): Use of this para- nuclear detonations; or graph is limited to license applications for defense articles where the purchase docu- (iii) Near infrared or ultraviolet (out- mentation includes commodities, software, of-band) laser wavelengths; or or technical data subject to the EAR (see NOTE 1 TO PARAGRAPH (a)(7): See paragraphs § 123.1(b) of this subchapter). (d)(2) and (3) of this category for controls on NOTE TO USML CATEGORY IX: Parts, com- related parts, components, and materials. ponents, accessories, or attachments of a NOTE 2 TO PARAGRAPH (a)(7): See USML Cat- simulator in this category that are common egory XII for sensor protection equipment. to the simulated system or simulated end- item are controlled under the same USML (8) Developmental personal protec- category or CCL ECCN as the parts, compo- tive equipment and specially designed nents, accessories, and attachments of the parts, components, accessories, and at- simulated system or simulated end-item. tachments therefor, developed for the

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U.S. Department of Defense via con- (iii) Is being developed using classi- tract or other funding authorization. fied information. NOTE 1 TO PARAGRAPH (a)(8): This para- NOTE TO PARAGRAPH (d)(4): ‘‘Classified’’ graph does not control personal protective means classified pursuant to Executive Order equipment and specially designed parts, 13526, or predecessor order, and a security components, accessories, and attachments classification guide developed pursuant (a) in production, (b) determined to be sub- thereto or equivalent, or to the cor- ject to the EAR via a commodity jurisdic- responding classification rules of another tion determination (see § 120.4 of this sub- government or international government. chapter), or (c) identified in the relevant De- NOTE TO PARAGRAPHS (a) AND (d): See Na- partment of Defense contract or other fund- tional Institute of Justice Classification, NIJ ing authorization as being developed for both Standard-0101.06, or national equivalents, for civil and military applications. a description of level of protection for NOTE 2 TO PARAGRAPH (a)(8): Note 1 does armor. not apply to defense articles enumerated on (e) Technical data (see § 120.10 of this the USML, whether in production or develop- subchapter) and defense services (see ment. § 120.9 of this subchapter) directly re- NOTE 3 TO PARAGRAPH (a)(8): This para- lated to the defense articles described graph is applicable only to those contracts and funding authorizations that are dated in paragraphs (a) through (d) of this January 5, 2015, or later. category. (f)–(w) [Reserved] (b)–(c) [Reserved] (x) Commodities, software, and tech- (d) Parts, components, assemblies, nical data subject to the EAR (see accessories, attachments, and associ- § 120.42 of this subchapter) used in or ated equipment for the personal protec- with defense articles. tive equipment controlled in this cat- egory, as follows: NOTE TO PARAGRAPH (x): Use of this para- graph is limited to license applications for (1) Ceramic or composite plates that defense articles where the purchase docu- provide protection equal to or greater mentation includes commodities, software, than NIJ Type IV; or technical data subject to the EAR (see (2) Lenses, substrates, or filters § 123.1(b) of this subchapter). ‘‘specially designed’’ for the articles covered in paragraph (a)(7) of this cat- CATEGORY XI—MILITARY ELECTRONICS egory; (a) Electronic equipment and systems (3) Materials and coatings specially not included in Category XII of the designed for the articles covered in U.S. Munitions List, as follows: paragraph (a)(7) of this category with *(1) Underwater hardware, equip- optical density greater than 3, as fol- ment, or systems, as follows: lows: (i) Active or passive acoustic array (i) Narrowband absorbing dyes; sensing systems or acoustic array (ii) Broadband optical switches or equipment capable of real-time proc- limiters (i.e., nonlinear material, tun- essing that survey or detect, and also able or switchable agile filters, optical track, localize (i.e., determine range power limiters, near infrared inter- and bearing), classify, or identify, sur- ference based filters); or face vessels, submarines, other under- (iii) Narrowband interference based sea vehicles, torpedoes, or mines, hav- notch filters (i.e., multi-layer dielectric ing any of the following: coatings, rugate, holograms or hybrid (A) Multi-static capability; (i.e., interference with dye)) protecting (B) Operating frequency less than 20 against multiple laser wavelength and kHz; or having high visible band transparency; (C) Operating bandwidth greater than or 10 kHz; * (4) Any component, part, accessory, (ii) Underwater single acoustic sensor attachment, equipment, or system system that distinguishes non-biologic that: tonals and locates the origin of the (i) Is classified; sound; (ii) Contains classified software di- Note to paragraph(a)(1)(ii): The term rectly related to defense articles in tonals implies discrete frequencies in this subchapter or 600 series items sub- the broadband and narrowband spectra, ject to the EAR; or emanating from man-made objects.

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(iii) Non-acoustic systems that sur- (iv) Radar that geodetically-locates vey or detect, and also track, localize (i.e., geodetic latitude, geodetic lon- (i.e., determine range and bearing), gitude, and geodetic height) with a tar- classify, or identify, surface vessels, get location error 50 (TLE50) less than submarines, other undersea vehicles, or equal to 10 m at ranges greater than torpedoes, or mines; 1 km; (iv) Acoustic modems, networks, and (v) Any Ocean Surveillance Radar communications equipment with real- with an average-power-aperture prod- time adaptive compensation or em- uct of greater than 50 Wm2; ploying Low Probability of Intercept (vi) Any ocean surveillance radar (LPI); that transmits a waveform with an in- Note to paragraph (a)(1)(iv): Adaptive stantaneous bandwidth greater than compensation is the capability of an 100 MHz and has an antenna rotation underwater modem to assess the water rate greater than 60 revolutions per conditions to select the best algorithm minute (RPM); to receive and transmit data. (v) Low Frequency/Very Low Fre- (vii) Air surveillance radar with free quency (LF/VLF) electronic modems, space detection of 1 square meter RCS routers, interfaces, and communica- target at 85 nmi or greater range, 1 tions equipment, specially designed for scaled to RCS values as RCS to the ⁄4 submarine communications; or power; (vi) Autonomous systems and equip- (viii) Air surveillance radar with free ment that enable cooperative sensing space detection of 1 square meter RCS and engagement by fixed (bottom target at an altitude of 65,000 feet and mounted/seabed) or mobile Autono- an elevation angle greater than 20 de- mous Underwater Vehicles (AUVs); grees (i.e., counter-battery); *(2) Underwater acoustic counter- (ix) [Reserved] measures or counter-countermeasures (x) Air surveillance radar with a systems or equipment; beam solid angle less than or equal to *(3) Radar systems and equipment, as 16 degrees2 that performs free space follows: tracking of 1 square meter RCS target (i) Airborne radar that maintains po- at a range greater or equal to 25 nmi sitional state of an object or objects of with revisit rate greater or equal to 1⁄3 interest, other than weather phe- Hz; nomena, in a received radar signal (xi) Instrumentation radar for an- through time; echoic test facility or outdoor range NOTE TO PARAGRAPH (a)(3)(i): This para- that maintains positional state of an graph does not control radars that: (1) Are object of interest in a received radar incapable of free space detection of 1 square signal through time or provides meas- meter Radar Cross Section (RCS) target be- yond 8 nautical miles (nmi); (2) contain a urement of RCS of a static target less radar update rate of not more than 1Hz; and than or equal to minus 10dBsm, or RCS (3) employ a design determined to be subject of a dynamic target; to the EAR via a commodity jurisdiction de- (xii) Radar incorporating pulsed oper- termination (see § 120.4 of this subchapter). ation with electronics steering of (ii) Synthetic Aperture Radar (SAR) transmit beam in elevation and azi- incorporating image resolution less muth; than (better than) 0.3 m, or incor- NOTE TO PARAGRAPH (a)(3)(xii): This para- porating Coherent Change Detection graph does not control radars not otherwise (CCD) with geo-registration accuracy controlled in this subchapter, operating with less than (better than) 0.3 m, not in- a peak transmit power less than or equal to cluding concealed object detection 550 watts, and employing a design deter- equipment operating in the frequency mined to be subject to the EAR via a com- range from 30 GHz to 3,000 GHz and modity jurisdiction determination (see § 120.4 having a spatial resolution of 0.1 of this subchapter). milliradians up to and including 1 (xiii) Radar with mode(s) for ballistic milliradians at a standoff distance of tracking or ballistic extrapolation to 100 m; source of launch or impact point of ar- (iii) Inverse Synthetic Aperture ticles controlled in USML Categories Radar (ISAR); III, IV, or XV;

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(xiv) Active protection radar and (xxv) Radar that sends and receives missile warning radar with mode(s) im- communications; plemented for detection of incoming (xxvi) Radar that tracks or discrimi- munitions; nates ballistic missile warhead from (xv) Over the horizon high frequency debris or countermeasures; sky-wave (ionosphere) radar; (xxvii) Bi-static/multi-static radar (xvi) Radar that detects a moving ob- that exploits greater than 125 kHz ject through a physical obstruction at bandwidth and is lower than 2 GHz cen- distance greater than 0.2 m from the ter frequency to passively detect or obstruction; track using radio frequency (RF) trans- (xvii) Radar having moving target in- missions (e.g., commercial radio, tele- dicator (MTI) or pulse-Doppler proc- vision stations); essing where any single Doppler filter (xxviii) Radar target generators, pro- provides a normalized clutter attenu- jectors, or simulators, specially de- ation of greater than 60dB; signed for radars controlled by this NOTE TO PARAGRAPH (a)(3)(xvii): Normal- category; or ized clutter attenuation is defined as the re- (xxix) Radar and laser radar systems duction in the power level of received dis- specially designed for defense articles tributed clutter when normalized to the in paragraph (a)(1) of USML Category thermal noise level. IV or paragraphs (a)(5), (a)(6), or (a)(13) (xviii) Radar having electronic pro- of USML Category VIII (MT if spe- tection or electronic counter-counter- cially designed for rockets, space measures (ECCM) other than manual launch vehicles, missiles, drones, or gain control, automatic gain control, unmanned aerial vehicles capable of radio frequency selection, constant delivering a payload of at least 500 kg false alarm rate, and pulse repetition to a range of at least 300 km); interval jitter; NOTE 1 TO PARAGRAPH (a)(3)(xxix): Laser (xix) Radar employing electronic at- radar systems embody specialized trans- tack (EA) mode(s) using the radar mission, scanning, receiving, and signal transmitter and antenna; processing techniques for utilization of la- (xx) Radar employing electronic sup- sers for echo ranging, direction finding, and port (ES) mode(s) (i.e., the ability to discrimination of targets by location, radial use a radar system for ES purposes in speed, and body reflection characteristics. one or more of the following: as a high- NOTE 2 TO PARAGRAPH (a)(3)(xxix): For defi- gain receiver, as a wide-bandwidth re- nition of ‘‘range’’ as it pertains to rocket systems, see note 1 to paragraph (a) of USML ceiver, as a multi-beam receiver, or as Category IV. ‘‘Payload’’ is the total mass part of a multi-point system); that can be carried or delivered by the speci- (xxi) Radar employing non-coopera- fied rocket, SLV, or missile that is not used tive target recognition (NCTR) (i.e., to maintain flight. the ability to recognize a specific plat- NOTE TO PARAGRAPH (a)(3): This paragraph form type without cooperative action does not control: (a) Systems or equipment of the target platform); that require aircraft transponders in order to meet control parameters; (b) precision ap- NOTE TO PARAGRAPH (a)(3)(xxi): The defini- proach radar (PAR) equipment conforming tion of ‘‘type’’ in this paragraph is that pro- to ICAO standards and employing electroni- vided in 14 CFR § 1.1. cally steerable linear (1- dimensional) arrays (xxii) Radar employing automatic or mechanically positioned passive antennas; target recognition (ATR) (i.e., recogni- and (c) radio altimeter equipment con- tion of target using structural features forming to FAA TSO C87. (e.g., tank versus car) of the target *(4) Electronic Combat (i.e., Elec- with system resolution better than tronic Warfare) systems and equip- (less than) 0.3 m); ment, as follows: (xxiii) Radar that sends interceptor (i) ES systems and equipment that guidance commands or provides illu- search for, intercept and identify, or mination keyed to an interceptor seek- locate sources of intentional or unin- er; tentional electromagnetic energy spe- (xxiv) Radar employing waveform cially designed to provide immediate generation for LPI other than fre- threat detection, recognition, tar- quency modulated continuous wave geting, planning, or conduct of future (FMCW) with linear ramp modulation; operations;

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NOTE TO PARAGRAPH (a)(4)(i): ES provides (v) Transmit voice or data signals tactical situational awareness, automatic specially designed to elude electro- cueing, targeting, electronic order of battle magnetic detection; planning, electronic intelligence (ELINT), (6) [Reserved] communication intelligence (COMINT), or signals intelligence (SIGINT). (7) Developmental electronic equip- ment or systems funded by the Depart- (ii) Systems and equipment that de- ment of Defense via contract or other tect and automatically discriminate funding authorization; acoustic energy emanating from weap- ons fire (e.g., gunfire, artillery, rocket NOTE 1 TO PARAGRAPH (a)(7): This para- propelled grenades, or other projec- graph does not control electronic systems or equipment (a) in production, (b) determined tiles), determining location or direc- to be subject to the EAR via a commodity tion of weapons fire in less than two jurisdiction determination (see § 120.4 of this seconds from receipt of event signal, subchapter), or (c) identified in the relevant and able to operate on-the-move (e.g., Department of Defense contract or other operating on personnel, land vehicles, funding authorization as being developed for sea vessels, or aircraft while in mo- both civil and military applications. tion); or NOTE 2 TO PARAGRAPH (a)(7): Note 1 does (iii) Systems and equipment specially not apply to defense articles enumerated on the USML, whether in production or develop- designed to introduce extraneous or er- ment. roneous signals into radar, infrared NOTE 3 TO PARAGRAPH (a)(7): This para- based seekers, electro-optic based seek- graph is applicable only to those contracts ers, radio communication receivers, and funding authorizations that are dated navigation receivers, or that otherwise July 1, 2015, or later. hinder the reception, operation, or ef- (8) Unattended ground sensor (UGS) fectiveness of adversary electronics systems or equipment having all of the (e.g., active or passive electronic at- following: tack, electronic countermeasure, elec- (i) Automatic target detection; tronic counter-countermeasure equip- (ii) Automatic target tracking, clas- ment, jamming, and counter jamming sification, recognition, or identifica- equipment); tion; *(5) Command, control, and commu- (iii) Self-forming or self-healing net- nications (C3); command, control, com- works; and munications, and computers (C4); com- (iv) Self-localization for geo-locating mand, control, communications, com- targets; puters, intelligence, surveillance, and (9) Electronic sensor systems or reconnaissance (C4ISR); and identifica- equipment for non-acoustic antisub- tion systems or equipment, that: marine warfare (ASW) or mine warfare (i) Are specially designed to inte- (e.g., magnetic anomaly detectors grate, incorporate, network, or employ (MAD), electric-field, electromagnetic defense articles that are controlled in induction); paragraphs or subparagraphs of the (10) Electronic sensor systems or categories of § 121.1 of this part that do equipment for detection of concealed not use the term specially designed; weapons, having a standoff detection (ii) Incorporate U.S. government range of greater than 45 m for per- identification friend or foe (IFF) Modes sonnel or detection of vehicle-carried 4 or 5; weapons, not including concealed ob- (iii) Implement active or passive ject detection equipment operating in ECCM used to counter acts of commu- the frequency range from 30 GHz to nication disruption (e.g., radios that 3,000 GHz and having a spatial resolu- incorporate HAVE QUICK I/II, tion of 0.1 milliradians up to and in- SINCGARS, SATURN); cluding 1 milliradians at a standoff dis- (iv) Specially designed, rated, cer- tance of 100 m; tified, or otherwise specified or de- (11) Test sets specially designed for scribed to be in compliance with U.S. testing defense articles controlled in government NSTISSAM TEMPEST 1– paragraphs (a)(3), (a)(4), (a)(5), or (b); or 92 standards or CNSSAM TEMPEST 01– (12) Direction finding equipment for 02, to implement techniques to sup- determining bearings to specific elec- press compromising emanations of in- tromagnetic sources or terrain charac- formation bearing signals; or teristics specially designed for defense

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articles in paragraph (a)(1) of USML NOTE TO PARAGRAPH (c)(2): PCBs and popu- Category IV or paragraphs (a)(5), (a)(6), lated circuit card assemblies for which the or (a)(13) of USML Category VIII (MT if layout is specially designed for 600 series specially designed for rockets, SLVs, items are controlled in ECCN 3A611.g. missiles, drones, or UAVs capable of (3) Multichip modules for which the delivering a payload of at least 500 kg pattern or layout is specially designed to a range of at least 300 km. See note for defense articles in this subchapter; 2 to paragraph (a)(3)(xxix) of this cat- NOTE TO PARAGRAPH (c)(3): Multichip mod- egory). ules for which the pattern or layout is spe- cially designed for 600 series items are con- NOTE 1 TO PARAGRAPH (a): The term Low trolled in ECCN 3A611.h. Probability of Intercept used in this para- graph and elsewhere in this category is de- (4) Transmit/receive modules, trans- fined as a class of measures that disguise, mit/receive monolithic microwave inte- delay, or prevent the interception of acoustic grated circuits (MMICs), transmit mod- or electromagnetic signals. LPI techniques ules, and transmit MMICs having all of can involve permutations of power manage- the following: ment, energy management, frequency varia- (i) A peak saturated power output (in bility, out-of-receiver-frequency band, low- watts), Psat, greater than 505.62 divided side lobe antenna, complex waveforms, and by the maximum operating frequency complex scanning. LPI is also referred to as (in GHz) squared [Psat > 505.62 W * Low Probability of Intercept, Low Prob- ability of Detection, and Low Probability of GHz2/fGHz2] for any channel; Identification. (ii) A fractional bandwidth of 5% or NOTE 2 TO PARAGRAPH (a): Paragraphs greater for any channel; (a)(3)(xxix) and (a)(12) include terrain con- (iii) Any planar side with length d (in tour mapping equipment, scene mapping and cm) equal to or less than 15 divided by correlation (both digital and analogue) the lowest operating frequency in GHz equipment, Doppler navigation radar equip- [d ≤ 15cm * GHz/fGHz]; and ment, passive interferometer equipment, and (iv) At least one electronically vari- imaging sensor equipment (both active and able phase shifter per channel. passive). NOTE 1 TO PARAGRAPH (c)(4): A MMIC: (a) Is * (b) Electronic systems, equipment formed by means of diffusion processes, im- or software, not elsewhere enumerated plantation processes, or deposition processes in this subchapter, specially designed in or on a single semiconducting piece of ma- for intelligence purposes that collect, terial; (b) can be considered as indivisibly as- survey, monitor, or exploit, or analyze sociated; (c) performs the function(s) of a and produce information from, the circuit; and (d) operates at microwave fre- electromagnetic spectrum (regardless quencies (i.e., 300 MHz to 300 GHz). of transmission medium), or for coun- NOTE 2 TO PARAGRAPH (c)(4): A transmit/re- ceive module is a multifunction electronic teracting such activities. assembly that provides bi-directional ampli- (c) Parts, components, accessories, tude and phase control for transmission and attachments, and associated equip- reception of signals. ment, as follows: NOTE 3 TO PARAGRAPH (c)(4): A transmit (1) Application Specific Integrated module is an electronic assembly that pro- Circuits (ASICs) and Programmable vides amplitude and phase control for trans- Logic Devices (PLD) programmed for mission of signals. NOTE 4 TO PARAGRAPH (c)(4): A transmit/re- defense articles in this subchapter; ceive MMIC is a multifunction MMIC that NOTE 1 TO PARAGRAPH (c)(1):\ An ASIC is an provides bi-directional amplitude and phase integrated circuit developed and produced control for transmission and reception of sig- for a specific application or function regard- nals. less of number of customers. NOTE 5 TO PARAGRAPH (c)(4): A transmit NOTE 2 TO PARAGRAPH (c)(1): ASICs and MMIC is a MMIC that provides amplitude PLDs programmed for 600 series items are and phase control for transmission of sig- controlled in ECCN 3A611.f. nals. NOTE 3 TO PARAGRAPH (c)(1): NOTE 6 TO PARAGRAPH (c)(4): USML Cat- Unprogrammed PLDs are not controlled by egory XI(c)(4) applies to transmit/receive this paragraph. modules and to transmit modules, with or without a heat sink. The value of length d in (2) Printed Circuit Boards (PCBs) and USML Category XI(c)(4)(iii) does not include populated circuit card assemblies for any portion of the transmit/receive module which the layout is specially designed or transmit module that functions as a heat for defense articles in this subchapter; sink.

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NOTE 7 TO PARAGRAPH (c)(4): Transmit/re- (ii) Form adaptive null attenuation ceive modules, transmit modules, transmit/ greater than 35 dB with convergence receive MMICs, and transmit MMICs may or time less than one second; may not have N integrated radiating an- tenna elements, where N is the number of (iii) Detect signals across multiple transmit or transmit/receive channels. RF bands with matched left hand and NOTE 8 TO PARAGRAPH (c)(4): Fractional right hand spiral antenna elements for bandwidth is the bandwidth over which out- determination of signal polarization; or put power remains constant within 3 dB (without the adjustment of other operating (iv) Determine signal angle of arrival parameters), divided by the center fre- less than two degrees (e.g., interferom- quency, and multiplied by 100. Fractional eter antenna); bandwidth is expressed as a percentage. NOTE TO PARAGRAPH (c)(10): This category (5) High-energy storage capacitors does not control Traffic Collision Avoidance with a repetition rate of 6 discharges or Systems (TCAS) equipment conforming to more per minute and full energy life FAA TSO C–119c. greater than or equal to 10,000 dis- (11) Radomes or electromagnetic an- charges, at greater than 0.2 Amps per tenna windows that: Joule peak current, that have any of (i) Incorporate radio frequency selec- the following: (i) Volumetric energy density greater tive surfaces; than or equal to 1.5 J/cc; or (ii) Operate in multiple non-adjacent (ii) Mass energy density greater than frequency bands for radar applications; or equal to 1.3 kJ/kg; (iii) Incorporate a structure that is (6) Radio frequency circulators of any specially designed to provide ballistic dimension equal to or less than one protection from bullets, shrapnel, or quarter (1⁄4) wavelength of the highest blast; operating frequency and isolation (iv) Have a melting point greater greater than 30 dB; than 1,300 °C and maintain a dielectric (7) Polarimeter that detects and constant less than 6 at temperatures measures polarization of radio fre- greater than 500 °C; quency signals within a single pulse; (v) Are manufactured from ceramic (8) Digital radio frequency memory materials with a dielectric constant (DRFM) with RF instantaneous input less than 6 at any frequency from 100 bandwidth greater than 400 MHz, and 4 bit or higher resolution whose output MHz to 100 GHz (MT if usable in rock- signal is a translation of the input sig- ets, SLVs, or missiles capable of nal (e.g., changes in magnitude, time, achieving a range greater than or equal frequency) and specially designed parts to 300 km; or if usable in drones or and components therefor; UAVs capable of delivering a payload (9) Vacuum electronic devices, as fol- of at least 500 kg to a range of at least lows: 300 km. See note 2 to paragraph (i) Multiple electron beam or sheet (a)(3)(xxix) of this category); electron beam devices rated for oper- (vi) Maintain structural integrity at ation at frequencies of 16 GHz or above, stagnation pressures greater than 6,000 and with a saturated power output pounds per square foot; or greater than 10,000 W (70 dBm) or a (vii) Withstand combined thermal maximum average power output great- shock greater than 4.184 × 106 J/m2 ac- er than 3,000 W (65 dBm); or companied by a peak overpressure of (ii) Cross-field amplifiers with a gain greater than 50 kPa (MT if usable in of 15 dB to 17 dB or a duty factor great- rockets, SLVs, missiles, drones, or er than 5%; (10) Antenna, and specially designed UAVs capable of delivering a payload parts and components therefor, that: of at least 500 kg to a range of at least (i) Employ four or more elements, 300 km and usable in protecting against electronically steer angular beams, nuclear effects (e.g., Electromagnetic independently steer angular nulls, cre- Pulse (EMP), X-rays, combined blast ate angular nulls with a null depth and thermal effects). See note 2 to para- greater than 20 dB, and achieve a beam graph (a)(3)(xxix) of this category); switching speed faster than 50 milli- seconds;

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(12) Underwater sensors (acoustic for rockets, SLVs, missiles, drones, or vector sensors, hydrophones, or trans- UAVs capable of delivering a payload ducers) or projectors, specially de- of at least 500 kg to a range of at least signed for systems controlled by para- 300 km or their subsystems. See note 2 graphs (a)(1) and (a)(2) of this category, to paragraph (a)(3)(xxix) of this cat- having any of the following: egory); (i) A transmitting frequency below 10 (17) Chaff and flare rounds specially kHz for sonar systems; designed for the systems and equip- (ii) Sound pressure level exceeding ment described in paragraph (a)(4)(iii) 224 dB (reference 1 mPa at 1 m) for of this category, and parts and compo- equipment with an operating frequency nents therefor containing materials in the band from 10 kHz to 24 kHz in- controlled in USML Category V; clusive; (18) Parts, components, or accessories (iii) Sound pressure level exceeding specially designed for an information 235 dB (reference 1 mPa at 1 m) for assurance/information security system equipment with an operating frequency or radio controlled in this subchapter in the band between 24 kHz and 30 kHz; that modify its published properties (iv) Forming beams of less than 1° on (e.g., frequency range, algorithms, any axis and having an operating fre- waveforms, CODECs, or modulation/de- quency of less than 100 kHz; modulation schemes); or (v) Designed to operate with an un- * (19) Any part, component, acces- ambiguous display range exceeding sory, attachment, equipment, or sys- 5,120 m; or tem that (MT for those articles des- (vi) Designed to withstand pressure ignated as such): during normal operation at depths ex- (i) Is classified; ceeding 1,000 m and having transducers (ii) Contains classified software di- with any of the following: rectly related to defense articles in (A) Dynamic compensation for pres- this subchapter or 600 series items sub- sure; or ject to the EAR; or (B) Incorporating other than lead zir- (iii) Is being developed using classi- conate titanate as the transduction fied information (see § 120.10(a)(2) of element; this subchapter). (13) Parts or components containing NOTE TO PARAGRAPH (c)(19): ‘‘Classified’’ piezoelectric materials which are spe- means classified pursuant to Executive Order cially designed for underwater hard- 13526, or predecessor order, and a security ware, equipment, or systems controlled classification guide developed pursuant by paragraph (c)(12) of this category; thereto or equivalent, or to the cor- responding classification rules of another (14) Tuners specially designed for sys- government or international organization. tems and equipment in paragraphs NOTE TO PARAGRAPH (c)(19)(ii): Parts and (a)(4) and (b) of this category; components controlled by this paragraph are (15) Electronic assemblies and com- limited to those that store, process, or trans- ponents, capable of operation at tem- mit classified software (see § 121.8(f) of this peratures in excess of 125 °C and spe- subchapter). cially designed for UAVs or drones con- (d) Technical data (see § 120.10 of this trolled by USML Category VIII, rock- subchapter) and defense services (see ets, space launch vehicles (SLV), or § 120.9 of this subchapter) directly re- missiles controlled by USML Category lated to the defense articles described IV capable of achieving a range greater in paragraphs (a) through (c) of this than or equal to 300 km (MT) (see Note category and classified technical data 2 to paragraph (a)(3)(xxix) of this cat- directly related to items controlled in egory); CCL ECCNs 3A611, 3B611, 3C611, and (16) Hybrid (combined analogue/dig- 3D611 and defense services using the ital) computers specially designed for classified technical data. (See § 125.4 of modeling, simulation, or design inte- this subchapter for exemptions.) (MT gration of systems enumerated in para- for technical data and defense services graphs (a)(1), (d)(1), (d)(2), (h)(1), (h)(2), related to articles designated as such.) (h)(4), (h)(8), and (h)(9) of USML Cat- (e)–(w) [Reserved]; egory IV or paragraphs (a)(5), (a)(6), or (x) Commodities, software, and tech- (a)(13) of USML Category VIII (MT if nology subject to the EAR (see § 120.42

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of this subchapter) used in or with de- (ii) Control infrared imaging systems fense articles. or end items described in paragraphs NOTE TO PARAGRAPH (x): Use of this para- (a) through (d) of this category. graph is limited to license applications for * (b) Laser systems and end items, as defense articles where the purchase docu- follows: mentation includes commodities, software, (1) Laser target designators or coded or technology subject to the EAR (see target markers, that mediate the deliv- § 123.1(b) of this subchapter). ery of ordnance to a target; NOTE TO CATEGORY XI: Category XI does (2) Target illumination systems hav- not control transmit/receive modules, trans- ing a variable beam divergence and a mit/receive MMICs, transmit modules, or transmit MMICs that incorporate or are laser output wavelength exceeding 710 MMICs fabricated exclusively with nm, to artificially light an area to homojunction CMOS silicon-based circuits search, locate, or track a target; on silicon substrates, or radars and radar an- (3) Laser rangefinders having any of tennas specially designed to use only such the following: modules or MMICs. (i) Output wavelength of 1064 nm and any Q-switched pulse output; or CATEGORY XII—FIRE CONTROL, LASER, (ii) Output wavelength exceeding 1064 IMAGING, AND GUIDANCE EQUIPMENT nm and any of the following: (a) Fire control, aiming, detection, (A) Single or multiple shot(s) within guidance, and tracking systems, as fol- one second ranging capability of 3 km lows: or greater against a standard 2.3 m x * (1) Fire control systems; 2.3 m NATO target having 10% reflec- * (2) Electronic or optical weapon po- tivity and 23 km atmospheric visi- sitioning, laying, or spotting systems; bility; or * (3) Laser spot trackers or laser spot (B) Multiple shot ranging capability detection, location, or imaging sys- at 3 Hz or greater of 1 km or greater tems, with an operational wavelength against a standard 2.3 m x 2.3 m NATO shorter than 400 nm or longer than 710 target having 10% reflectivity and 23 nm and that are for laser target des- km atmospheric visibility; ignators or coded target markers con- (4) Targeting systems and target lo- trolled in paragraph (b)(1); cation systems, incorporating or spe- cially designed to incorporate both of NOTE TO PARAGRAPH (a)(3): For controls on the following: LIDAR, see paragraph (b)(6) of this category. (i) A laser rangefinder; and * (4) Bomb sights or bombing com- (ii) A defense article controlled in puters; paragraph (d) of this category (MT if * (5) Electro-optical systems that designed or modified for rockets, mis- automatically detect and locate ord- siles, space launch vehicles (SLVs), nance launch, blast, or fire; drones, or unmanned aerial vehicle sys- * (6) Electro-optical ordnance guid- tems capable of delivering at least a 500 ance systems; kg payload to a range of at least 300 * (7) Missile or ordnance electro-opti- km); cal tracking systems; (5) Systems specially designed to use * (8) Remote wind-sensing systems laser energy with an output wave- specially designed for ballistic-cor- length exceeding 710 nm for exploiting rected aiming; or differential target-background (9) Helmet mounted display (HMD) retroreflectance in order to detect op- systems or end items (e.g., Combat Ve- tical/electro-optical equipment (e.g., hicle Crew HMD, Mounted Warrior optical augmentation systems); HMD, Integrated Helmet Assembly (6) Light detection and ranging Subsystem, Drivers Head Tracked Vi- (LIDAR), laser detection and ranging sion System), other than such items (LADAR), or range-gated systems, spe- controlled in Category VIII, that: cially designed for a military end user (i) Incorporate or interface (either (MT if designed or modified for rock- via wired or wireless connection) with ets, missiles, SLVs, drones, or un- optical sights or slewing devices that manned aerial vehicle systems capable aim, launch, track, or manage muni- of delivering at least a 500 kg payload tions; or to a range of at least 300 km); or

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(7) Developmental lasers or laser sys- get acquisition systems, specially de- tems funded by the Department of De- signed for articles in this subchapter or fense via contract or other funding au- specially designed for a military end thorization. user (MT if for determining bearings to NOTE 1 TO PARAGRAPH (b)(7): This para- specific electromagnetic sources (direc- graph does not control lasers or laser sys- tion finding equipment) or terrain tems: (a) In production, (b) determined to be characteristics and designed or modi- subject to the EAR via a Commodity Juris- fied for rockets, missiles, SLVs, drones, diction determination (see § 120.4 of this sub- or unmanned aerial vehicle systems ca- chapter), or (c) identified in the relevant De- pable of delivering at least a 500 kg partment of Defense contract or other fund- ing authorization as being developed for both payload to a range of at least 300 km); civil and military applications. (4) Infrared search and track (IRST) NOTE 2 TO PARAGRAPH (b)(7): Note 1 does systems having one of the following: not apply to defense articles enumerated on (i) Airborne or naval systems, that: the U.S. Munitions List, whether in produc- (A) Have range performance of 3 km tion or development. or greater; NOTE 3 TO PARAGRAPH (b)(7): This provision (B) Incorporate or are specially de- is applicable to those contracts or other funding authorizations that are dated Octo- signed to incorporate an infrared focal ber 12, 2017 or later. plane array or imaging camera, having * (c) Imaging systems or end items, as a peak response wavelength exceeding 3 follows: microns or greater; and (1) Binoculars, bioculars, monoculars, (C) Maintain positional or angular goggles, or head or helmet-mounted state of a target through time; or imaging systems (including video- (ii) Specially designed for a military based articles having a separate near- end user; to-eye display), as follows: (5) Distributed aperture systems hav- (i) Employing an autogated third ing a peak response wavelength exceed- generation image intensifier tube or a ing 710 nm specially designed for arti- higher generation image intensifier cles in this subchapter or specially de- tube; signed for a military end user; (ii) Fusing output of an image inten- (6) Infrared imaging systems, as fol- sifier tube and an infrared focal plane lows: array having a peak response wave- (i) Mobile reconnaissance, scout, or length greater than 1,000 nm; or surveillance systems providing real- (iii) Having an infrared focal plane time target recognition at ranges array or infrared imaging camera, and greater than 3 km (e.g., LRAS, CIV, specially designed for a military end HTI, SeeSpot, MMS); user; NOTE TO PARAGRAPH (c)(6)(i): Target is de- (2) Weapon sights (i.e., with a reticle) fined as a NATO standard tank target having or aiming or imaging systems (e.g., a frontal cross-section of 2.3 x 2.3 meters, and clip-on), specially designed to mount to a side cross-section of 2.3 x 6.4 meters. a weapon or to withstand weapon (ii) Airborne stabilized systems spe- shock or recoil, with or without an in- cially designed for military reconnais- tegrated viewer or display, and also in- sance (e.g., DB–110, C–B4); corporating or specially designed to in- (iii) Multispectral imaging systems corporate any of the following: that provide automated classification (i) An infrared focal plane array hav- or identification of military or intel- ing a peak response wavelength exceed- ligence targets or characteristics; ing 1,000 nm; (iv) Automated missile detection or (ii) Second generation with luminous warning systems; sensitivity greater than 350 μA/lm, (v) Systems hardened to withstand third generation, or higher generation, electromagnetic pulse (EMP), directed image intensifier tubes; energy, chemical, biological, or radio- (iii) Ballistic computing electronics logical threats; for adjusting the aim point display; or (vi) Systems incorporating mecha- (iv) Infrared laser having a wave- nism(s) to reduce the optical chain sig- length exceeding 710 nm; nature for optical augmentation; (3) Electro-optical reconnaissance, (vii) Persistent surveillance systems surveillance, target detection, or tar- with a ground sample distance (GSD) of

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0.5 m or better (smaller) at 10,000 ft or (1) Guidance or navigation systems higher above ground level and a simul- (e.g., inertial navigation systems, iner- taneous coverage area of 3 km2 or tial reference units, attitude and head- greater; ing reference systems) having any of (viii) Gimbaled infrared systems, as the following: follows: (i) A circular error probability at (A) Having a stabilization better fifty percent (CEP50) of position error (less) than 30 microradians RMS and a rate less (better) than 0.28 nautical turret with a ball diameter of 15 inches miles per hour, without the use of posi- or greater; or tional aiding references; (B) Specially designed for articles in (ii) A heading error or true north de- this subchapter or specially designed termination of less (better) than 0.28 for a military end user; mrad secant (latitude) (0.016043 degrees (7) Terahertz imaging systems as fol- secant (latitude)), without the use of lows: positional aiding references; (i) Concealed object detection sys- (iii) A CEP50 of position error rate tems operating in the frequency range less than 0.2 nautical miles in an 8 hour from 30 GHz to 3000 GHz, and having a period, without the use of positional resolution less (better) than 0.1 aiding references; or milliradians at a standoff range of 100 (iv) Meeting or exceeding specified m; or performance at linear acceleration lev- els exceeding 25g (MT if designed or (ii) Specially designed for a military modified for rockets, missiles, SLVs, end user; drones, or unmanned aerial vehicle sys- (8) Systems or equipment, incor- tems capable of a range greater than or porating an ultraviolet or infrared (IR) equal to 300 km or incorporating beacon or emitter, specially designed accelerometers specified in paragraph for Combat Identification; (e)(11) or gyroscopes or angular rate (9) Systems that project sensors specified in paragraph (e)(12) of radiometrically calibrated scenes at a this category that are designated MT); frame rate greater than 30 Hz directly into the entrance aperture of an NOTE 1 TO PARAGRAPH (d)(1): For rocket, SLV, or missile flight control and guidance electro-optical or infrared (EO/IR) sen- systems (including guidance sets), see Cat- sor controlled in this subchapter with- egory IV(h). in either the spectral band exceeding 10 NOTE 2 TO PARAGRAPH (d)(1): Inertial meas- nm but not exceeding 400 nm, or the urement units are described in paragraph (e) spectral band exceeding 900 nm but not of this category. exceeding 30,000 nm; (2) Global Navigation Satellite Sys- (10) Developmental electro-optical, tem (GNSS) receiving equipment, as infrared, or terahertz systems funded follows: by the Department of Defense. (i) GNSS receiving equipment spe- NOTE 1 TO PARAGRAPH (c)(10): This para- cially designed for military applica- graph does not control electro-optical, infra- tions (MT if designed or modified for red, or terahertz imaging systems: (a) In pro- airborne applications and capable of duction, (b) determined to be subject to the providing navigation information at EAR via a Commodity Jurisdiction deter- speeds in excess of 600 m/s); mination (see § 120.4 of this subchapter), or (ii) Global Positioning System (GPS) (c) identified in the relevant Department of receiving equipment specially designed Defense contract or other funding authoriza- for encryption or decryption (e.g., Y- tion as being developed for both civil and Code, M-Code) of GPS precise posi- military applications. tioning service (PPS) signals (MT if de- NOTE 2 TO PARAGRAPH (c)(10): Note 1 does not apply to defense articles enumerated on signed or modified for airborne applica- the U.S. Munitions List, whether in produc- tions); tion or development. (iii) GNSS receiving equipment spe- NOTE 3 TO PARAGRAPH (c)(10): This provi- cially designed for use with an antenna sion is applicable to those contracts or other described in Category XI(c)(10) (MT if funding authorizations that are dated Octo- designed or modified for airborne appli- ber 12, 2017 or later. cations); or (d) Guidance and navigation systems (iv) GNSS receiving equipment spe- or end items, as follows: cially designed for use with rockets,

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missiles, SLVs, drones, or unmanned funding authorizations that are dated Octo- air vehicle systems capable of deliv- ber 12, 2017 or later. ering at least a 500 kg payload to a NOTE 4 TO PARAGRAPH (d)(6): For definition range of at least 300 km (MT); of ‘‘range’’ as it pertains to rocket systems, see Note 1 to paragraph (a) of USML Cat- NOTE TO PARAGRAPH (d)(2)(iv): ‘‘Payload’’ is egory IV. For definition of ‘‘range’’ as it per- the total mass that can be carried or deliv- tains to aircraft systems, see Note 2 to para- ered by the specified rocket, missile, SLV, graph (a) of USML Category VIII. drone, or unmanned aerial vehicle that is not used to maintain flight. For definition of (e) Parts, components, accessories, or ‘‘range’’ as it pertains to rocket systems, see attachments, as follows: Note 1 to paragraph (a) of USML Category (1) Parts and components specially IV. For definition of ‘‘range’’ as it pertains designed for articles described in para- to aircraft systems, see Note 2 to paragraph graph (a)(1) or (a)(5) of this category; (a) of USML Category VIII. (2) Lasers specially designed for arti- (3) GNSS anti-jam systems specially cles in this subchapter; designed for use with an antenna de- (3) Laser stacked arrays specially de- scribed in Category XI(c)(10); signed for articles in this subchapter; (4) Mobile relative gravimeters hav- (4) Night vision or infrared cameras ing automatic motion compensation (e.g., camera core) specially designed with an in-service accuracy of less for articles in this subchapter; (better) than 0.4 mGal (MT if designed NOTE TO PARAGRAPH (e)(4): The articles or modified for airborne or marine use controlled by this paragraph have sufficient and having a time to steady-state reg- electronics to enable at a minimum the out- istration of two minutes or less); put of an analog or digital signal once power (5) Mobile gravity gradiometers hav- is applied. ing an accuracy of less (better) than 10 (5) Infrared focal plane arrays spe- Eotvos squared per radian per second cially designed for articles in this sub- for any component of the gravity gra- chapter; dient tensor, and having a spatial grav- (6) Charge multiplication focal plane ity wavelength resolution of 50 m or arrays exceeding 50 mA/W for any less (MT if designed or modified for air- wavelength exceeding 760 nm and spe- borne or marine use); cially designed for articles described in NOTE TO PARAGRAPH (d)(5): ‘‘Eotvos’’ is a this subchapter; unit of acceleration divided by distance that (7) Second generation and greater was used in conjunction with the older centi- image intensifier tubes specially de- meter-gram-second system of units. The signed for articles in this subchapter, Eotvos is defined as 1⁄1,000,000,000 Galileo (Gal) and specially designed parts and com- per centimeter. ponents therefor; (6) Developmental guidance or navi- NOTE TO PARAGRAPH (e)(7): Second and gation systems funded by the Depart- third generation image intensifier tubes are ment of Defense (MT if designed or defined as having a peak response within the modified for rockets, missiles, SLVs, 0.4 to 1.05 micron wavelength range and in- drones, or unmanned aerial vehicle sys- corporating a microchannel plate for elec- tems capable of a range equal to or tron image amplification having a hole pitch greater than 300 km). (center-to-center spacing) of less than 25 mi- crons and having either: (a) an S–20, S–25, or NOTE 1 TO PARAGRAPH (d)(6): This para- multialkali photo cathode; or (b) a GaAs, graph does not control guidance or naviga- GaInAs, or other III–V compound semicon- tion systems: (a) in production, (b) deter- ductor photocathode. mined to be subject to the EAR via a Com- modity Jurisdiction determination (see (8) Parts and components specially § 120.4 of this subchapter), or (c) identified in designed for articles described in para- the relevant Department of Defense contract graph (c)(3), (c)(4), (c)(5) or (c)(6)(vi)- or other funding authorization as being de- (vii) of this category; veloped for both civil and military applica- (9) Inertial measurement units spe- tions. cially designed for articles in this sub- NOTE 2 TO PARAGRAPH (d)(6): Note 1 does chapter (MT for systems incorporating not apply to defense articles enumerated on the U.S. Munitions List, whether in produc- accelerometers specified in paragraph tion or development. (e)(11) or gyroscopes or angular rate NOTE 3 TO PARAGRAPH (d)(6): This provision sensors specified in paragraph (e)(12) is applicable to those contracts or other that are designated MT);

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(10) GNSS security devices (e.g., Se- (14) Infrared focal plane array read- lective Availability Anti-Spoofing out integrated circuits (ROICs) spe- Modules (SAASM), Security Modules cially designed for articles in this sub- (SM), and Auxiliary Output Chips chapter; (AOC)); (15) Integrated dewar cooler assem- (11) Accelerometers having a bias re- blies specially designed for articles in peatability of less (better) than 10 μg this subchapter, with or without an in- and a scale factor repeatability of less frared focal plane array, and specially (better) than 10 parts per million, or designed parts and components there- capable of measuring greater than for;; 100,000 g (MT); (16) Gimbals specially designed for articles in this category; NOTE 1 TO PARAGRAPH (e)(11): For weapon fuze accelerometers, see Category III(d) or (17) Infrared focal plane array Joule- IV(h). Thomson (JT) self-regulating cryostats NOTE 2 TO PARAGRAPH (e)(11): MT designa- specially designed for articles con- tion does not include accelerometers that trolled in this subchapter; are designed to measure vibration or shock. (18) Infrared lenses, mirrors, beam (12) Gyroscopes or angular rate sen- splitters or combiners, filters, and sors as follows: treatments and coatings, specially de- (i) Having an angle random walk of signed for articles controlled in this less (better) than 0.001 degrees per category; square root hour; or NOTE TO PARAGRAPH (e)(18): For the pur- (ii) Mechanical gyroscopes or rate poses of this paragraph, treatments and sensors having a bias repeatability less coatings may be analyzed as a part, compo- (better) than 0.0015 degrees per hour nent, accessory, or attachment under para- (MT if having a rated drift stability of graph (b) of § 120.41 to determine if they are specially designed. less than 0.5 degrees (1 sigma or rms) per hour in a 1 g environment or speci- (19) Drive, control, signal, or image fied to function at acceleration levels processing electronics, specially de- greater than 100 g); signed for articles controlled in this category; NOTE TO PARAGRAPHS (e)(11) AND (e)(12): (20) Near-to-eye displays (e.g., micro- ‘‘Repeatability’’ is the closeness of agree- displays) specially designed for articles ment among repeated measurements of the same variable under the same operating con- controlled in this category; ditions when changes in conditions or non- (21) Resonators, receivers, transmit- operating periods occur between measure- ters, modulators, gain media, drive ments. electronics, and frequency converters, ‘‘Bias’’ is the accelerometer output when specially designed for laser systems no acceleration is applied. controlled in this category; ‘‘Scale factor’’ is the ratio of change in (22) Two-dimensional infrared scene output to a change in the input. projector emitter arrays (i.e., resistive The measurements of ‘‘bias’’ and ‘‘scale factor’’ refer to one sigma standard devi- arrays) specially designed for infrared ation with respect to a fixed calibration over scene generators controlled in USML a period of one year. Category IX(a)(10); ‘‘Drift Rate’’ is the component of gyro out- * (23) Any part, component, acces- put that is functionally independent of input sory, attachment, or associated equip- rotation and is expressed as an angular rate. ment, that: ‘‘Stability’’ is a measure of the ability of a (i) Is classified; specific mechanism or performance coeffi- (ii) Contains classified software; cient to remain invariant when continuously (iii) Is manufactured using classified exposed to a fixed operating condition. (This definition does not refer to dynamic or servo production data; or stability.) (iv) Is being developed using classi- fied information. (13) Optical sensors having a spectral filter specially designed for systems or NOTE TO PARAGRAPH (e)(23): ‘‘Classified’’ equipment controlled in USML Cat- means classified pursuant to Executive Order 13526, or predecessor order, and a security egory XI(a)(4), or optical sensor assem- classification guide developed pursuant blies that provide threat warning or thereto or equivalent, or to the cor- tracking for systems or equipment con- responding classification rules of another trolled in Category XI(a)(4); government.

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(24) Developmental image intensifier by both military end users and non-military tubes, focal plane arrays, read-out-in- end users, or if the item was or is being de- tegrated circuits, accelerometers, gy- veloped with no knowledge of use by a par- roscopes, angular rate sensors, and in- ticular end user. For the purpose of con- ertial measurement units funded by ducting a self-determination of jurisdiction, the Department of Defense (MT if de- documents contemporaneous with the devel- opment must establish such knowledge. For signed or modified for rockets, mis- the purpose of a Commodity Jurisdiction de- siles, SLVs, drones, or unmanned aerial termination, the government may base a de- vehicle systems capable of a range termination on post-development informa- equal to or greater than 300 km). tion that evidences such knowledge or is oth- NOTE 1 TO PARAGRAPH (e)(24): This para- erwise consistent with § 120.4 of this sub- graph does not control items: (a) In produc- chapter. tion, (b) determined to be subject to the EAR via a Commodity Jurisdiction determination CATEGORY XIII— MATERIALS AND (see § 120.4 of this subchapter), or (c) identi- MISCELLANEOUS ARTICLES fied in the relevant Department of Defense contract or other funding authorization as (a) [Reserved] being developed for both civil and military (b) Information security or informa- applications. tion assurance systems and equipment, NOTE 2 TO PARAGRAPH (e)(24): Note 1 does not apply to defense articles enumerated on cryptographic devices, software, and the U.S. Munitions List, whether in produc- components, as follows: tion or development. (1) Military or intelligence cryp- NOTE 3 TO PARAGRAPH (e)(24): This provi- tographic (including key management) sion is applicable to those contracts or other funding authorizations that are dated Octo- systems, equipment, assemblies, mod- ber 12, 2017 or later. ules, integrated circuits, components, (f) Technical data (see § 120.10) and and software (including their cryp- defense services (see § 120.9) directly re- tographic interfaces) capable of main- lated to the defense articles described taining secrecy or confidentiality of in- in paragraphs (a) through (e) of this formation or information systems, in- category and classified technical data cluding equipment or software for directly related to items controlled in tracking, telemetry, and control ECCNs 7A611, 7B611, and 7D611. (See (TT&C) encryption and decryption; § 125.4 for exemptions.) (MT for tech- (2) Military or intelligence cryp- nical data and defense services related tographic (including key management) to articles designated as such.) systems, equipment, assemblies, mod- (g)–(w) [Reserved] ules, integrated circuits, components, (x) Commodities, software, and tech- and software (including their cryp- nology subject to the EAR (see § 120.42 tographic interfaces) capable of gener- of this subchapter) used in or with de- ating spreading or hopping codes for fense articles controlled in this cat- spread spectrum systems or equipment; egory. (3) Military or intelligence NOTE TO PARAGRAPH (x): Use of this para- cryptanalytic systems, equipment, as- graph is limited to license applications for semblies, modules, integrated circuits, defense articles controlled in this category components and software; where the purchase documentation includes commodities, software, or technology sub- (4) Military or intelligence systems, ject to the EAR (see § 123.1(b) of this sub- equipment, assemblies, modules, inte- chapter). grated circuits, components, or soft- NOTE TO CATEGORY XII: For purposes of ware (including all previous or derived paragraphs (b)(6), (c)(1)(iii), (c)(3), (c)(4)(ii), versions) authorized to control access (c)(5), (c)(6)(viii)(b), and (c)(7)(ii) of this cat- to or transfer data between different egory, a ‘‘military end user’’ means the na- tional armed services (army, navy, marine, security domains as listed on the Uni- air force, or coast guard), national guard, na- fied Cross Domain Management Office tional police, government intelligence or re- (UCDMO) Control List (UCL); or connaissance organizations, or any person or (5) Ancillary equipment specially de- entity whose actions or functions are in- signed for the articles in paragraphs tended to support military end uses. A sys- (b)(1)–(b)(4) of this category. tem or end item is not specially designed for a military end user if the item was developed (c) [Reserved] with knowledge that it is or would be for use (d) Materials, as follows:

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* (1) Ablative materials fabricated or transparent armor. This includes spinel semi-fabricated from advanced compos- and aluminum oxynitride (ALON); ites (e.g., silica, graphite, carbon, car- (5) Composite armor with Em greater bon/carbon, and boron filaments) spe- than 1.4 and meeting or exceeding NIJ cially designed for the articles in Level III; USML Category IV or XV (MT if usable (6) Metal laminate armor with Em for nozzles, re-entry vehicles, nose tips, greater than 1.4 and meeting or exceed- or nozzle flaps usable in rockets, space ing NIJ Level III; or launch vehicles (SLVs), or missiles ca- (7) Developmental armor funded by pable of achieving a range greater than the Department of Defense via contract or equal to 300 km); or or other funding authorization. (2) Carbon/carbon billets and NOTE 1 TO PARAGRAPH (e)(7): This para- preforms that are reinforced with con- graph does not control armor (a) in produc- tinuous unidirectional fibers, tows, tion, (b) determined to be subject to the EAR tapes, or woven cloths in three or more via a commodity jurisdiction determination dimensional planes (MT if designed for (see § 120.4 of this subchapter), or (c) identi- rocket, SLV, or missile systems and fied in the relevant Department of De- usable in rockets, SLVs, or missiles ca- fense contract or other funding author- pable of achieving a range greater than ization as being developed for both civil and military applications. or equal to 300 km). NOTE 2 TO PARAGRAPH (e)(7): Note 1 does NOTE TO PARAGRAPH (d): ‘‘Range’’ is the not apply to defense articles enumerated on maximum distance that the specified rocket the USML, whether in production or develop- system is capable of traveling in the mode of ment. stable flight as measured by the projection NOTE 3 TO PARAGRAPH (e)(7): This provision of its trajectory over the surface of the is applicable to those contracts and funding Earth. The maximum capability based on the authorizations that are dated July 8, 2014, or design characteristics of the system, when later. fully loaded with fuel or propellant, will be * (f) Any article enumerated in this taken into consideration in determining range. The range for rocket systems will be category that (MT for those articles determined independently of any external designated as such): factors such as operational restrictions, lim- (i) Is classified; itations imposed by telemetry, data links, or (ii) Contains classified software di- other external constraints. For rocket sys- rectly related to defense articles in tems, the range will be determined using the this subchapter or 600 series items sub- trajectory that maximizes range, assuming ject to the EAR; or International Civil Aviation Organization (ICAO) standard atmosphere with zero wind. (iii) Is being developed using classi- NOTE TO PARAGRAPH (d)(2): This paragraph fied information. does not control carbon/carbon billets and ‘‘Classified’’ means classified pursu- preforms where reinforcement in the third ant to Executive Order 13526, or prede- dimension is limited to interlocking of adja- cessor order, and a security classifica- cent layers only. tion guide developed pursuant thereto (e) Armor (e.g., organic, ceramic, me- or equivalent, or to the corresponding tallic) and armor materials, as follows: classification rules of another govern- (1) Spaced armor with Em greater ment or international organization. than 1.4 and meeting NIJ Level III or * (g) Concealment and deception better; equipment, as follows (MT for applica- (2) Transparent armor having Em tions usable for rockets, SLVs, mis- greater than or equal to 1.3 or having siles, drones, or unmanned aerial vehi- Em less than 1.3 and meeting and ex- cles (UAVs) capable of achieving a ceeding NIJ Level III standards with range greater than or equal to 300 km areal density less than or equal to 40 and their subsystems. See note to para- pounds per square foot; graph (d) of this category): (3) Transparent ceramic plate greater (1) Polymers loaded with carbonyl than 1⁄4 inch-thick and larger than 8 iron powder, ferrites, iron whiskers, fi- inches × 8 inches, excluding glass, for bers, flakes, or other magnetic addi- transparent armor; tives having a surface resistivity of (4) Non-transparent ceramic plate or less than 5000 ohms/square and greater blanks, greater than 1⁄4 inches thick than 10 ohms/square with electrical and larger than 8 inches × 8 inches for isotropy of less than 5%;

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(2) Multi-layer camouflage systems tem signatures for defense articles to specially designed to reduce detection reduce detectability or observability; of platforms or equipment in the infra- (2) Software for design of low-observ- red or ultraviolet frequency spectrums; able platforms; (3) High temperature (greater than (3) Software for design, analysis, pre- 300 °F operation) ceramic or mag- diction, or optimization of signature netic radar absorbing material (RAM) management solutions for defense arti- specially designed for use on defense cles; articles or military items subject to (4) Infrared signature measurement the EAR; or or prediction software for defense arti- (4) Broadband (greater than 30% cles or radar cross section measure- bandwidth) lightweight (less than 2 lbs/ ment or prediction software; sq ft) magnetic radar absorbing mate- (5) Signature management technical rial (RAM) specially designed for use data, including codes and algorithms on defense articles or military items for defense articles to reduce detect- subject to the EAR. ability or observability; (h) Energy conversion devices not (6) Signature control design method- otherwise enumerated in this sub- ology (see § 125.4(c)(4) of this sub- chapter, as follows: chapter) for defense articles to reduce detectability or observability; (1) Fuel cells specially designed for (7) Technical data for use of micro- platforms or soldier systems specified encapsulation or micro-spheres to re- in this subchapter; duce infrared, radar, or visual detec- (2) Thermal engines specially de- tion of platforms or equipment; signed for platforms or soldier systems (8) Multi-layer camouflage system specified in this subchapter; technical data for reducing detection (3) Thermal batteries (MT if designed of platforms or equipment; or modified for rockets, SLVs, missiles, (9) Multi-spectral surface treatment drones, or UAVs capable of achieving a technical data for modifying infrared, range equal to or greater than 300 km. visual or radio frequency signatures of See note to paragraph (d) of this cat- platforms or equipment; egory); or (10) Technical data for modifying vis- NOTE TO PARAGRAPH (h)(3): Thermal bat- ual, electro-optical, radiofrequency, teries are single use batteries that contain a electric, magnetic, electromagnetic, or solid non-conducting inorganic salt as the wake signatures (e.g., low probability electrolyte. These batteries incorporate a of intercept (LPI) techniques, methods pyrolitic material that, when ignited, melts or applications) of defense platforms or the electrolyte and activates the battery. equipment through shaping, active, or (4) Thermionic generators specially passive techniques; or designed for platforms or soldier sys- (11) Technical data for modifying tems enumerated in this subchapter. acoustic signatures of defense plat- * (i) Signature reduction software, forms or equipment through shaping, and technical data as follows (MT for active, or passive techniques. software specially designed for reduced (j) Equipment, materials, coatings, observables, for applications usable for and treatments not elsewhere specified, rockets, SLVs, missiles, drones, or as follows: UAVs capable of achieving a range (see (1) Specially treated or formulated note to paragraph (d) of this category) dyes, coatings, and fabrics used in the greater than or equal to 300 km, and design, manufacture, or production of their subsystems, including software personnel protective clothing, equip- specially designed for analysis of signa- ment, or face paints designed to pro- ture reduction; MT for technical data tect against or reduce detection by for the development, production, or use radar, infrared, or other sensors at of equipment, materials, or software wavelengths greater than 900 nano- designated as such, including databases meters (see USML Category X(a)(2)); or specially designed for analysis of signa- * (2) Equipment, materials, coatings, ture reduction): and treatments that are specially de- (1) Software associated with the signed to modify the electro-optical, measurement or modification of sys- radiofrequency, infrared, electric,

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laser, magnetic, electromagnetic, an air space or obliquity or discontin- acoustic, electro-static, or wake signa- uous material path effects as part of tures of defense articles or 600 series the defeat mechanism. items subject to the EAR through con- (3) Reactive armor employs explo- trol of absorption, reflection, or emis- sives, propellants, or other materials sion to reduce detectability or observ- between plates for the purpose of en- ability (MT for applications usable for hancing plate motion during a ballistic rockets, SLVs, missiles, drones, or event or otherwise defeating the pene- UAVs capable of achieving a range trator. greater than or equal to 300 km, and (4) Electromagnetic armor (EMA) their subsystems. See note to para- employs electricity to defeat threats graph (d) of this category). such as shaped charges. * (k) Tooling and equipment, as fol- (5) Materials used in composite lows: armor could include layers of metals, (1) Tooling and equipment specially , elastomers, fibers, glass, ce- designed for production of low observ- ramics, ceramic-glass reinforced plas- able (LO) components; or tic laminates, encapsulated ceramics (2) Portable platform signature field in a metallic or non-metallic matrix, repair validation equipment (e.g., port- functionally gradient ceramic-metal able optical interrogator that validates materials, or ceramic balls in a cast integrity of a repair to a signature re- metal matrix. duction structure). (6) For this category, a material is (l) Technical data (see § 120.10 of this considered transparent if it allows 75% subchapter) directly related to the de- or greater transmission of light, cor- fense articles described in paragraphs rected for index of refraction, in the (a) through (h), (j), and (k) of this cat- visible spectrum through a 1 mm thick egory and defense services (see § 120.9 of nominal sample. this subchapter) directly related to the (7) The material controlled in para- defense articles described in this cat- graph (e)(4) of this category has not egory. (See also § 123.20 of this sub- been treated to reach the 75% trans- chapter.) (MT for technical data and mission level referenced in (m)(6) of defense services related to articles des- this category. ignated as such.) (8) Metal laminate armors are two or (m) The following interpretations ex- more layers of metallic materials plain and amplify terms used in this which are mechanically or adhesively category and elsewhere in this sub- bonded together to form an armor sys- chapter: tem. (1) Composite armor is defined as (9) Em is the line-of-sight target mass having more than one layer of different effectiveness ratio and provides a materials or a matrix. measure of the tested armor’s perform- (2) Spaced armors are metallic or ance to that of rolled homogenous non-metallic armors that incorporate armor, where Em is defined as follows:

Where: ADTARGET = Line-of-Sight Areal Density 3 of Target (kg/m2) rRHA = density of RHA, (7.85 g/cm )

Po = Baseline Penetration of RHA, If witness plate is penetrated, Pr is the (mm) distance from the projectile to the Pr = Residual Line of Sight Penetra- front edge of the witness plate. If not tion, either positive or negative penetrated, Pr is negative and is the (mm RHA equivalent)

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distance from the back edge of the tar- (i) Sulfur mustards, such as: 2- get to the projectile. Chloroethylchloromethylsulfide (CAS (10) NIJ is the National Institute of 2625–76–5) (CWC Schedule 1A); Bis(2- Justice and Level III refers to the re- chloroethyl)sulfide (HD) (CAS 505–60–2) quirements specified in NIJ standard (CWC Schedule 1A); Bis(2- 0108.01 Ballistic Resistant Protective chloroethylthio)methane (CAS 63839– Materials. 13–6) (CWC Schedule 1A); 1,2-bis (2- (n)–(w) [Reserved] chloroethylthio)ethane (CAS 3563–36–8) (x) Commodities, software, and tech- (CWC Schedule 1A); 1,3-bis (2- nical data subject to the EAR (see chloroethylthio)-n-propane (CAS 63905– § 120.42 of this subchapter) used in or 10–2) (CWC Schedule 1A); 1,4-bis (2- with defense articles. chloroethylthio)-n-butane (CWC Sched- NOTE TO PARAGRAPH (x): Use of this para- ule 1A); 1,5-bis (2-chloroethylthio)-n- graph is limited to license applications for pentane (CWC Schedule 1A); Bis (2- defense articles where the purchase docu- chloroethylthiomethyl)ether (CWC mentation includes commodities, software, Schedule 1A); Bis (2- or technical data subject to the EAR (see chloroethylthioethyl)ether (CAS 63918– § 123.1(b) of this subchapter). 89–8) (CWC Schedule 1A); CATEGORY XIV—TOXICOLOGICAL (ii) Lewisites, such as: 2- AGENTS, INCLUDING CHEMICAL chlorovinyldichloroarsine (CAS 541–25– AGENTS, BIOLOGICAL AGENTS, AND AS- 3) (CWC Schedule 1A); Tris (2- SOCIATED EQUIPMENT chlorovinyl) arsine (CAS 40334–70–1) (CWC Schedule 1A); Bis (2-chlorovinyl) *(a) Chemical agents, as follows: chloroarsine (CAS 40334–69–8) (CWC (1) Nerve agents, as follows: Schedule 1A); (i) O-Alkyl (equal to or less than C10, (iii) Nitrogen mustards, or their including cycloalkyl) alkyl (Methyl, protonated salts, as follows: Ethyl, n-Propyl or Isopropyl) (A) HN1: Bis (2-chloroethyl) ethyl- phosphonofluoridates, such as: Sarin amine (CAS 538–07–8) (CWC Schedule (GB): O-Isopropyl 1A); methylphosphonofluoridate (CAS 107– (B) HN2: Bis (2-chloroethyl) methyl- 44–8) (CWC Schedule 1A); and Soman amine (CAS 51–75–2) (CWC Schedule (GD): O-Pinacolyl 1A); methylphosphonofluoridate (CAS 96–64– (C) HN3: Tris (2-chloroethyl) amine 0) (CWC Schedule 1A); (CAS 555–77–1) (CWC Schedule 1A); or (ii) O-Alkyl (equal to or less than C , 10 (D) Other nitrogen mustards, or their including cycloalkyl) N,N-dialkyl salts, having a propyl, isopropyl, butyl, (Methyl, Ethyl, n-Propyl or Isopropyl) isobutyl, or tertiary butyl group on the phosphoramidocyanidates, such as: bis(2-chloroethyl) amine base; Tabun (GA): O-Ethyl N, N- dimethylphosphoramidocyanidate NOTE 1 TO PARAGRAPH (a)(3)(iii): Pharma- (CAS 77–81–6) (CWC Schedule 1A); or ceutical formulations containing nitrogen (iii) O-Alkyl (H or equal to or less mustards or certain reference standards for these formulations are not considered to be than C , including cycloalkyl) S–2- 10 chemical agents and are subject to the EAR dialkyl (Methyl, Ethyl, n-Propyl or when: (1) The pharmaceutical is in the form Isopropyl) aminoethyl alkyl (Methyl, of a final medical product; or (2) the ref- Ethyl, n-Propyl or Isopropyl) erence standard contains salts of HN2 [bis(2- phosphonothiolates and corresponding chloroethyl) methylamine], the quantity to alkylated and protonated salts, such as be shipped is 150 milligrams or less, and indi- VX: O-Ethyl S–2-diisopropylaminoethyl vidual shipments do not exceed twelve per methyl phosphonothiolate (CAS 50782– calendar year per end user. 69–9) (CWC Schedule 1A); NOTE 2 TO PARAGRAPH (a)(3)(iii): A ‘‘final (2) Amiton: O,O-Diethyl S- medical product,’’ as used in this paragraph, [2(diethylamino)ethyl] is a pharmaceutical formulation that is (1) designed for testing and administration in phosphorothiolate and corresponding the treatment of human medical conditions, alkylated or protonated salts (CAS 78– (2) prepackaged for distribution as a clinical 53–5) (CWC Schedule 2A); or medical product, and (3) approved for mar- (3) Vesicant agents, as follows: keting by the Food and Drug Administration

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or has a valid investigational new drug appli- protection, natural or acquired host cation (IND) in effect, in accordance with 21 immunity, host immune response, or CFR part 312. response to standard medical counter- (iv) Ethyldichloroarsine (ED) (CAS measures; and 598–14–1); or (ii) Being any micro-organisms/tox- (v) Methyldichloroarsine (MD) (CAS ins or their non-naturally occurring ge- 593–89–5); netic elements as listed below: (4) Incapacitating agents, such as: (A) Bacillus anthracis; (i) 3-Quinuclindinyl benzilate (BZ) (B) Botulinum neurotoxin producing (CAS 6581–06–2) (CWC Schedule 2A); species of Clostridium; (ii) Diphenylchloroarsine (DA) (CAS (C) Burkholderia mallei; 712–48–1); or (D) Burkholderia pseudomallei; (iii) Diphenylcyanoarsine (DC) (CAS (E) Ebola virus; 23525–22–6); (F) Foot-and-mouth disease virus; (5) Chemical warfare agents not enu- merated above adapted for use in war (G) Francisella tularensis; to produce casualties in humans or ani- (H) Marburg virus; mals, degrade equipment, or damage (I) Variola major virus (Smallpox crops or the environment. (See the CCL virus); at ECCNs 1C350, 1C355, and 1C395 for (J) Variola minor virus (Alastrim); control of certain chemicals not adapt- (K) Yersinia pestis; or ed for use in war.) (L) Rinderpest virus. NOTE TO PARAGRAPH (a)(5): ‘‘Adapted for (2) Biological agent or biologically use in war’’ means any modification or selec- derived substances controlled in ECCNs tion (such as altering purity, shelf life, dis- 1C351, 1C353, or 1C354: semination characteristics, or resistance to (i) Physically modified, formulated, ultraviolet radiation) designed to increase or produced as any of the following: the effectiveness in producing casualties in (A) 1–10 micron particle size; humans or animals, degrading equipment, or damaging crops or the environment. (B) Particle-absorbed or combined NOTE 1 TO PARAGRAPH (a): Paragraph (a) of with nano-particles; this category does not include the following: (C) Having coatings/surfactants, or Cyanogen chloride, Hydrocyanic acid, Chlo- (D) By microencapsulation; and rine, Carbonyl chloride (Phosgene), Ethyl (ii) Meeting the criteria of paragraph bromoacetate, Xylyl bromide, Benzyl bro- (b)(2)(i) of this category in a manner mide, Benzyl iodide, Chloro acetone, Chloropicrin (trichloronitromethane), Fluo- that is known to or is reasonably ex- rine, and Liquid pepper. pected to result in an increase in any NOTE 2 TO PARAGRAPH (a): Regarding U.S. of the following: obligations under the Chemical Weapons (A) Persistence in a field environ- Convention (CWC), refer to Chemical Weap- ment (i.e., resistant to oxygen, UV ons Convention Regulations (CWCR) (15 CFR damage, temperature extremes, arid parts 710 through 721). As appropriate, the conditions, or decontamination proc- CWC schedule is provided to assist the ex- porter. esses); (B) Dispersal characteristics (e.g., re- *(b) Biological agents and bio- duced susceptibility to shear forces, op- logically derived substances and ge- timized electrostatic charges); or netic elements thereof as follows: (C) The ability to defeat or overcome: (1) Genetically modified biological standard detection methods, personnel agents: protection, natural or acquired host (i) Having non-naturally occurring immunity, or response to standard genetic modifications that are known medical countermeasures. to or are reasonably expected to result in an increase in any of the following: NOTE 1 TO PARAGRAPH (b): Non-naturally (A) Persistence in a field environ- occurring means that the modification has ment (i.e., resistance to oxygen, UV not already been observed in nature, was not discovered from samples obtained from na- damage, temperature extremes, arid ture, and was developed with human inter- conditions, or decontamination proc- vention. esses); or NOTE 2 TO PARAGRAPH (b): This paragraph (B) The ability to defeat or overcome does not control biological agents or bio- standard detection methods, personnel logically derived substances when these

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agents or substances have been dem- controlled in paragraphs (a), (b), (c), or onstrated to be attenuated relative to nat- (e) of this category, as follows: ural pathogenic isolates and are incapable of (i) Any equipment ‘‘specially de- causing disease or intoxication of ordinarily signed’’ for the dissemination and dis- affected and relevant species (e.g., humans, livestock, crop plants) due to the attenu- persion of articles controlled in para- ation of virulence or pathogenic factors. This graphs (a), (b), (c), or (e) of this cat- paragraph also does not control genetic ele- egory; or ments, nucleic acids, or nucleic acid se- (ii) Any equipment ‘‘specially de- quences (whether recombinant or synthetic) signed’’ for testing the articles con- that are unable to produce or direct the bio- trolled in paragraphs (a), (b), (c), (e), or synthesis of infectious or functional forms of (f)(4) of this category and developed the biological agents or biologically derived under a Department of Defense con- substances that are capable of causing dis- tract or other funding authorization. ease or intoxication of ordinarily affected and relevant species. (2) Any equipment, containing re- NOTE 3 TO PARAGRAPH (b): Biological agents agents, algorithms, coefficients, soft- or biologically derived substances that meet ware, libraries, spectral databases, or both paragraphs (b)(1) and (b)(2) of this cat- alarm set point levels developed under egory are controlled in paragraph (b)(1). a Department of Defense contract or *(c) Chemical agent binary precur- other funding authorization, for the de- sors and key precursors, as follows: tection, identification, warning, or (1) Alkyl (Methyl, Ethyl, n-Propyl or monitoring of: Isopropyl) phosphonyl difluorides, such (i) Articles controlled in paragraphs as: DF: Methyl Phosphonyldifluoride (a) or (b) of this category; or (CAS 676–99–3) (CWC Schedule 1B); (ii) Chemical agents or biological Methylphosphinyldifluoride (CAS 753– agents specified in the Department of 59–3) (CWC Schedule 2B); Defense contract or other funding au- (2) O-Alkyl (H or equal to or less than thorization. C10, including cycloalkyl) O–2-dialkyl NOTE 1 TO PARAGRAPH (f)(2): This paragraph (methyl, ethyl, n-Propyl or isopropyl) does not control articles that are (a) deter- aminoethyl alkyl (methyl, ethyl, N- mined to be subject to the EAR via a com- propyl or isopropyl) phosphonite and modity jurisdiction determination (see § 120.4 corresponding alkylated and of this subchapter), or (b) identified in the relevant Department of Defense contract or protonated salts, such as QL: O-Ethyl- other funding authorization as being devel- 2-di-isopropylaminoethyl oped for both civil and military applications. methylphosphonite (CAS 57856–11–8) NOTE 2 TO PARAGRAPH (f)(2): Note 1 does not (CWC Schedule 1B); apply to defense articles enumerated on the (3) Chlorosarin: O-Isopropyl USML. methylphosphonochloridate (CAS 1445– (3) [Reserved] 76–7) (CWC Schedule 1B); (4) For individual protection or col- (4) Chlorosoman: O-Pinacolyl lective protection against the articles methylphosphonochloridate (CAS 7040– controlled in paragraphs (a) and (b) of 57–5) (CWC Schedule 1B); or this category, as follows: (5) Methylphosphonyl dichloride (i) M53 Chemical Biological Protec- (CAS 676–97–1) (CWC Schedule 2B); tive Mask or M50 Joint Service General Methylphosphinyldichloride (CAS 676– Purpose Mask (JSGPM); 83–5) (CWC Schedule 2B). (ii) Filter cartridges containing (d) [Reserved] sorbents controlled in paragraph (e) Defoliants, as follows: (f)(4)(iii) or (n) of this category; (1) 2,4,5-trichlorophenoxyacetic acid (iii) Carbon meeting MIL–DTL–32101 (CAS 93–76–5) mixed with 2,4- specifications (e.g., ASZM–TEDA car- dichlorophenoxyacetic acid (CAS 94–75– bon); or 7) (Agent Orange (CAS 39277–47–9)); or (iv) Ensembles, garments, suits, jack- (2) Butyl 2-chloro-4- ets, pants, boots, or socks for indi- fluorophenoxyacetate (LNF). vidual protection, and liners for collec- *(f) Parts, components, accessories, tive protection that allow no more attachments, associated equipment, than 1% breakthrough of GD or no materials, and systems, as follows: more than 2% breakthrough of any (1) Any equipment for the dissemina- other chemical controlled in paragraph tion, dispersion, or testing of articles (a) of this category, when evaluated by

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executing the applicable standard (x) JRPD–ASY–0136 Influenza A/H5 method(s) of testing described in the IVD Detection Kit; current version of Test Operating Pro- (xi) JRPD–ASY–0137 Influenza A/B tocols (TOPs) 08–2–201 or 08–2–501 and IVD Detection Kit; or using the defined Department of De- (xii) JRPD–ASY–0138 Influenza A fense-specific requirements; Subtype IVD Detection Kit; (5)–(6) [Reserved] (3) Critical Reagent Polymerase (7) Chemical Agent Resistant Coat- (CRP) Chain Reactions (PCR) assay ings that have been qualified to mili- kits with Catalog-ID and Catalog-ID tary specifications (MIL–PRF–32348, Product respectively as follows: MIL–DTL–64159, MIL–C–46168, or MIL– (i) PCR–BRU–1FB–B–K Brucella Tar- DTL–53039); or get 1 FastBlock Master Mix (8) Any part, component, accessory, Biotinylated; attachment, equipment, or system (ii) PCR–BRU–1FB–K Brucella Target that: 1 FastBlock Master Mix; (i) Is classified; (ii) Is manufactured using classified (iii) PCR–BRU–1R–K Brucella Target production data; or 1 LightCycler/RAPID Master Mix; (iii) Is being developed using classi- (iv) PCR–BURK–2FB–B–K fied information. Burkholderia Target 2 FastBlock Mas- ter Mix Biotinylated; NOTE TO PARAGRAPH (f)(8): ‘‘Classified’’ means classified pursuant to Executive Order (v) PCR–BURK–2FB–K Burkholderia 13526, or predecessor order, and a security Target 2 FastBlock Master Mix; classification guide developed pursuant (vi) PCR–BURK–2R–K Burkholderia thereto or equivalent, or to the cor- Target 2 LightCycler/RAPID Master responding classification rules of another Mix; government. (vii) PCR–BURK–3FB–B–K (g) Antibodies, recombinant protec- Burkholderia Target 3 FastBlock Mas- tive antigens, polynucleotides, biopoly- ter Mix Biotinylated; mers, or biocatalysts (including their (viii) PCR–BURK–3FB–K expression vectors, viruses, plasmids, Burkholderia Target 3 FastBlock Mas- or cultures of specific cells modified to ter Mix; produce them) as follows: (ix) PCR–BURK–3R–K Burkholderia (1) When exclusively funded by a De- Target 3 LightCycler/RAPID Master partment of Defense contract for detec- Mix; tion of the biological agents at para- (x) PCR–COX–1FB–B–K Coxiella graph (b)(1)(ii) of this category even if burnetii Target 1 FastBlock Master naturally occurring; Mix Biotinylated; (2) Joint Biological Agent Identifica- (xi) PCR–COX–1R–K Coxiella burnetii tion and Diagnostic System (JBAIDS) Target 1 LightCycler/RAPID Master Freeze Dried reagents listed by JRPD– Mix; ASY–No and Description respectively (xii) PCR–COX–2R–K Coxiella as follows: burnetii Target 2 LightCycler/RAPID (i) JRPD–ASY–0016 Q-Fever IVD Kit; (ii) JRPD–ASY–0100 Vaccinia Master Mix; (Orthopox); (xiii) PCR–OP–1FB–B–K Orthopox (iii) JRPD–ASY–0106 Brucella Target 1 FastBlock Master Mix melitensis (Brucellosis); Biotinylated; (iv) JRPD–ASY–0108 Rickettsia (xiv) PCR–OP–1FB–K Orthopox Tar- prowazekii (Rickettsia); get 1 FastBlock Master Mix; (v) JRPD–ASY–0109 Burkholderia ssp. (xv) PCR–OP–1R–K Orthopox Target 1 (Burkholderia); LightCycler/RAPID Master Mix; (vi) JRPD–ASY–0112 Eastern equine (xvi) PCR–OP–2FB–B–K Orthopox encephalitis (EEE); Target 2 FastBlock Master Mix (vii) JRPD–ASY–0113 Western equine Biotinylated; encephalitis (WEE); (xvii) PCR–OP–3R–K Orthopox Target (viii) JRPD–ASY–0114 Venezuelan 3 LightCycler/RAPID Master Mix; equine encephalitis (VEE); (xviii) PCR–RAZOR–BT–X PCR– (ix) JRPD–ASY–0122 Coxiella burnetii RAZOR–BT–X RAZOR CRP BioThreat- (Coxiella); X Screening Pouch;

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(xix) PCR–RIC–1FB–K Ricin Target 1 (xxx) AB–RIC–MAB3 Anti-Ricin FastBlock Master Mix; Mab3; (xx) PCR–RIC–1R–K Ricin Target 1 (xxxi) AB–R–SEB Rabbit anti-SEB; LightCycler/RAPID Master Mix; (xxxii) AB–R–VACC Rabbit anti- (xxi) PCR–RIC–2R–K Ricin Target 2 Vaccinia; LightCycler/RAPID Master Mix; or (xxxiii) AB–SEB–MAB Anti-SEB Mab; (xxii) PCR–VEE–1R–K Venezuelan (xxxiv) AB–SLT2–MAB Anti-Shigella- equine encephalitis Target 1 like t x2 Mab; LightCycler/RAPID Master Mix; or (xxxv) AB–T2T–MAB1 Anti-T2 Mab 1; (4) Critical Reagent Program Anti- bodies with Catalog ID and Product re- (xxxvi) AB–T2T–MAB2 Anti-T2 Toxin spectively as follows: 2; (i) AB–AG–RIC Aff. Goat anti-Ricin; (xxxvii) AB–VACC–MAB1 Anti- (ii) AB–ALVG–MAB Anti-Alphavirus Vaccinia Mab 1; Generic Mab; (xxxviii) AB–VACC–MAB2 Anti- (iii) AB–AR–SEB Aff. Rabbit anti- Vaccinia Mab 2; SEB; (xxxix) AB–VACC–MAB3 Anti- (iv) AB–BRU–M–MAB1 Anti-Brucella Vaccinia Mab 3; melitensis Mab 1; (xl) AB–VACC–MAB4 Anti-Vaccinia (v) AB–BRU–M–MAB2 Anti-Brucella Mab 4; melitensis Mab 2; (xli) AB–VACC–MAB5 Anti-Vaccinia (vi) AB–BRU–M–MAB3 Anti-Brucella Mab 5; melitensis Mab 3; (xlii) AB–VACC–MAB6 Anti-Vaccinia (vii) AB–BRU–M–MAB4 Anti-Brucella Mab 6; melitensis Mab 4; (xliii) AB–VEE–MAB1 Anti-VEE Mab (viii) AB–CHOL–0139–MAB Anti- 1; V.cholerae 0139 Mab; (xliv) AB–VEE–MAB2 Anti-VEE Mab (ix) AB–CHOL–01–MAB Anti-V. 2; cholerae 01 Mab; (xlv) AB–VEE–MAB3 Anti-VEE Mab (x) AB–COX–MAB Anti-Coxiella Mab; 3; (xi) AB–EEE–MAB Anti-EEE Mab; (xii) AB–G–BRU–A Goat anti- (xlvi) AB–VEE–MAB4 Anti-VEE Mab Brucella abortus; 4; (xiii) AB–G–BRU–M Goat anti- (xlvii) AB–VEE–MAB5 Anti-VEE Mab Brucella melitensis; 5; (xiv) AB–G–BRU–S Goat anti- (xlviii) AB–VEE–MAB6 Anti-VEE Brucella suis; Mab 6; or (xv) AB–G–CHOL–01 Goat anti- (xlix) AB–WEE–MAB Anti-WEE Com- V.cholerae 0:1; plex Mab. (xvi) AB–G–COL–139 Goat anti- (h) Vaccines exclusively funded by a V.cholerae 0:139; Department of Defense contract, as fol- (xvii) AB–G–DENG Goat anti-Dengue; lows: (xviii) AB–G–RIC Goat anti-Ricin; (1) Recombinant Botulinum ToxinA/B (xix) AB–G–SAL–T Goat anti-S. Vaccine; typhi; (2) Recombinant Plague Vaccine; (xx) AB–G–SEA Goat anti-SEA; (3) Trivalent Filovirus Vaccine; or (xxi) AB–G–SEB Goat anti-SEB; (4) Vaccines specially designed for (xxii) AB–G–SEC Goat anti-SEC; the sole purpose of protecting against (xxiii) AB–G–SED Goat anti-SED; biological agents and biologically de- (xxiv) AB–G–SEE Goat anti-SEE; rived substances identified in para- (xxv) AB–G–SHIG–D Goat anti- graph (b) of this category. Shigella dysenteriae; (xxvi) AB–R–BA–PA Rabbit anti-Pro- NOTE TO PARAGRAPH (h): See ECCN 1A607.k tective Antigen; for military medical countermeasures such (xxvii) AB–R–COX Rabbit anti-C. as autoinjectors, combopens, and creams. burnetii; (i) Modeling or simulation tools, in- (xxviii) AB–RIC–MAB1 Anti-Ricin cluding software controlled in para- Mab 1; graph (m) of this category, for chem- (xxix) AB–RIC–MAB2 Anti-Ricin Mab ical or biological weapons design, de- 2; velopment, or employment developed

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or produced under a Department of De- space objects other than celestial bod- fense contract or other funding author- ies, in real-time using imaging, infra- ization (e.g., the Department of De- red, radar, or laser systems; fense’s HPAC, SCIPUFF, and the Joint * (3) Conduct signals intelligence Effects Model (JEM)). (SIGINT) or measurement and signa- (j)–(l) [Reserved] tures intelligence (MASINT); (m) Technical data (as defined in * (4) Are specially designed to be used § 120.10 of this subchapter) and defense in a constellation or formation that services (as defined in § 120.9 of this when operated together, in essence or subchapter) directly related to the de- effect, form a virtual satellite (e.g., fense articles enumerated in para- functioning as if one satellite) with the graphs (a) through (l) and (n) of this characteristics or functions of other category. (See § 125.4 of this subchapter items in paragraph (a); for exemptions.) * (5) Are anti-satellite or anti-space- (n) Developmental countermeasures craft (e.g., kinetic, RF, laser, charged or sorbents funded by the Department particle); of Defense via contract or other fund- * (6) Have space-to-ground weapons ing authorization; systems (e.g., kinetic or directed en- NOTE 1 TO PARAGRAPH (n): This paragraph ergy); does not control countermeasures or * (7) Have any of the following sorbents that are (a) in production, (b) deter- electro-optical remote sensing capa- mined to be subject to the EAR via a com- bilities or characteristics: modity jurisdiction determination (see § 120.4 of this subchapter), or (c) identified in the (i) Electro-optical visible and near relevant Department of Defense contract or infrared (VNIR) (i.e., 400nm to 1,000nm) other funding authorization as being devel- or infrared (i.e., greater than 1,000nm to oped for both civil and military applications. 30,000nm) with less than 40 spectral NOTE 2 TO PARAGRAPH (n): Note 1 does not bands and having a clear aperture apply to defense articles enumerated on the greater than 0.50m; USML, whether in production or develop- (ii) Electro-optical hyperspectral ment. NOTE 3 TO PARAGRAPH (n): This paragraph with 40 spectral bands or more in the is applicable only to those contracts and VNIR, short-wavelength infrared funding authorizations that are dated July (SWIR) (i.e., greater than 1,000nm to 28, 2017, or later. 2,500nm) or any combination of the (o)–(w) [Reserved] aforementioned and having a Ground (x) Commodities, software, and tech- Sample Distance (GSD) less than 30 nology subject to the EAR (see § 120.42 meters; of this subchapter) used in or with de- (iii) Electro-optical hyperspectral fense articles controlled in this cat- with 40 spectral bands or more in the egory. mid-wavelength infrared (MWIR) (i.e., NOTE TO PARAGRAPH (x): Use of this para- greater than 2,500nm to 5,500nm) hav- graph is limited to license applications for ing a narrow spectral bandwidth of Dλ defense articles controlled in this category less than or equal to 20nm full width at where the purchase documentation includes half maximum (FWHM) or having a commodities, software, or technology sub- wide spectral bandwidth with Dλ great- ject to the EAR (see § 123.1(b) of this sub- er than 20nm FWHM and a GSD less chapter). than 200 meters; or (iv) Electro-optical hyperspectral CATEGORY XV— SPACECRAFT AND with 40 spectral bands or more in the RELATED ARTICLES long-wavelength infrared (LWIR) (i.e., (a) Spacecraft, including satellites greater than 5,500nm to 30,000nm) hav- and space vehicles, whether designated ing a narrow spectral bandwidth of Dλ developmental, experimental, research, less than or equal to 50nm FWHM or or scientific, or having a commercial, having a wide spectral bandwidth with civil, or military end-use, that: Dλ greater than 50nm FWHM and a GSD * (1) Are specially designed to miti- less than 500 meters; gate effects (e.g., scintillation) of or for NOTE 1 TO PARAGRAPH (a)(7): Ground Sam- detection of a nuclear detonation; ple Distance (GSD) is measured from a * (2) Autonomously detect and track spacecraft’s nadir (i.e., local vertical) posi- moving ground, airborne, missile, or tion.

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NOTE 2 TO PARAGRAPH (a)(7): Optical remote NOTE 1 TO PARAGRAPH (a): Spacecraft not sensing spacecraft or satellite spectral band- identified in this paragraph are subject to width is the smallest difference in wave- the EAR (see ECCNs 9A004 and 9A515). Space- length (i.e., Dλ) that can be distinguished at craft described in ECCNs 9A004 and 9A515 re- full width at half maximum (FWHM) of main subject to the EAR even if defense arti- wavelength λ. cles described on the USML are incorporated NOTE 3 TO PARAGRAPH (a)(7): An optical sat- therein, except when such incorporation re- ellite or spacecraft is not Significant Mili- sults in a spacecraft described in this para- tary Equipment (see § 120.7 of this sub- graph. chapter) if non-earth pointing. NOTE 2 TO PARAGRAPH (a): This paragraph * (8) Have radar remote sensing capa- does not control (a) the International Space Station (ISS) and its specially designed (as bilities or characteristics (e.g., active defined in the EAR) parts and components, electronically scanned array (AESA), which are subject to the EAR, or (b) those synthetic aperture radar (SAR), in- articles for the ISS that are determined to verse synthetic aperture radar (ISAR), be subject to the EAR via a commodity juris- ultra-wideband SAR), except those hav- diction determination (see § 120.4 of this sub- ing a center frequency equal to or chapter). Use of a defense article on the ISS greater than 1 GHz but less than or that was not specially designed (as defined in equal to 10 GHz and having a band- the EAR) for the ISS does not cause the item to become subject to the EAR. width less than 300 MHz; NOTE 3 TO PARAGRAPH (a): This paragraph (9) Provide Positioning, Navigation, does not control the James Webb Space Tele- and Timing (PNT) signals; scope, which is subject to the EAR. NOTE TO PARAGRAPH (a)(9): This paragraph (b) Ground control systems or train- does not control a satellite or spacecraft ing simulators, specially designed for that provides only a differential correction telemetry, tracking, and control broadcast for the purposes of positioning, (TT&C) of spacecraft in paragraph (a) navigation, or timing. of this category. (10) Autonomously perform collision NOTE TO PARAGRAPH (b): Parts, compo- avoidance; nents, accessories, attachments, equipment, (11) Are sub-orbital, incorporate pro- or systems that are common to ground con- pulsion systems described in paragraph trol systems or training simulators con- (e) of this category or Category trolled in this paragraph and those that are IV(d)(1)–(6) of this section, and are spe- used for spacecraft not controlled in para- cially designed for atmospheric entry graph (a) of this category are subject to the or re-entry; EAR. (12) Are specially designed to provide (c)–(d) [Reserved] inspection or surveillance of another (e) Spacecraft parts, components, ac- spacecraft, or service another space- cessories, attachments, equipment, or craft via grappling or docking; or systems, as follows: NOTE TO PARAGRAPH (a)(12): This paragraph (1) Antenna systems specially de- does not control spacecraft that dock exclu- signed for spacecraft that: sively via the NASA Docking System (NDS), (i) Have a dimension greater than 25 which are controlled by ECCN 9A515.a.4. meters in diameter or length of the * (13) Are classified, contain classified major axis; software or hardware, are manufac- (ii) Employ active electronic scan- tured using classified production data, ning; or are being developed using classified (iii) Are adaptive beam forming; or information (e.g., having classified re- (iv) Are for interferometric radar; quirements, specifications, functions, (2) Space-qualified optics (i.e., lens, or operational characteristics or in- mirror or membrane) having one of the clude classified cryptographic items following: controlled under USML Category XIII (i) Active properties (e.g., adaptive, of this subchapter). ‘‘Classified’’ means deformable) with a largest lateral clear classified pursuant to Executive Order aperture dimension greater than 0.35m; 13526, or predecessor order, and a secu- or rity classification guide developed pur- (ii) A largest lateral clear aperture suant thereto or equivalent, or to the dimension greater than 0.50m; corresponding classification rules of (3) Space-qualified focal plane arrays another government or international (FPA) having a peak response in the organization. wavelength range exceeding 900nm and

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readout integrated circuit (ROIC), than 300 milli-Newtons and a specific whether separate or integrated, spe- impulse greater than 1,500 sec; or that cially designed therefor; operate at an input power of more than (4) Space-qualified mechanical (i.e., 15kW; active) cryocooler or active cold finger (12) Thrusters (e.g., spacecraft or systems, and associated control elec- rocket engines) using bi-propellants or tronics specially designed therefor; mono-propellant that provide greater (5) Space-qualified active vibration than 150 lbf (i.e., 667.23 N) vacuum suppression systems, including active thrust (MT for rocket motors or en- isolation and active dampening sys- gines having a total impulse capacity tems, and associated control elec- equal to or greater than 8.41 × 10∧5 new- tronics specially designed therefor; ton seconds); (6) Optical bench assemblies specially (13) Control moment gyroscope designed to enable spacecraft to meet (CMG) specially designed for space- or exceed the parameters described in craft; paragraph (a) of this category; (14) Space-qualified monolithic (7) Space-qualified kinetic or di- microwave integrated circuits (MMIC) rected-energy systems (e.g., RF, laser, that combine transmit and receive (T/ charged particle) specially designed for R) functions on a single die as follows: spacecraft in paragraph (a)(5) or (a)(6) (i) Having a power amplifier with of this category, and specially designed maximum saturated peak output power parts and components therefor (e.g., (in watts), Psat, greater than 200 di- power conditioning and beam-handling/ vided by the maximum operating fre- switching, propagation, tracking, and quency (in GHz) squared [Psat >200 pointing equipment); W*GHz2/fGHz2]; or (8) [Reserved] (ii) Having a common path (e.g., (9) Space-qualified cesium, rubidium, phase shifter-digital attenuator) cir- hydrogen , or quantum (e.g., cuit with greater than 3 bits phase based upon Al, Hg, Yb, Sr, Be Ions) shifting at operating frequencies 10 atomic clocks, and specially designed GHz or below, or greater than 4 bits parts and components therefor; phase shifting at operating frequencies (10) Attitude determination and con- above 10 GHz; trol systems, and specially designed parts and components therefor, that (15) Space-qualified oscillator for provide a spacecraft’s geolocation ac- radar in paragraph (a) of this category ¥ curacy, without using Ground Location with phase noise less than 120 dBc/Hz Points, better than or equal to: + (20 log10(RF) (in GHz)) measured at 2 (i) 5 meters (CE90) from low earth KHz*RF (in GHz) from carrier; orbit (LEO); (16) Space-qualified star tracker or (ii) 30 meters (CE90) from medium star sensor with angular accuracy less earth orbit (MEO); than or equal to 1 arcsec (1-Sigma) per (iii) 150 meters (CE90) from geo- star coordinate, and a tracking rate synchronous orbit (GEO); or equal to or greater than 3.0 deg/sec, and (iv) 225 meters (CE90) from high earth specially designed parts and compo- orbit (HEO); nents therefor (MT); (11) Space-based systems, and spe- * (17) Primary, secondary, or hosted cially designed parts and components payload that performs any of the func- therefor, as follows: tions described in paragraph (a) of this (i) Nuclear reactors and associated category; power conversion systems (e.g., liquid NOTE 1 TO PARAGRAPH (e)(17): Primary pay- metal or gas-cooled fast reactors); load is that complement of equipment de- (ii) Radioisotope-based power sys- signed from the outset to accomplish the tems (e.g., radioisotope thermoelectric prime mission function of the spacecraft generators); payload mission set. The primary payload (iii) Nuclear thermal propulsion sys- may operate independently from the sec- ondary payload(s). Secondary payload is that tems (e.g., solid core, liquid core, gas complement of equipment designed from the core fission); or outset to be fully integrated into the space- (iv) Electric (Plasma/Ion) propulsion craft payload mission set. The secondary systems that provide a thrust greater payload may operate separately from the

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primary payload. Hosted payload is a com- ered by the specified rocket, SLV, missile, plement of equipment or sensors that uses drone, or UAV that is not used to maintain the available or excess capacity (mass, vol- flight. For definition of ‘‘range’’ as it per- ume, power, etc.) of a spacecraft to accom- tains to aircraft systems, see note to para- modate an additional, independent mission. graph (a) of USML Category VIII. For defini- The hosted payload may share the spacecraft tion of ‘‘range’’ as it pertains to rocket sys- bus support infrastructure. The hosted pay- tems, see note 1 to paragraph (a) of USML load performs an additional, independent Category IV. mission which does not dictate control or op- (20) Equipment modules, stages, or eration of the spacecraft. A hosted payload is not capable of operating as an independent compartments that incorporate propul- spacecraft. Spacecraft bus (distinct from the sion systems described in paragraph (e) spacecraft payload), provides the support in- of this category or Category IV(d)(1)– frastructure of the spacecraft (e.g., command (6) of this section, and can be separated and data handling, communications and an- or jettisoned from another spacecraft; tenna(s), electrical power, propulsion, ther- or mal control, attitude and orbit control, guid- * (21) Any part, component, acces- ance, navigation and control, structure and truss, life support (for crewed mission)) and sory, attachment, equipment, or sys- location (e.g., attachment, interface) for the tem that: spacecraft payload. Spacecraft payload is that (i) Is classified; complement of equipment attached to the (ii) Contains classified software; or spacecraft bus that performs a particular (iii) Is being developed using classi- mission in space (e.g., communications, ob- fied information. servation, science). NOTE TO PARAGRAPH (e)(21): ‘‘Classified’’ NOTE 2 TO PARAGRAPH e)(17): An ECCN 9A004 or ECCN 9A515.a spacecraft remains a means classified pursuant to Executive Order spacecraft subject to the EAR even when in- 13526, or predecessor order, and a security corporating a hosted payload performing a classification guide developed pursuant function described in paragraph (a) of this thereto or equivalent, or to the cor- category. All spacecraft that incorporate pri- responding classification rules of another mary or secondary payloads that perform a government or international organization. function described in paragraph (a) of this NOTE 1 TO PARAGRAPH (e): Parts, compo- category are controlled by that paragraph. nents, accessories, attachments, equipment, This paragraph does not control primary or or systems specially designed for spacecraft secondary payloads of the James Webb Space or other articles enumerated in this category Telescope, which are subject to the EAR. but not listed in paragraph (e) are subject to the EAR. * (18) Secondary or hosted payload, NOTE 2 TO PARAGRAPH (e): The articles de- and specially designed parts and com- scribed in this paragraph are subject to the ponents therefor, developed with De- EAR when, prior to export, reexport, re- partment of Defense-funding; transfer, or temporary import, they are inte- grated into and included as an integral part NOTE 1 TO PARAGRAPH (e)(18): This para- of an item subject to the EAR (see note 2 to graph does not control payloads that are (a) paragraph (e)(17) of this category). Articles determined to be subject to the EAR via a do not become subject to the EAR until inte- commodity jurisdiction determination (see grated into the item subject to the EAR. Ex- § 120.4 of this subchapter), or (b) identified in port, reexport, retransfer, or temporary im- the relevant Department of Defense contract port of, and technical data and defense serv- or other funding authorization or agreement ices directly related to defense articles in- as being developed for both military and ei- tended to be integrated remain subject to ther civil or commercial applications. the ITAR. NOTE 2 TO PARAGRAPH (e)(18): This para- graph is applicable only to those contracts NOTE 3 TO PARAGRAPH (e): For the purposes or funding authorizations or agreements of this paragraph, an article is space-quali- that are dated May 13, 2015, or later. fied if it is designed, manufactured, or quali- fied through successful testing, for operation (19) Spacecraft heat shields or heat at altitudes greater than 100 km above the sinks specially designed for atmos- surface of the Earth. The use of an altitude pheric entry or re-entry, and specially of 100 km above the surface of the Earth in designed parts and components there- this paragraph does not represent a legal de- for (MT if usable in rockets, SLVs, mis- marcation between national air space and siles, drones, or UAVs capable of deliv- outer space under United States or inter- ering a payload of at least 500 kg to a national law. NOTE 4 TO PARAGRAPH (e): (1) A determina- range of at least 300 km); tion that a specific article (or commodity) NOTE TO PARAGRAPH (e)(19): ‘‘Payload’’ is (e.g., by product serial number) is space- the total mass that can be carried or deliv- qualified by virtue of testing alone does not

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mean that other articles in the same produc- the passenger or participant experience is for tion run or model series are space-qualified space tourism, scientific or commercial re- if not individually tested. (2) ‘‘Article’’ is search, commercial manufacturing/produc- synonymous with ‘‘commodity,’’ as defined tion activities, educational, media, or com- in EAR § 772.1. (3) A specific article not de- mercial transportation purposes, are not signed or manufactured for use at altitudes subject to the ITAR or the EAR. Such activi- greater than 100 km above the surface of the ties and technology/technical data include Earth is not space-qualified before it is suc- those directly related to or required for: (a) cessfully tested. (4) The terms ‘‘designed’’ Spacecraft access, ingress, and egress, in- and ‘‘manufactured’’ in this definition are cluding the operation of all spacecraft doors, synonymous with ‘‘specially designed.’’ hatches, and airlocks; (b) physiological (f) Technical data (see § 120.10 of this sub- training (e.g., human-rated centrifuge train- chapter) and defense services (see § 120.9 of ing or parabolic flights, pressure suit or this subchapter) directly related to the de- spacesuit training/operation); (c) medical fense articles described in paragraphs (a) evaluation or assessment of the spaceflight through (e) of this category and classified passenger or participant; (d) training for and technical data directly related to items con- operation by the passenger or participant of trolled in ECCNs 9A515, 9B515, or 9D515 and health and safety related hardware (e.g., defense services using the classified tech- seating, environmental control and life sup- nical data. Defense services include the fur- port, hygiene facilities, food preparation, ex- nishing of assistance (including training) to ercise equipment, fire suppression, commu- nications equipment, safety-related clothing a foreign person in the integration of a sat- or headgear) or emergency procedures; (e) ellite or spacecraft to a launch vehicle, in- viewing of the interior and exterior of the cluding both planning and onsite support, re- spacecraft or terrestrial mock-ups; (f) ob- gardless of the jurisdiction, ownership, or or- serving spacecraft operations (e.g., pre-flight igin of the satellite or spacecraft, or whether checks, landing, in-flight status); (g) train- technical data is used. It also includes the ing in spacecraft or terrestrial mock-ups for furnishing of assistance (including training) connecting to or operating passenger or par- to a foreign person in the launch failure ticipant equipment used for purposes other analysis of a satellite or spacecraft, regard- than operating the spacecraft; or (h) don- less of the jurisdiction, ownership, or origin ning, wearing, or utilizing the passenger’s or of the satellite of spacecraft, or whether participant’s flight suit, pressure suit, or technical data is used. (See § 125.4 of this sub- spacesuit, and personal equipment. chapter for exemptions, and § 124.15 of this NOTE 3 TO PARAGRAPH (f): Paragraph (f) and subchapter for special export controls for ECCNs 9E001, 9E002 and 9E515 do not control satellites and satellite launches.) (MT for the data transmitted to or from a satellite or technical data and defense services related spacecraft, whether real or simulated, when to articles designated as such.) limited to information about the health, NOTE 1 TO PARAGRAPH (f): The technical operational status, or measurements or func- data control of this paragraph does not apply tion of, or raw sensor output from, the space- to certain technical data directly related to craft, spacecraft payload(s), or its associated articles described in paragraphs (c) or (e) of subsystems or components. Such informa- this category when such articles are inte- tion is not within the scope of information grated into and included as an integral part captured within the definition of technology of a satellite subject to the EAR. For con- in the EAR for purposes of Category 9 Prod- trols in these circumstances, see ECCN 9E515. uct Group E. Examples of such information, This only applies to that level of technical which are commonly referred to as ‘‘house- data (including marketing data) necessary keeping data,’’ include (i) system, hardware, and reasonable for a purchaser to have assur- component configuration, and operation sta- ance that a U.S. built item intended to oper- tus information pertaining to temperatures, ate in space has been designed, manufac- pressures, power, currents, voltages, and bat- tured, and tested in conformance with speci- tery charges; (ii) spacecraft or payload ori- fied contract requirements (e.g., operational entation or position information, such as performance, reliability, lifetime, product state vector or ephemeris information; (iii) quality, or delivery expectations) as well as payload raw mission or science output, such data necessary for normal orbit satellite op- as images, spectra, particle measurements, erations, to evaluate in-orbit anomalies, and or field measurements; (iv) command re- to operate and maintain associated ground sponses; (v) accurate timing information; station equipment (except encryption hard- and (vi) link budget data. The act of proc- ware). essing such telemetry data—i.e., converting NOTE 2 TO PARAGRAPH (f): Activities and raw data into engineering units or readable technology/technical data directly related to products—or encrypting it does not, in and or required for the spaceflight (e.g., sub-or- of itself, cause the telemetry data to become bital, orbital, lunar, interplanetary, or oth- subject to the ITAR or to ECCN 9E515 for erwise beyond Earth orbit) passenger or par- purposes of 9A515, or to ECCNs 9E001 or 9E002 ticipant experience, regardless of whether for purposes of 9A004. All classified technical

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data directly related to items controlled in CATEGORY XVII—CLASSIFIED ARTICLES, USML Category XV or ECCNs 9A515, and de- TECHNICAL DATA, AND DEFENSE SERV- fense services using the classified technical ICES NOT OTHERWISE ENUMERATED data, remains subject to the ITAR. This note does not affect controls in USML XV(f), * (a) All articles, and technical data ECCN 9D515, or ECCN 9E515 on software (see § 120.10 of this subchapter) and de- source code or commands that control a fense services (see § 120.9 of this sub- spacecraft, payload, or associated sub- chapter) relating thereto, that are clas- systems for purposes of 9A515. This note also does not affect controls in ECCNs 9D001, sified in the interests of national secu- 9D002, 9E001, or 9E002 on software source rity and that are not otherwise enu- code or commands that control a spacecraft, merated on the U.S. Munitions List. payload, or associated subsystems for pur- poses of 9A004. CATEGORY XVIII—DIRECTED ENERGY (g)–(w) [Reserved] WEAPONS (x) Commodities, software, and tech- * (a) Directed energy weapons as fol- nology subject to the EAR (see § 120.42 lows: of this subchapter) used in or with de- (1) Systems or equipment that, other fense articles. than as a result of incidental, acci- NOTE TO PARAGRAPH (x): Use of this para- dental, or collateral effect: graph is limited to license applications for (i) Degrade, destroy or cause mission- defense articles where the purchase docu- abort of a target; mentation also includes commodities, soft- (ii) Disturb, disable, or damage elec- ware, or technology subject to the EAR (see tronic circuitry, sensors or explosive § 123.21(b) of this subchapter). devices remotely; (iii) Deny area access; CATEGORY XVI—NUCLEAR WEAPONS (iv) Cause lethal effects; or RELATED ARTICLES (v) Cause ocular disruption or blind- (a) [Reserved] ness; and * (b) Modeling or simulation tools (2) Use any non-acoustic technique that model or simulate the environ- such as lasers (including continuous ments generated by nuclear detona- wave or pulsed lasers), particle beams, tions or the effects of these environ- particle accelerators that project a ments on systems, subsystems, compo- charged or neutral particle beam, high nents, structures, or humans. power radio-frequency (RF), or high (c) [Reserved] pulsed power or high average power (d) Parts, components, accessories, radio frequency beam transmitters. attachments, associated equipment, *(b) Systems or equipment specially and production, testing, and inspection designed to detect, identify, or provide equipment and tooling, specially de- defense against articles specified in signed for the articles in paragraph (b) paragraph (a) of this category. of this category. (c)–(d) [Reserved] (e) Components, parts, accessories, (e) Technical data (see § 120.10 of this attachments, systems or associated subchapter) and defense services (see equipment specially designed for any of § 120.9 of this subchapter) directly re- the articles in paragraphs (a) or (b) of lated to the defense articles described this category. in paragraph (b) of this category. (See (f) Developmental directed energy § 123.20 of this subchapter for nuclear weapons funded by the Department of related controls.) Defense via contract or other funding (f)–(w) [Reserved] authorization, and specially designed (x) Commodities, software, and tech- parts and components therefor; nical data subject to the EAR (see § 120.42 of this subchapter) used in or NOTE 1 TO PARAGRAPH (f): This paragraph does not control directed energy weapons (a) with defense articles. in production, (b) determined to be subject NOTE TO PARAGRAPH (x): Use of this para- to the EAR via a commodity jurisdiction de- graph is limited to license applications for termination (see § 120.4 of this subchapter), defense articles where the purchase docu- or (c) identified in the relevant Department mentation includes commodities, software, of Defense contract or other funding author- or technical data subject to the EAR (see ization as being developed for both civil and § 123.1(b) of this subchapter). military applications.

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NOTE 2 TO PARAGRAPH (f): Note 1 does not and non-civil transient maneuvers, apply to defense articles enumerated on the where specific power is defined as max- USML, whether in production or develop- imum takeoff shaft horsepower (shp) ment. divided by compressor inlet flow (lbm/ NOTE 3 TO PARAGRAPH (f): This paragraph is applicable only to those contracts and fund- sec). ing authorizations that are dated July 28, * (c) Gas turbine engines (including 2017, or later. technology demonstrators, develop- (g) Technical data (see § 120.10 of this mental engines, and variable cycle en- subchapter) and defense services (as de- gines) specially designed for unmanned fined in § 120.9 of this subchapter) di- aerial vehicle systems controlled in rectly related to the defense articles this subchapter, cruise missiles, or tar- enumerated in paragraphs (a) through get drones (MT if for an engine used in (e) of this category; an aircraft, excluding manned aircraft, (x) Commodities, software, and tech- or missile that has a ‘‘range’’ equal to nology subject to the EAR (see § 120.42 or greater than 300 km). * (d) GE38, AGT1500, CTS800, MT7, of this subchapter) used in or with de- T55, HPW3000, GE3000, T408, and T700 fense articles controlled in this cat- engines. egory. NOTE TO PARAGRAPH (d): Engines subject to NOTE TO PARAGRAPH (x): Use of this para- the control of this paragraph are licensed by graph is limited to license applications for the Department of Commerce when incor- defense articles controlled in this category porated in an aircraft subject to the EAR where the purchase documentation includes and controlled under ECCN 9A610. Such en- commodities, software, or technology sub- gines are subject to the controls of the ITAR ject to the EAR (see § 123.1(b) of this sub- in all other circumstances. chapter). * (e) Digital engine control systems CATEGORY XIX—GAS TURBINE ENGINES (e.g., Full Authority Digital Engine AND ASSOCIATED EQUIPMENT Controls (FADEC) and Digital Elec- tronic Engine Controls (DEEC)) spe- * (a) Turbofan and Turbojet engines cially designed for gas turbine engines (including those that are technology controlled in this category (MT if the demonstrators, developmental engines, digital engine control system is for an or variable cycle engines) capable of aircraft, excluding manned aircraft, or 15,000 lbf (66.7 kN) of thrust or greater missile that has a range equal to or that have any of the following: greater than 300 km). (1) With or specially designed for NOTE TO PARAGRAPH (e): Digital electronic thrust augmentation (); control systems autonomously control the (2) Thrust or exhaust nozzle vec- engine throughout its whole operating range toring; from demanded engine start until demanded (3) Parts or components controlled in engine shut-down, in both normal and fault paragraph (f)(6) of this category; conditions. (4) Specially designed for sustained 30 (f) Parts, components, accessories, second inverted flight or negative g attachments, associated equipment, maneuver; or and systems as follows: (5) Specially designed for high power (1) Parts, components, accessories, extraction (greater than 50 percent of and attachments specially designed for engine thrust at altitude) at altitudes the following U.S.-origin engines (and greater than 50,000 feet. military variants thereof): F101, F107, * (b) and en- F112, F118, F119, F120, F135, F136, F414, gines (including those that are tech- F415, and J402; nology demonstrators or develop- NOTE TO PARAGRAPH (f)(1): This paragraph mental engines) that have any of the does not control parts, components, acces- following: sories, and attachments that are common to (1) Capable of 2000 mechanical shp engines enumerated in paragraph (a) through (1491 kW) or greater and specially de- (d) of this category but not identified in signed with oil sump sealing when the paragraph (f)(1), and those identified in para- graph (f)(1). For example, a part common to engine is in the vertical position; or only the F110 and F136 is not specially de- (2) Capable of a specific power of 225 signed for purposes of this paragraph. A part shp/(lbm/sec) or greater and specially common to only the F119 and F135—two en- designed for armament gas ingestion gine models identified in paragraph (f)(1)—is

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specially designed for purposes of this para- (by means other than use graph, unless one of the other paragraphs is of fan corrected speed or the primary applicable under § 120.41(b). nozzle area to change the fan pressure * (2) Hot section components (i.e., ratio or bypass ratio), and specially de- combustion chambers and liners; high pressure turbine blades, vanes, disks signed parts, components, accessories, and related cooled structure; cooled in- and attachments therefor; termediate pressure turbine blades, (10) High pressure compressors, spe- vanes, disks and related cooled struc- cially designed for gas turbine engines tures; cooled low pressure turbine controlled in this Category, with core- blades, vanes, disks and related cooled driven bypass streams that have a pres- structures; cooled shaft-driving power sure ratio greater than one, occurring turbine blades, vanes, disks and related across any section of the bypass duct, cooled structures; cooled augmenters; and specially designed parts, compo- and cooled nozzles) specially designed nents, accessories, and attachments for gas turbine engines controlled in therefor; this category; (11) Intermediate compressors of a (3) Uncooled turbine blades, vanes, three-spool compression system, spe- disks, and tip shrouds specially de- cially designed for gas turbine engines signed for gas turbine engines con- controlled in this Category, with an in- trolled in this category; termediate spool-driven bypass stream (4) cowls, diffusers, that has a pressure ratio greater than domes, and shells specially designed for gas turbine engines controlled in this one, occurring across any section of category; the bypass duct, and specially designed (5) Engine monitoring systems (i.e., parts, components, accessories, and at- prognostics, diagnostics, and health) tachments therefor; or specially designed for gas turbine en- (12) Any of the following equipment if gines and components controlled in specially designed for a defense article this category; described in paragraph (f)(1): Jigs, lo- * (6) Any part, component, accessory, cating fixtures, templates, gauges, attachment, equipment, or system molds, dies, caul plates, or bellmouths. that: (g) Technical data (see § 120.10 of this (i) Is classified; subchapter) and defense services (see (ii) Contains classified software di- § 120.9 of this subchapter) directly re- rectly related to defense articles in lated to the defense articles described this subchapter or 600 series items sub- in paragraphs (a) through (f) of this ject to the EAR; or category and classified technical data (iii) Is being developed using classi- directly related to items controlled in fied information. ECCNs 9A619, 9B619, 9C619, and 9D619 NOTE TO PARAGRAPH (f)(6): ‘‘Classified’’ and defense services using the classi- means classified pursuant to Executive Order 13526, or predecessor order, and a security fied technical data. (See § 125.4 of this classification guide developed pursuant subchapter for exemptions.) (MT for thereto or equivalent, or to the cor- technical data and defense services re- responding classification rules of another lated to articles designated as such.) government or international organization; (h)–(w) [Reserved] (7) Investment casting cores, core (x) Commodities, software, and tech- dies, or wax pattern dies for parts or nology subject to the EAR (see § 120.42 components enumerated in paragraphs of this subchapter) used in or with de- (f)(1), (f)(2), or (f)(3) of this category; fense articles controlled in this cat- (8) Pressure gain spe- egory. cially designed for engines controlled in this category, and specially designed NOTE TO PARAGRAPH (x): Use of this para- parts and components therefor; graph is limited to license applications for (9) Three-stream fan systems, spe- defense articles controlled in this category where the purchase documentation includes cially designed for gas turbine engines commodities, software, or technology sub- controlled in this Category, that allow ject to the EAR (see § 123.1(b) of this sub- the movement of airflow between the chapter). streams to control fan pressure ratio or

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CATEGORY XX—SUBMERSIBLE VESSELS (2) Electric motors specially designed AND RELATED ARTICLES for submarines that have the following: (a) Submersible and semi-submers- (i) Power output of more than 0.75 ible vessels that are: MW (1,000 hp); * (1) Submarines specially designed (ii) Quick reversing; for military use; (iii) Liquid cooled; and (2) Mine countermeasure vehicles; (iv) Totally enclosed. (3) Anti-submarine warfare vehicles; (c) Parts, components, accessories, (4) Armed or are specially designed to attachments, and associated equip- be used as a platform to deliver muni- ment, including production, testing, tions or otherwise destroy or incapaci- and inspection equipment and tooling, tate targets (e.g., firing torpedoes, specially designed for any of the arti- launching rockets, firing missiles, de- cles in paragraphs (a) and (b) of this ploying mines, deploying counter- category (MT for launcher mechanisms measures) or deploy military payloads; specially designed for rockets, space (5) Swimmer delivery vehicles spe- cially designed for the deployment, re- launch vehicles, or missiles capable of covery, or support of swimmers or div- achieving a range greater than or equal ers from submarines; to 300 km). (6) Integrated with nuclear propul- NOTE TO PARAGRAPH (c): ‘‘Range’’ is the sion systems; maximum distance that the specified rocket (7) Equipped with any mission sys- system is capable of traveling in the mode of tems controlled under this subchapter; stable flight as measured by the projection or of its trajectory over the surface of the Earth. The maximum capability based on the NOTE TO PARAGRAPH (a)(7): ‘‘Mission sys- design characteristics of the system, when tem’’ is defined as a ‘‘system’’ (see § 120.45(g) of this subchapter) that are defense articles fully loaded with fuel or propellant, will be that perform specific military functions such taken into consideration in determining as by providing military communication, range. The range for rocket systems will be electronic warfare, target designation, sur- determined independently of any external veillance, target detection, or sensor capa- factors such as operational restrictions, lim- bilities. itations imposed by telemetry, data links, or (8) Developmental vessels funded by other external constraints. For rocket sys- the Department of Defense via contract tems, the range will be determined using the or other funding authorization. trajectory that maximizes range, assuming International Civil Aviation Organization NOTE 1 TO PARAGRAPH (a)(8): This para- (ICAO) standard atmosphere with zero wind. graph does not control vessels, and specially designed parts, components, accessories, at- (d) Technical data (see § 120.10 of this tachments, and associated equipment there- subchapter) and defense services (see for, (a) in production, (b) determined to be § 120.9 of this subchapter) directly re- subject to the EAR via a commodity juris- lated to the defense articles described diction determination (see § 120.4 of this sub- in paragraphs (a) through (c) of this chapter) or (c) identified in the relevant De- partment of Defense contract or other fund- category. (MT for technical data and ing authorization as being developed for both defense services related to articles des- civil and military applications. ignated as such.) (See § 125.4 of this sub- NOTE 2 TO PARAGRAPH (a)(8): Note 1 does chapter for exemptions.) not apply to defense articles enumerated on (e)–(w) [Reserved] the U.S. Munitions List, whether in produc- tion or development. (x) Commodities, software, and tech- NOTE 3 TO PARAGRAPH (a)(8): This provision nical data subject to the EAR (see is applicable to those contracts and funding § 120.42 of this subchapter) used in or authorizations that are dated July 8, 2014, or with defense articles. later. NOTE TO PARAGRAPH (x): Use of this para- * (b) Engines, electric motors, and graph is limited to license applications for propulsion plants as follows: defense articles where the purchase docu- (1) Naval nuclear propulsion plants mentation includes commodities, software, and prototypes, and special facilities or technical data subject to the EAR (see for construction, support, and mainte- § 123.1(b) of this subchapter). nance therefor (see § 123.20 of this sub- chapter);

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CATEGORY XXI—ARTICLES, TECHNICAL §§ 121.2–121.15 [Reserved] DATA, AND DEFENSE SERVICES NOT OTHERWISE ENUMERATED § 121.16 Missile Technology Control Regime Annex. * (a) Any article not enumerated on Some of the items on the Missile the U.S. Munitions List may be in- Technology Control Regime Annex are cluded in this category until such time controlled by both the Department of as the appropriate U.S. Munitions List Commerce on the Commodity Control category is amended. The decision on List and by the Department of State on whether any article may be included in the United States Munitions List. To this category, and the designation of the extent an article is on the United the defense article as not Significant States Munitions List, a reference ap- Military Equipment (see § 120.7 of this pears in parentheses listing the U.S. subchapter), shall be made by the Di- Munitions List category in which it ap- rector, Office of Defense Trade Con- pears. The following items constitute trols Policy. all items on the Missile Technology (b) Technical data (see § 120.10 of this Control Regime Annex which are cov- subchapter) and defense services (see ered by the U.S. Munitions List: § 120.9 of this subchapter) directly re- ITEM 1—CATEGORY I lated to the defense articles covered in Complete rocket systems (including bal- paragraph (a) of this category. listic missile systems, space launch vehicles, and sounding rockets (see § 121.1, Cat. IV(a) [58 FR 39287, July 22, 1993] and (b))) and unmanned air vehicle systems EDITORIAL NOTES: 1. For FEDERAL REGISTER (including systems, see § 121.1, citations affecting § 121.1, see the List of CFR Cat. VIII (a), target drones and reconnais- Sections Affected, which appears in the sance drones (see § 121.1, Cat. VIII (a))) capa- Finding Aids section of the printed volume ble of delivering at least a 500 kg payload to and at www.govinfo.gov. a range of at least 300 km. 2 At 79 FR 61228, Oct. 10, 2014, § 121.1 was ITEM 2—CATEGORY I amended by removing the word ‘‘enumer- Complete subsystems usable in the sys- ated’’ and adding in its place the word ‘‘de- tems in Item 1 as follows: scribed’’ in one place in Note 1 to paragraph (a) Individual rocket stages (see § 121.1, (i) of Category VI; however, the amendment Cat. IV(h)); could not be incorporated because of inac- (b) Reentry vehicles (see § 121.1, Cat. IV(g)), curate amendatory instruction. and equipment designed or modified there- for, as follows, except as provided in Note (1) EFFECTIVE DATE NOTE: At 84 FR 45654, Aug. below for those designed for non-weapon pay- 30, 2019, § 121.1 was amended by revising para- loads; graph (b) under Category XI, effective Aug. (1) Heat shields and components thereof 30, 2021. For the convenience of the user, the fabricated of ceramic or ablative materials revised text is set forth as follows: (see § 121.1, Cat. IV(f)); (2) Heat sinks and components thereof fab- § 121.1 The United States Munitions List. ricated of light-weight, high heat capacity materials; * * * * * (3) Electronic equipment specially designed for reentry vehicles (see § 121.1, Cat. XI(a)(7)); CATEGORY XI—MILITARY ELECTRONICS (c) Solid or liquid propellant rocket en- gines, having a total impulse capacity of 1.1 × 10 N-sec (2.5 × 10 lb-sec) or greater (see * * * * * § 121.1, Cat. IV, (h)). *(b) Electronic systems or equipment, not (d) ‘‘Guidance sets’’ capable of achieving elsewhere enumerated in this subchapter, system accuracy of 3.33 percent or less of the specially designed for intelligence purposes range (e.g., a CEP of 1 j,. or less at a range that collect, survey, monitor, or exploit the of 300 km), except as provided in Note (1) below for those designed for missiles with a electromagnetic spectrum (regardless of range under 300 km or manned aircraft (see transmission medium), or for counteracting § 121.1, Cat. XII(d)); such activities. (e) Thrust vector control sub-systems, ex- cept as provided in Note (1) below for those * * * * * designed for rocket systems that do not ex- ceed the range/payload capability of Item 1 (see § 121.1, Cat. IV);

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(f) Warhead safing, arming, fuzing, and fir- (2) In Item 3(C), ‘‘interior lining’’ suited for ing mechanisms, except as provided in Note the bond interface between the solid propel- (1) below for those designed for systems lant and the case or insulating liner is usu- other than those in Item 1 (see § 121.1, Cat. ally a liquid polymer based dispersion of re- IV(h)). fractory or insulating materials, e.g., carbon filled HTPB or other polymer with added NOTES TO ITEM 2 curing agents to be sprayed or screeded over (1) The exceptions in (b), (d), (e), and (f) a case interior (see § 121.1, Cat. V(c)). above may be treated as Category II if the (3) In Item 3(c), ‘‘insulation’’ intended to subsystem is exported subject to end use be applied to the components of a rocket statements and quantity limits appropriate motor, i.e., the case, nozzle inlets, case clo- for the excepted end use stated above. sures, includes cured or semi-cured com- (2) CEP (circle of equal probability) is a pounded rubber sheet stock containing an in- measure of accuracy, and defined as the ra- sulating or refractory material. It may also dius of the circle centered at the target, at a be incorporated as stress relief boots or specific range, in which 50 percent of the flaps. payloads impact. (4) The only servo valves and pumps cov- (3) A ‘‘guidance set’’ integrates the process ered in (e) above, are the following: of measuring and computing a vehicle’s posi- (i) Servo valves designed for flow rates of tion and velocity (i.e., navigation) with that 24 liters per minute or greater, at an abso- of computing and sending commands to the lute pressure of 7,000 kPa (1,000 psi) or great- vehicle’s flight control systems to correct er, that have an actuator response time of the trajectory. less than 100 msec; (4) Examples of methods of achieving (ii) Pumps, for liquid propellants, with thrust vector control which are covered by shaft speeds equal to or greater than 8,000 (e) include: RPM or with discharge pressures equal to or (i) Flexible nozzle; greater than 7,000 kPa (1,000 psi). (ii) Fluid or secondary gas injection; (5) Item 3(e) systems and components may (iii) Movable engine or nozzle; Deflection be exports as part of a satellite. of exhaust gas stream (jet vanes or probes); or ITEM 4—CATEGORY II (v) Use of thrust tabs. Propellants and constituent chemicals for propellants as follows: ITEM 3—CATEGORY II (a) Propulsive substances: Propulsion components and equipment us- (1) Hydrazine with a concentration of more able in the systems in Item 1, as follows: than 70 percent and its derivatives including (a) Lightweight turbojet and turbofan en- monomethylhydrazine (MMH); gines (including) turbocompound engines) (2) Unsymmetric dimethylhydrazine that are small and fuel efficient (see § 121.1, (UDHM); both Cat. IV(h) and VIII(b)); (3) Ammonium perchlorate; (b) Ramjet/Scramjet/pulse jet/combined (4) Sphercical aluminum powder with par- cycle engines, including devices to regulate ticle of uniform diameter of less than 500 × combustion, and specially designed compo- 10¥6M (500 microns) and an aluminum con- nents therefor (see § 121.1, both Cat. IV(h) and tent of 97 percent or greater; Cat. VIII(b)); (5) Metal fuels in particle sizes less than (c) Rocket motor cases, ‘‘interior lining’’, 500 × 10¥6M (500 microns), whether spherical, ‘‘insulation’’ and nozzles therefor (see § 121.1, atomized, spheriodal, flaked or ground, con- Cat. IV(h) and Cat. V(c)); sisting of 97 percent or more of any of the (d) Staging mechanisms, separation mech- following: zirconium, beryllium, boron, mag- anisms, and interstages therefor (see § 121.1, nesium, zinc, and alloys of these; Cat. IV(c) and (h)); (6) Nitroamines (e) Liquid and slurry propellant (including (cyclotetramethylenetetranitramene (HMX), oxidizers) control systems, and specially de- cyclotrimethylenetrinitramine (RDX); signed components therefor, designed or (7) Percholrates, chlorates or chromates modified to operate in vibration environ- mixed with powdered metals or other high ments of more than 100 g RMS between 20 Hz energy fuel components; and,000 Hz (see § 121.1, Cat. IV(c) and (h)); (8) Carboranes, decaboranes, pentaboranes (f) Hybrid rocket motors and specially de- and derivatives thereof; signed components therefor (see § 121.1, Cat. (9) Liquid oxidizers, as follows: IV(h)). (i) Nitrogen dioxide/dinitrogen tetroxide; (ii) Inhibited Red Fuming Nitric Acid NOTES TO ITEM 3 (IRFNA); (1) Item 3(a) engines may be exported as (iii) Compounds composed of fluorine and part of a manned aircraft or in quantities ap- one or more of other halogens, oxygen or ni- propriate for replacement parts for manned trogen. aircraft. (b) Polymeric substances:

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(1) Hydroxyterminated polybutadiene ITEM 9—CATEGORY II (HTPB); Instrumentation, navigation and direction (2) Glycidylazide polymer (GAP). finding equipment and systems, and associ- (c) Other high energy density propellants ated production and test equipment as fol- such a Boron Slurry having an energy den- lows; and specially designed components and × sity of 40 10 joules/kg or greater. software therefor: (d) Other propellants additives and agents: (a) Integrated flight instrument systems, (1) Bonding agents as follows: which include gyrostabilizers or automatic (i) Tris (1(2methyl)aziridinyl phosphine pilots and integration software therefor; de- oxide (MAPO); signed or modified for use in the systems in (ii) Trimesol 1(2)ethyl)aziridine (HX868, Item 1 (See § 121.1, Category XII(d)); BITA); (b) Gyro-astro compasses and other devices (iii) ‘‘Tepanol’’ (HX878), reaction product of which derive position or orientation by tetraethylenepentamine, acrylonitrile and means of automatically tracking celestial glycidol; bodies or satellites (see § 121.1, Category (iv) ‘‘Tepan’’ (HX879), reaction product of XV(d)); tet enepentamine and acrylonitrile; (c) Accelerometers with a threshold of 0.05 (v) Polyfunctional aziridene amides with g or less, or a linearity error within 0.25 per- isophthalic, trimesic, isocyanuric, or cent of full scale output, or both, which are trimethyladipic backbone also having a designed for use in inertial navigation sys- 2methyl or 2ethyl aziridine group (HX752, tems or in guidance systems of all types (see HX872 and HX877). § 121.1, Category VIII(e) and Category XII (2) Curing agents and catalysts as follows: (d)); (i) Triphenyl bismuth (TPB); (d) All types of gyros usable in the systems in Item 1, with a rated drift rate stability of (ii) Burning rate modifiers as follows: less than 0.5 degree (1 sigma or rms) per hour (iii) Catocene; in a 1 q environment (see § 121.1, Category (iv) Nbutylferrocene; VIII(e) and Category XII(d)); (v) Other ferrocene derivatives. (e) Continuous output accelerometers or (3) Nitrate esters and nitrato plasticizers gyros of any type, specified to function at as follows: acceleration levels greater than 100 g (see (i) 1,2,4butanetriol trinitrate (BTTN). § 121.1, Category XII(d)); (4) Stabilizers as follows: (f) Inertial or other equipment using (i) Nmethylpnitroaniline. accelerometers described by subitems (c) and (e) above, and systems incorporating such ITEM 8—CATEGORY II equipment, and specially designed integra- Structural materials usable in the systems tion software therefor (see § 121.1, Category in Item 1, as follows: VIII (e) and Category XII(d)); (a) Composite structures, laminates, and NOTES TO ITEM 9 manufactures thereof, including resin im- pregnated fibre prepregs and metal coated (1) Items (a) through (f) may be exported as fibre preforms therefor, specially designed part of a manned aircraft or satellite or in for use in the systems in Item 1 and the sub- quantities appropriate for replacement parts systems in Item 2 made either with organix for manned aircraft. matrix or metal matrix utilizing fibrous or (2) In subitem (d): filamentary reinforcements having a specific (i) Drift rate is defined as the time rate of tensile strength greater than 7.62 × 104 m (3 output deviation from the desired output. It × 106 inches) and a specific modules greater consists of random and systematic compo- than 3.18 × 106 m (1.25 × 108 inches), (see nents and is expressed as an equivalent angu- § 121.1, Category IV (f), and Category XIII lar displacement per unit time with respect (d)); to inertial space. (b) Resaturated pyrolized (i.e., carbon-car- (ii) Stability is defined as standard devi- bon) materials designed for rocket systems, ation (1 sigma) of the variation of a par- (see § 121.1 Category IV (f)); ticular parameter from its calibrated value (c) Fine grain recrystallized bulk graphites measured under stable temperature condi- (with a bulk density of at least 1.72 g/cc tions. This can be expressed as a function of measured at 15 degrees C), pyrolytic, or fi- time. brous reinforced graphites useable for rocket nozzles and reentry vehicle nose tips (see ITEM 10—CATEGORY II § 121.1, Category IV (f) and Category XIII; Flight control systems and ‘‘technology’’ (d) Ceramic composites materials (dielec- as follows; designed or modified for the sys- tric constant less than 6 at frequencies from tems in Item 1. 100 Hz to 10,000 MHz) for use in missile (a) Hydraulic, mechanical, electro-optical, radomes, and bulk machinable silicon-car- or electro-mechanical flight control systems bide reinforced unfired ceramic useable for (including fly-by-wire systems), (see § 121.1, nose tips (see § 121.1, Category IV (f)); Category IV (h));

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(b) Attitude control equipment, (see § 121.1, (2) Examples of equipment included in this Category IV, (c) and (h)); Item: (c) Design technology for integration of air (i) Terrain contour mapping equipment; vehicle fuselage, propulsion system and lift- (ii) Scene mapping and correlation (both ing control surfaces to optimize aero- digital and analog) equipment; dynamic performance throughout the flight (iii) Doppler navigation radar equipment; regime of an unmanned air vehicle, (see (iv) Passive interferometer equipment; § 121.1, Category VIII (k)); (v) Imaging sensor equipment (both active (d) Design technology for integration of and passive); the flight control, guidance, and propulsion (3) In subitem (a), laser radar systems em- data into a flight management system for body specialized transmission, scanning, re- optimization of rocket system trajectory, ceiving and signal processing techniques for (see § 121.1, Category IV (i)). utilization of lasers for echo ranging, direc- tion finding and discrimination of targets by NOTE TO ITEM 10 location, radial speed and body reflection Items (a) and (b) may be exported as part characteristics. of a manned aircraft or satellite or in quan- tities appropriate for replacement parts for ITEM 12—CATEGORY II manned aircraft. Launch support equipment, facilities and ITEM 11—CATEGORY II software for the systems in Item 1, as fol- lows: Avionics equipment, ‘‘technology’’ and (a) Apparatus and devices designed or components as follows; designed or modified modified for the handling, control, activa- for use in the systems in Item 1, and spe- tion and launching of the systems in Item 1, cially designed software therefor: (see § 121.1, Category IV(c)); (a) Radar and laser radar systems, includ- (b) Vehicles designed or modified for the ing altimeters (see § 121.1, Category XI(a)(3)); transport, handling, control, activation and (b) Passive sensors for determining bear- launching of the systems in Item 1, (see ings to specific electromagnetic sources (di- § 121.1, Category VII(d)); rection finding equipment) or terrain charac- (c) Telemetering and telecontrol equip- teristics (see § 121.1, Category XI(b) and (d)); ment usable for unmanned air vehicles or (c) Global Positioning System (GPS) or rocket systems, (see § 121.1, Category XI(a)); similar satellite receivers; (d) Precision tracking systems: (1) Capable of providing navigation infor- mation under the following operational con- (1) Tracking systems which use a translb ditions: nv installed on the rocket system or un- (i) At speeds in excess of 515 m/sec (1,000 manned air vehicle in conjunction with ei- nautical miles/hours); and ther surface or airborne references or naviga- (ii) At altitudes in excess of 18 km (60,000 tion satellite systems to provide real-time feet), (see § 121.1, Category XV(d)(2); or measurements of in-flight position and ve- (2) Designed or modified for use with un- locity, (see § 121.1, Category XI(a)); manned air vehicles covered by Item 1 (see (2) Range instrumentation radars including § 121.1, Category XV(d)(4)). associated optical/infrared trackers and the (d) Electronic assemblies and components specially designed software therefor with all specifically designed for military use and op- of the following capabilities (see § 121.1, Cat- eration at temperatures in excess of 125 de- egory XI(a)(3)): grees C, (see § 121.1, Category XI(a)(7)). (i) angular resolution better than 3 milli- (e) Design technology for protection of avi- radians (0.5 mils); onics and electrical subsystems against elec- (ii) range of 30 km or greater with a range tromagnetic pulse (EMP) and electro- resolution better than 10 meters RMS; magnetic interference (EMI) hazards from (iii) velocity resolution better than 3 me- external sources, as follows, (see § 121.1, Cat- ters per second. egory XI (b)). (3) Software which processes post-flight, (1) Design technology for shielding sys- recorded data, enabling determination of ve- tems; hicle position throughout its flight path (see (2) Design technology for the configuration § 121.1, Category IV(i)). of hardened electrical circuits and sub- systems; ITEM 13—CATEGORY II (3) Determination of hardening criteria for Analog computers, digital computers, or the above. digital differential analyzers designed or modified for use in the systems in Item 1 (see NOTES TO ITEM 11 § 121.1, Category XI (a)(6), having either of (1) Item 11 equipment may be exported as the following characteristics: part of a manned aircraft or satellite or in (a) Rated for continuous operation at tem- quantities appropriate for replacement parts perature from below minus 45 degrees C to for manned aircraft. above plus 55 degrees C; or

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(b) Designed as ruggedized or ‘‘radiation traviolet spectra, except when specially used hardened’’. for thermal control of satellites. (c) Specially designed software or data- NOTE TO ITEM 13 bases for analysis of signature reduction. Item 13 equipment may be exported as part (d) Specially designed radar cross section of a manned aircraft or satellite or in quan- measurement systems (see § 121.1, Category tities appropriate for replacement parts for XI(a)(3)). manned aircraft. ITEM 18—CATEGORY II ITEM 14—CATEGORY II Devices for use in protecting rocket sys- Analog-to-digital converters, usable in the tems and unmanned air vehicles against nu- system in Item 1, having either of the fol- clear effects (e.g. Electromagnetic Pulse lowing characteristics: (EMP), X-rays, combined blast and thermal (a) Designed to meet military specifica- effects), and usable for the systems in Item 1, tions for ruggedized equipment (see § 121.1, as follows (see § 121.1, Category IV (c) and Category XI(d)); or, (h)): (b) Designed or modified for military use (a) ‘‘Radiation Hardened’’ ‘‘microcircuits’’ (see § 121.1, Category XI(d)); and being one of and detectors (see § 121.1, Category XI(c)(3) the following types: Note: This commodity has been formally (1) Analog-to-digital converter ‘‘microcir- proposed for movement to category XV(e)(2) cuits,’’ which are ‘‘radiation hardened’’ or in the near future). have all of the following characteristics: (b) Radomes designed to withstand a com- (i) Having a resolution of 8 bits or more; bined thermal shock greater than 1000 cal/sq (ii) Rated for operation in the temperature cm accompanied by a peak over pressure of range from below minus 54 degrees C to greater than 50 kPa (7 pounds per square above plus 125 degrees C; and inch) (see § 121.1, Category IV(h)). (iii) Hermetically sealed. (2) Electrical input type analog-to-digital NOTE TO ITEM 18(a) converter printed circuit boards or modules, with all of the following characteristics: A detector is defined as a mechanical, elec- (i) Having a resolution of 8 bits or more; trical, optical or chemical device that auto- (ii) Rated for operation in the temperature matically identifies and records, or registers range from below minus 45 degrees C to a stimulus such as an environmental change above plus 55 degrees C; and in pressure or temperature, an electrical or (iii) Incorporated ‘‘microcircuits’’ listed in electromagnetic signal or radiation from a (1), above. radioactive material. The following pages were removed from the final ITAR for re- ITEM 16—CATEGORY II placement by DDTC’s updated version § 6(l) Specially designed software, or specially of the Export Administration Act of 1979 (50 designed software with related specially de- U.S.C. App. 2405(l)), as amended. In accord- signed hybrid (combined analog/digital) com- ance with this provision, the list of MTCR puters, for modeling, simulation, or design Annex items shall constitute all items on integration of the systems in Item 1 and the U.S. Munitions List in § 121.16. Item 2 (see § 121.1, Category IV(i) and Cat- [58 FR 39287, July 22, 1993, as amended at 71 egory XI(a)(6)). FR 20539, Apr. 21, 2006; 80 FR 37975, July 2, NOTE TO ITEM 16 2015; 80 FR 78131, Dec. 16, 2015] The modelling includes in particular the aerodynamic and thermodynamic analysis of PART 122—REGISTRATION OF the system. MANUFACTURERS AND EXPORTERS

ITEM 17—CATEGORY II Sec. Materials, devices, and specially designed 122.1 Registration requirements. software for reduced observables such as 122.2 Submission of registration statement. radar reflectivity, ultraviolet/infrared signa- 122.3 Registration fees. tures on acoustic signatures (i.e., stealth technology), for applications usable for the 122.4 Notification of changes in information systems in Item 1 or Item 2 (see § 121.1, Cat- furnished by registrants. egory XIII (e) and (k)), for example: 122.5 Maintenance of records by registrants. (a) Structural material and coatings spe- AUTHORITY: Sections 2 and 38, Pub. L. 90– cially designed for reduced radar reflec- 629, 90 Stat. 744 (22 U.S.C. 2752, 2778); 22 U.S.C. tivity; 2651a; E.O. 13637, 78 FR 16129. (b) Coatings, including paints, specially de- signed for reduced or tailored reflectivity or SOURCE: 58 FR 39298, July 22, 1993, unless emissivity in the microwave, infrared or ul- otherwise noted.

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