[Federal Register Volume 80, Number 86 (Tuesday, May 5, 2015)]
[Proposed Rules]
[Pages 25821-25830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-09673]


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DEPARTMENT OF STATE

22 CFR Part 121

[Public Notice: 9110]
RIN 1400-AD32


Amendment to the International Traffic in Arms Regulations: 
Revision of U.S. Munitions List Category XII

AGENCY: Department of State.

ACTION: Proposed rule.

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SUMMARY: As part of the President's Export Control Reform effort, the 
Department of State proposes to amend the International Traffic in Arms 
Regulations (ITAR) to revise Category XII (fire control, range finder, 
optical and guidance and control equipment) of the U.S. Munitions List 
(USML) to describe more precisely the articles warranting control on 
the USML.

DATES: The Department of State will accept comments on this proposed 
rule until July 6, 2015.

ADDRESSES: Interested parties may submit comments within 60 days of the 
date of publication by one of the following methods:
     Email: DDTCPublicComments@state.gov with the subject line, 
``ITAR Amendment--Category XII.''
     Internet: At www.regulations.gov, search for this notice 
by using this rule's RIN (1400-AD32).

Comments received after that date will be considered if feasible, but 
consideration cannot be assured. Those submitting comments should not 
include any personally identifying information they do not desire to be 
made public or any information for which a claim of confidentiality is 
asserted. All comments and transmittal emails will be made available 
for public inspection and copying after the close of the comment period 
via the Directorate of Defense Trade Controls Web site at 
www.pmddtc.state.gov. Parties who wish to comment anonymously may do so 
by submitting their comments via www.regulations.gov, leaving the 
fields that would identify the commenter blank and including no 
identifying information in the comment itself. Comments submitted via 
www.regulations.gov are immediately available for public inspection.

FOR FURTHER INFORMATION CONTACT: Mr. C. Edward Peartree, Director, 
Office of Defense Trade Controls Policy, Department of State, telephone 
(202) 663-2792; email DDTCPublicComments@state.gov. ATTN: Regulatory 
Change, USML Category XII.

SUPPLEMENTARY INFORMATION: The Directorate of Defense Trade Controls 
(DDTC), U.S. Department of State, administers the International Traffic 
in Arms Regulations (ITAR) (22 CFR parts 120-130). The items subject to 
the jurisdiction of the ITAR, i.e., ``defense articles,'' are 
identified on the ITAR's U.S. Munitions List (USML) (22 CFR 121.1). 
With few exceptions, items not subject to the export control 
jurisdiction of the ITAR are subject to the jurisdiction of the Export 
Administration Regulations (``EAR,'' 15 CFR parts 730-774, which 
includes the Commerce Control List (CCL) in Supplement No. 1 to Part 
774), administered by the Bureau of Industry and Security (BIS), U.S. 
Department of Commerce. Both the ITAR and the EAR impose license 
requirements on exports and reexports. Items not subject to the ITAR or 
to the exclusive licensing jurisdiction of any other set of regulations 
are subject to the EAR. The revisions contained in this rule are part 
of the Department of State's retrospective plan under E.O. 13563 
completed on August 17, 2011. The Department of State's full plan can 
be accessed at http://www.state.gov/documents/organization/181028.pdf.

Revision of Category XII

    This proposed rule revises USML Category XII, covering fire 
control, range finder, optical and guidance and control equipment, to 
advance the national security objectives set forth above and to more 
accurately describe the articles within the category, in order to 
establish a ``bright line'' between the USML and the CCL for the 
control of these articles.
    Paragraph (a) is revised to add subparagraphs (1) through (9) to 
more clearly describe the articles controlled in (a).
    Paragraph (a)(1) is added for fire control systems and equipment.
    Paragraph (a)(2) is added for weapons sights and weapons aiming or 
imaging systems, with certain infrared focal plane arrays, image 
intensifier tubes, ballistic computers, or lasers.
    Paragraph (a)(3) is added for electronic or optical weapon 
positioning, laying, or spotting systems or equipment.
    Paragraph (a)(4) is added for certain laser spot trackers and laser 
spot detectors.
    Paragraph (a)(5) is added for bomb sights and bombing computers.
    Paragraph (a)(6) is added for electro-optical missile or ordnance 
tracking or guidance systems.
    Paragraph (a)(7) is added for electro-optical systems or equipment 
that automatically detect and locate weapons launch or fire.
    Paragraph (a)(8) is added for certain remote wind sensing systems 
or equipment for enhanced targeting.
    Paragraph (a)(9) is added for certain helmet mounted display (HMD) 
systems.
    Paragraph (b) is revised to add subparagraphs (1) through (14) to 
more clearly describe the articles controlled in (b).
    Paragraph (b)(1) is added for laser target designators or coded 
target markers.
    Paragraph (b)(2) is added for certain infrared laser aiming or 
target illumination systems.
    Paragraph (b)(3) is added for certain laser range finders.
    Paragraph (b)(4) is added for certain targeting or target location 
systems.
    Paragraph (b)(5) is added for optical augmentation systems.
    Paragraph (b)(6) is added for certain light detection and ranging 
(LIDAR), laser detection and ranging (LADAR), or range-gated systems 
and includes a carve out for certain LIDAR systems for civil automotive 
applications.
    Paragraph (b)(7) is added for certain synthetic aperture LIDAR or 
LADAR systems.

[[Page 25822]]

    Paragraph (b)(8) is added for LIDAR, LADAR, or other laser range-
gated identified in subparagraphs (i)-(vi).
    Paragraph (b)(9) is added for certain lasers for electronic combat 
systems controlled in Category XI(a)(4).
    Paragraph (b)(10) is added for certain tunable semiconductor 
lasers.
    Paragraph (b)(11) is added for certain non-tunable single 
transverse mode semiconductor lasers.
    Paragraph (b)(12) is added for certain non-tunable multiple 
transverse mode semiconductor lasers.
    Paragraph (b)(13) is added for laser stacked arrays identified in 
subparagraphs (i)-(iv).
    Paragraph (b)(14) is added for developmental lasers funded by the 
Department of Defense.
    Paragraph (c) is revised to add subparagraphs (1) through (21) to 
more clearly describe the articles controlled in (c).
    Paragraph (c)(1) is added for certain second and third generations 
image intensifier tubes (IITs).
    Paragraph (c)(2) is added for certain photon detector, 
microbolometer detector, or multispectral detector infrared focal plane 
arrays (IRFPAs).
    Paragraph (c)(3) is added for certain one-dimensional photon 
detector IRFPAs in a permanent encapsulated sensor assembly.
    Paragraph (c)(4) is added for certain two-dimensional photon 
detector IRFPAs in a permanent encapsulated sensor assembly.
    Paragraph (c)(5) is added for certain microbolometer IRFPAs in a 
permanent encapsulated sensor assembly.
    Paragraph (c)(6) is added for multispectral IRFPAs in a permanent 
encapsulated sensor assembly.
    Paragraph (c)(7) is added for certain charge multiplication focal 
plane arrays.
    Paragraph (c)(8) is added for certain charge multiplication focal 
plane arrays in a permanent encapsulated sensor assembly.
    Paragraph (c)(9) is added for certain integrated IRFPA dewar cooler 
assemblies (IDCAs).
    Paragraph (c)(10) is added for gimbals with two or more axes of 
active stabilization having a minimum root-mean-square (RMS) 
stabilization better (less) than 200 microradians.
    Paragraph (c)(11) is added for gimbals with two or more axes of 
active stabilization having a minimum root-mean-square (RMS) 
stabilization better (less) than 100 microradians.
    Paragraph (c)(12) is added for infrared imaging camera cores 
identified in subparagraphs (i)-(xi). Camera cores meeting the shock 
tolerance criteria described in (c)(12)(ii) are controlled on the USML 
whether or not they are tested to meet these criteria.
    Paragraph (c)(13) is added for binoculars, bioculars, monoculars, 
goggles, or head- or helmet-mounted imaging systems with IITs or camera 
cores controlled in this category.
    Paragraph (c)(14) is added for certain targeting systems.
    Paragraph (c)(15) is added for infrared search and track (IRST) 
systems.
    Paragraph (c)(16) is added for infrared imaging systems identified 
in subparagraphs (i)-(ix).
    Paragraph (c)(17) is added for certain terahertz imaging systems.
    Paragraph (c)(18) is added for near-to-eye display systems or 
equipment, specially designed for articles controlled in this 
subchapter.
    Paragraph (c)(19) is added for systems or equipment that project 
radiometrically calibrated scenes directly into the entrance aperture 
of an electro-optical or infrared (EO/IR) sensor controlled in this 
subchapter within either the spectral band exceeding 10 nm but not 
exceeding 400 nm, or the spectral band exceeding 900 nm but not 
exceeding 30,000 nm.
    Paragraph (c)(20) is added for certain systems or equipment 
incorporating an infrared beacon or emitter specially designed for 
Identification Friend or Foe (IFF) and specially designed parts and 
components therefor.
    Paragraph (c)(21) is added for developmental imaging systems funded 
by the Department of Defense.
    A note is added to paragraph (c) to address the incorporation of 
these defense articles into commercial items. With minor exceptions, 
all bare IRFPAs are controlled in Category XII, paragraph (c)(2). 
However, once an IRFPA has been incorporated into a permanent 
encapsulated sensor assembly, it ceases to be controlled in paragraph 
(c)(2) because it is incorporated into a higher order assembly. The 
permanent encapsulated sensor assembly will be controlled in paragraphs 
(c)(3)-(6), if it meets the control parameters of one of those 
paragraphs. These control parameters are set at a level that the 
Department has determined excludes most commercial products. Further, 
once most IRFPAs and permanent encapsulated sensor assemblies are 
incorporated into a camera core, monocular, or binocular or other 
higher order system, that system will not be subject to the ITAR or 
require authorization from the Department for export, unless it is 
specifically enumerated. Most multi-spectral IRFPAs and IRFPAs with 
charge multiplication are excluded from the note and remain subject to 
the ITAR, even when incorporated into higher order assemblies or end-
items. IRFPA, permanent encapsulated sensor assemblies, camera cores, 
monoculars, binoculars, and other higher order systems not enumerated 
on the USML are generally subject to the EAR.
    Paragraph (d) is revised to move controls on Global Navigation 
Satellite System (GNSS) equipment from Category XV and to add 
subparagraphs (1) through (9) to more clearly describe the articles 
controlled in (d).
    Paragraph (d)(1) is added for certain guidance or navigation 
systems.
    Paragraph (d)(2) is added for certain accelerometers.
    Paragraph (d)(3) is added for certain gyroscopes or angular rate 
sensors.
    Paragraph (d)(4) is added for certain mobile relative gravimeters.
    Paragraph (d)(5) is added for certain mobile gravity gradiometers.
    Paragraph (d)(6) is added for Global Navigation Satellite System 
receiving equipment from Category XV.
    Paragraph (d)(7) is added for certain GNSS anti-jam systems 
employing adaptive antennas.
    Paragraph (d)(8) is added for certain GNSS security devices.
    Paragraph (d)(9) is added for developmental guidance, navigation, 
or control devices, systems or equipment funded by the Department of 
Defense.
    Paragraph (e) is revised to add subparagraphs (1) through (15) to 
more clearly describe the parts and components controlled in (e).
    A significant aspect of this more positive, but not yet tiered, 
proposed USML category is that it does not contain controls on all 
generic parts, components, accessories, and attachments that are 
specifically designed or modified for a defense article, regardless of 
their significance to maintaining a military advantage for the United 
States. Rather, it contains, with a few exceptions, a positive list of 
specific types of parts, components, accessories, and attachments that 
continue to warrant control on the USML. The exceptions pertain to 
those parts, components, accessories, and attachments identified as 
``specially designed.''
    Paragraph (e)(1) is added for specially designed optical sensors 
for electronic combat systems controlled in Category XI(a)(4).
    Paragraph (e)(2) is added for certain image intensifier tube (IIT) 
parts and components identified in subparagraphs (i)-(vii).
    Paragraph (e)(3) is added for certain wafers incorporating 
structures for Read-Out Integrated Circuits (ROICs)

[[Page 25823]]

controlled in (e)(4) or (e)(5) or for IRFPA detectors controlled in 
(c)(2).
    Paragraph (e)(4)is added for ROICs specially designed for IRFPAs.
    Paragraph (e)(5) is added for certain ROICs specially designed for 
a system, camera core, or packaged IRFPA controlled in paragraph (c).
    Paragraph (e)(6) is added for specially designed vacuum packages or 
other sealed enclosures for an IRFPA or IIT controlled in paragraph 
(c).
    Paragraph (e)(7) is added for integrated IRFPA dewar cooler 
assembly (IDCA) parts and components identified in subparagraphs (i)-
(iv).
    Paragraph (e)(8) is added for specially designed IRFPA Joule-
Thomson (JT) self-regulating cryostats.
    Paragraph (e)(9) is added for specially designed infrared lenses, 
mirrors, beam splitters or combiners, filters, and treatments and 
coatings.
    Paragraph (e)(10) is added for specially designed drive, control, 
signal or image processing electronics.
    Paragraph (e)(11) is added for signal processing electronics 
identified in subparagraphs (i)-(iii).
    Paragraph (e)(12) is added for specially designed near-to-eye 
displays.
    Paragraph (e)(13) is added for specially designed resonators, 
receivers, transmitters, modulators, gain media, and drive electronics 
or frequency converters.
    Paragraph (e)(14) is added for two-dimensional infrared scene 
projector emitter arrays (i.e., resistive arrays) that emit infrared 
radiation within the 900 nm to 30,000 nm wavelength range.
    Paragraph (e)(15) is added for classified parts, components, 
accessories, attachments, and associated equipment.
    A note is added to paragraph (e) to address the incorporation of 
these defense articles into commercial items.
    Paragraph (f) is revised to more clearly describe the technical 
data and defense services controlled in paragraph (f).
    Three notes are added to paragraph (f) to address technical data 
and defense services when incorporating defense articles into 
commercial items. Note 1 clarifies that technical data directly related 
to IITs, IRFPAs, integrated IRFPA dewar cooler assemblies and related 
wafers and ROICs controlled in this Category remains USML controlled, 
even when those defense articles are part of a system that is subject 
to the EAR. Note 2 enumerates certain technical data and software that 
are directly related to the defense articles controlled in this 
Category in paragraphs A, B, and C. It also includes a note to 
paragraph A, identifying certain technology that is not technical data. 
Note 3 states that certain technology for the incorporation or 
integration of IRFPAs and IITs in to items subject to the EAR, 
including into permanent encapsulated sensor assemblies, is subject to 
the EAR.
    A new (x) paragraph has been added to USML Category XII, allowing 
ITAR licensing for commodities, software, and technology subject to the 
EAR provided those commodities, software, and technology are to be used 
in or with defense articles controlled in USML Category XII and are 
described in the purchase documentation submitted with the application.
    Finally, articles common to the Missile Technology Control Regime 
(MTCR) Annex and the USML are to be identified on the USML with the 
parenthetical ``(MT)'' at the end of each section containing such 
articles. A separate proposed rule will address the sections in the 
ITAR that include MTCR definitions.
    The following definitions explain and amplify terms used in this 
Category and are provided to assist exporters in understanding the 
scope of the proposed control.
    Charge multiplication is a form of electronic image amplification, 
the generation of charge carriers as a result of an impact ionization 
gain process.
    Focal plane array is a linear or two-dimensional planar layer, or 
combination of planar layers, of individual detector elements, with or 
without readout electronics, which work in the focal plane.

    Note: This definition does not include a stack of single 
detector elements or any two, three, or four element detectors 
provided time delay and integration is not performed within the 
element.

    Image intensifier tube refers to an imaging device that 
incorporates a photoemissive transducer (i.e., photocathode) and 
achieves electron image amplification in the vacuum space.
    Microbolometer is a thermal imaging detector that, as a result of a 
temperature change in the detector caused by the absorption of infrared 
radiation, is used to generate a usable signal.
    Multispectral refers to producing discrete outputs associated with 
more than one spectral band of response.

Request for Comments

    As the U.S. Government works through the proposed revisions to the 
USML, some control parameters are proposed recognizing that they will 
control items in normal commercial use and on the Wassenaar 
Arrangement's Dual Use List. With the thought that multiple 
perspectives would be beneficial to the USML revision process, the 
Department welcomes the assistance of users of the lists and requests 
input on the following:
    (1) A key goal of this rulemaking is to ensure the USML and the CCL 
together control all the items that meet Wassenaar Arrangement 
commitments embodied in Munitions List Categories 5, 11 and 15 (WA-
ML15) and the relevant Dual Use List Categories including the IRFPAs in 
Category 6 (WA-DU 6.A.2). To that end, the public is asked to identify 
any potential lack of coverage brought about by the proposed rules for 
Category XII contained in this notice and the new and revised ECCNs 
published separately by the Department of Commerce when reviewed 
together.
    (2) Another key goal of this rulemaking is to identify items 
proposed for control on the USML or the CCL that are not controlled on 
the Wassenaar Arrangement's Munitions or Dual Use List. The public is 
asked to identify any items proposed for control on the USML that are 
not controlled on the Wassenaar Arrangement's Munitions or Dual Use 
List.
    (3) A third key goal of this rulemaking is to establish a ``bright 
line'' between the USML and the CCL for the control of these materials. 
The public is asked to provide specific examples of control criteria 
that do not clearly describe items that would be defense articles and 
thus do not establish a ``bright line'' between the USML and the CCL.
    (4) Although the proposed revisions to the USML do not preclude the 
possibility that items in normal commercial use would or should be 
ITAR-controlled because, e.g., they provide the United States with a 
critical military or intelligence advantage, the U.S. government does 
not want to inadvertently control items on the ITAR that are in normal 
commercial use. Items that would be controlled on the USML in this 
proposed rule have been identified as possessing parameters or 
characteristics that provide a critical military or intelligence 
advantage. The public is thus asked to provide specific examples of 
items, if any, that would be controlled by the revised USML Category 
XII that are now in normal commercial use. The examples should 
demonstrate actual commercial use, not just potential or theoretical 
use, with supporting documents, as well as foreign availability of such 
items.
    (5) For any criteria the public believes control items in normal 
commercial use, the public is asked to identify parameters or 
characteristics that cover

[[Page 25824]]

items exclusively or primarily in military use.
    (6) For any criteria the public believes control items in normal 
commercial use, the public is asked to identify the multilateral 
controls (such as the Wassenaar Arrangement's Dual Use List), if any, 
for such items, and the consequences of such items being controlled on 
the USML.
    (7) DDTC seeks public comments on each paragraph of the proposed 
USML Category XII. In addition, DDTC specifically seeks public comments 
on the following concepts that are introduced in proposed USML Category 
XII: A) Using integration of an IRFPA into a permanent encapsulated 
sensor assembly as a control parameter; B) using the incorporation of 
an IRFPA into an infrared imaging camera core as a control parameter 
and the definition of camera cores in the note to XII(c)(12); C) the 
weapon shock load control criterion in XII(c)(12)(ii); and D) proposed 
controls on specific technical data in XII(f).

Regulatory Analysis and Notices

Administrative Procedure Act

    The Department of State is of the opinion that controlling the 
import and export of defense articles and services is a foreign affairs 
function of the United States Government and that rules implementing 
this function are exempt from sections 553 (rulemaking) and 554 
(adjudications) of the Administrative Procedure Act (APA). Although the 
Department is of the opinion that this rule is exempt from the 
rulemaking provisions of the APA, the Department is publishing this 
rule with a 60-day provision for public comment and without prejudice 
to its determination that controlling the import and export of defense 
services is a foreign affairs function.

Regulatory Flexibility Act

    Since this rule is exempt from the rulemaking provisions of 5 
U.S.C. 553, it does not require analysis under the Regulatory 
Flexibility Act.

Unfunded Mandates Reform Act of 1995

    This proposed amendment does not involve a mandate that will result 
in the expenditure by State, local, and tribal governments, in the 
aggregate, or by the private sector, of $100 million or more in any 
year and it will not significantly or uniquely affect small 
governments. Therefore, no actions were deemed necessary under the 
provisions of the Unfunded Mandates Reform Act of 1995.

Small Business Regulatory Enforcement Fairness Act of 1996

    This proposed amendment has been found not to be a major rule 
within the meaning of the Small Business Regulatory Enforcement 
Fairness Act of 1996.

Executive Orders 12372 and 13132

    This proposed amendment will not have substantial direct effects on 
the States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. Therefore, in accordance with Executive 
Order 13132, it is determined that this proposed amendment does not 
have sufficient federalism implications to require consultations or 
warrant the preparation of a federalism summary impact statement. The 
regulations implementing Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities do 
not apply to this proposed amendment.

Executive Orders 12866 and 13563

    Executive Orders 13563 and 12866 direct agencies to assess costs 
and benefits of available regulatory alternatives and, if regulation is 
necessary, to select regulatory approaches that maximize net benefits 
(including potential economic, environmental, public health and safety 
effects, distributed impacts, and equity). Executive Order 13563 
emphasizes the importance of quantifying both costs and benefits, of 
reducing costs, of harmonizing rules, and of promoting flexibility. 
This rule has been designated a ``significant regulatory action,'' 
although not economically significant, under section 3(f) of Executive 
Order 12866. Accordingly, the rule has been reviewed by the Office of 
Management and Budget (OMB).

Executive Order 12988

    The Department of State has reviewed the proposed amendment in 
light of Executive Order 12988 to eliminate ambiguity, minimize 
litigation, establish clear legal standards, and reduce burden.

Executive Order 13175

    The Department of State has determined that this rulemaking will 
not have tribal implications, will not impose substantial direct 
compliance costs on Indian tribal governments, and will not preempt 
tribal law. Accordingly, Executive Order 13175 does not apply to this 
rulemaking.

Paperwork Reduction Act

    Following is a listing of approved Department of State collections 
that will be affected by revision of the U.S. Munitions List (USML) and 
the Commerce Control List pursuant to the President's Export Control 
Reform (ECR) initiative. The list of collections and the description of 
the manner in which they will be affected pertains to revision of the 
USML in its entirety, not only to the categories published in this 
rule. In accordance with the Paperwork Reduction Act, the Department of 
State will request comment on these collections from all interested 
persons at the appropriate time. In particular, the Department will 
seek comment on changes to licensing burden based on implementation of 
regulatory changes pursuant to ECR, and on projected changes based on 
continued implementation of regulatory changes pursuant to ECR. The 
information collections are as follows:
    (1) Statement of Registration, DS-2032, OMB No. 1405-0002. The 
Department estimates that between 3,000 and 5,000 of the currently-
registered persons will not need to maintain registration following 
full revision of the USML. This would result in a burden reduction of 
between 6,000 and 10,000 hours annually, based on a revised time burden 
of two hours to complete a Statement of Registration.
    (2) Application/License for Permanent Export of Unclassified 
Defense Articles and Related Unclassified Technical Data, DSP-5, OMB 
No. 1405-0003. The Department estimates that there will be 35,000 fewer 
DSP-5 submissions annually following full revision of the USML. This 
would result in a burden reduction of 35,000 hours annually.
    (3) Application/License for Temporary Import of Unclassified 
Defense Articles, DSP-61, OMB No. 1405-0013. The Department estimates 
that there will be 200 fewer DSP-61 submissions annually following full 
revision of the USML. This would result in a burden reduction of 100 
hours annually.
    (4) Application/License for Temporary Export of Unclassified 
Defense Articles, DSP-73, OMB No. 1405-0023. The Department estimates 
that there will be 800 fewer DSP-73 submissions annually following full 
revision of the USML. This would result in a burden reduction of 800 
hours annually.
    (5) Application for Amendment to License for Export or Import of 
Classified or Unclassified Defense Articles and Related Technical Data, 
DSP-6, -62, -74, -119, OMB No. 1405-

[[Page 25825]]

0092. The Department estimates that there will be 2,000 fewer amendment 
submissions annually following full revision of the USML. This would 
result in a burden reduction of 1,000 hours annually.
    (6) Request for Approval of Manufacturing License Agreements, 
Technical Assistance Agreements, and Other Agreements, DSP-5, OMB No. 
1405-0093. The Department estimates that there will be 1,000 fewer 
agreement submissions annually following full revision of the USML. 
This would result in a burden reduction of 2,000 hours annually.
    (7) Maintenance of Records by Registrants, OMB No. 1405-0111. The 
requirement to actively maintain records pursuant to provisions of the 
ITAR will decline commensurate with the drop in the number of persons 
who will be required to register with the Department pursuant to the 
ITAR. As stated above, the Department estimates that up to 5,000 of the 
currently-registered persons will not need to maintain registration 
following full revision of the USML. This would result in a burden 
reduction of 100,000 hours annually. However, the ITAR does provide for 
the maintenance of records for a period of five years. Therefore, 
persons newly relieved of the requirement to register with the 
Department may still be required to maintain records.

List of Subjects in 22 CFR Part 121

    Arms and munitions, Exports.

    Accordingly, for the reasons set forth above, title 22, chapter I, 
subchapter M, part 121 is proposed to be amended as follows:

PART 121--THE UNITED STATES MUNITIONS LIST

0
1. The authority citation for part 121 continues to read as follows:

    Authority:  Secs. 2, 38, and 71, Pub. L. 90-629, 90 Stat. 744 
(22 U.S.C. 2752, 2778, 2797); 22 U.S.C. 2651a; Pub. L. 105-261, 112 
Stat. 1920; Section 1261, Pub. L. 112-239; E.O. 13637, 78 FR 16129.


Sec.  121.1  [Amended]

0
2. Section 121.1 is amended by removing and reserving paragraph (e) in 
U.S. Munitions List Category VIII.
0
3. Section 121.1 is amended by revising U.S. Munitions List Category 
XII to read as follows:


Sec.  121.1  The United States Munitions List.

* * * * *

Category XII--Fire Control, Range Finder, Optical and Guidance and 
Control Equipment

    *(a) Fire control, weapons sights, aiming, and imaging systems and 
equipment, as follows:
    (1) Fire control systems or equipment, and specially designed parts 
and components therefor;
    (2) Weapon sights, weapon aiming systems or equipment, and weapon 
imaging systems or equipment (e.g., clip-on), with or without an 
integrated viewer, display, or reticle, and incorporating or specially 
designed to incorporate any of the following:
    (i) An infrared focal plane array having a peak response at a 
wavelength exceeding 1,000 nm;
    (ii) An article subject to this subchapter; or
    (iii) A ballistic computer for adjusting the aim point display;
    (3) Electronic or optical weapon positioning, laying, or spotting 
systems or equipment;
    (4) Laser spot trackers or laser spot detection, location or 
imaging systems or equipment, with an operational wavelength shorter 
than 400 nm or longer than 710 nm, and a detection range greater than 
300 m;

    Note to paragraph (a)(4): For controls on LIDAR, see paragraph 
(b)(9) of this category.

    (5) Bomb sights or bombing computers;
    (6) Electro-optical missile or ordnance tracking systems or 
equipment, or electro-optical ordnance guidance systems or equipment;
    (7) Electro-optical systems or equipment that automatically detect 
and locate weapons launch or fire;
    (8) Remote wind-sensing systems or equipment specially designed for 
ballistic-corrected aiming, and specially designed parts and components 
therefor;
    (9) Helmet mounted display (HMD) systems or equipment, 
incorporating optical sights or slewing devices, which include the 
ability to aim, launch, track, or manage munitions, or control infrared 
imaging systems or equipment, other than such items controlled in 
Category VIII, (e.g., Combat Vehicle Crew HMD, Mounted Warrior HMD, 
Integrated Helmet Assembly Subsystem, Drivers Head Tracked Vision 
System).
    *(b) Lasers, and laser systems and equipment, as follows:
    (1) Laser target designators or coded target markers;
    (2) Aiming or target illumination systems or equipment having a 
laser output wavelength exceeding 710 nm;
    (3) Laser rangefinders having any of the following:
    (i) Q-switched laser pulse; or
    (ii) Laser output wavelength exceeding 1,000 nm;
    (4) Targeting or target location systems or equipment incorporating 
or specially designed to incorporate a laser rangefinder controlled in 
paragraph (b)(3) of this category, and incorporating or specially 
designed to incorporate a Global Navigation Satellite System (GNSS), 
guidance or navigation article controlled in paragraph (d) of this 
category (MT if designed or modified for rockets, missiles, SLVs, 
drones, or unmanned aerial vehicle systems capable of delivering at 
least a 500 kg payload to a range of at least 300 km range);
    (5) Systems or equipment that use laser energy with an output 
wavelength exceeding 710 nm to exploit differential target-background 
retroreflectance in order to detect personnel or optical/electro-
optical equipment (e.g., optical augmentation systems);
    (6) Light detection and ranging (LIDAR), laser detection and 
ranging (LADAR), or range-gated systems or equipment, incorporating or 
specially designed to incorporate an article controlled in this 
subchapter (MT if designed or modified for rockets, missiles, SLVs, 
drones, or unmanned aerial vehicle systems capable of delivering at 
least a 500 kg payload to a range of at least 300 km);

    Note to paragraph (b)(6): This paragraph does not control LIDAR 
systems or equipment for civil automotive applications having a 
range limited to 200 m or less.

    (7) Synthetic aperture LIDAR or LADAR systems or equipment, having 
a stand-off range of 100 m or greater (MT if designed or modified for 
rockets, missiles, SLVs, drones, or unmanned aerial vehicle systems 
capable of delivering at least a 500 kg payload to a range of at least 
300 km);
    (8) LIDAR, LADAR, or other laser range-gated systems or equipment, 
as follows (MT if designed or modified for rockets, missiles, SLVs, 
drones, or unmanned aerial vehicle systems capable of delivering at 
least a 500 kg payload to a range of at least 300 km):
    (i) Systems or equipment having a resolution (i.e., ground point 
spacing) of 0.2 m or less (better) from an altitude above ground level 
of greater than 16,500 ft, and incorporating or specially designed to 
incorporate a gimbal-mounted transmitter or beam director, and 
specially designed parts and components therefor;
    (ii) Aircraft systems or equipment having a laser output wavelength 
exceeding 1,000 nm and a detection range exceeding 500 m for an 
obstacle

[[Page 25826]]

with a diameter or width less than or equal to 10 mm (e.g., wire, power 
line);
    (iii) Systems or equipment having an electrical bandwidth of 100 
MHz or greater, and incorporating or specially designed to incorporate 
either a Geiger-mode detector array having at least 32 elements or a 
linear-mode detector array having at least 128 elements;
    (iv) Systems or equipment employing coherent heterodyne or coherent 
homodyne detection techniques, having an angular resolution of less 
(better) than 100 microradians and an operational carrier noise ratio 
(CNR) less than 10;
    (v) Systems or equipment that automatically classify or identify 
submersibles, mines, unexploded ordnance or improvised explosive 
devices (IEDs); or
    (vi) Systems or equipment specially designed for obstacle avoidance 
or autonomous navigation in ground vehicles controlled in Category VII;

    Note to paragraphs (b)(4) and (b)(6) through (8): ``Payload'' is 
the total mass that can be carried or delivered by the specified 
rocket, missile, SLV, drone or unmanned aerial vehicle that is not 
used to maintain flight. For definition of ``range'' as it pertains 
to rocket systems, see note 1 to paragraph (a) of USML Category IV. 
For definition of ``range'' as it pertains to aircraft systems, see 
note to paragraph (a) of USML Category VIII.

    (9) Lasers operating at a wavelength exceeding 3,000 nm that 
provide a modulated output for systems or equipment controlled in 
Category XI(a)(4);
    (10) Tunable semiconductor lasers having an output wavelength 
exceeding 1,400 nm and an output power greater than 1 W;
    (11) Non-tunable single transverse mode semiconductor lasers having 
an output wavelength exceeding 1,510 nm and either an average output 
power or continuous wave (CW) output power greater than 2 W;
    (12) Non-tunable multiple transverse mode semiconductor lasers 
having an output wavelength exceeding 1,900 nm and either an average 
output power or CW output power greater than 2 W;
    (13) Laser stacked arrays as follows:
    (i) Having an output wavelength not exceeding 1,400 nm and a peak 
pulsed power density greater than 3,300 W/cm\2\;
    (ii) Having an output wavelength exceeding 1,400 nm but less than 
1,900 nm and a peak pulsed power density greater than 700 W/cm\2\;
    (iii) Having an output wavelength exceeding 1,900 nm and a peak 
pulsed power density greater than 70 W/cm\2\; or
    (iv) Having an output wavelength exceeding 1,900 nm, and either an 
average output power or CW output power greater than 20W;
    (14) Developmental lasers and laser systems or equipment funded by 
the Department of Defense;

    Note 1 to paragraph (b)(14): This paragraph does not control 
developmental lasers and laser systems or equipment (a) in 
production, (b) determined to be subject to the EAR via a commodity 
jurisdiction determination (see Sec.  120.4 of this subchapter), or 
(c) identified in the relevant Department of Defense contract or 
other funding authorization as being developed for both civil and 
military applications.


    Note 2 to paragraph (b)(14): Note 1 does not apply to defense 
articles enumerated on the U.S. Munitions List, whether in 
production or development.


    Note 3 to paragraph (b)(14): This provision is applicable to 
those contracts or other funding authorizations that are dated XXXX, 
2016, or later.

    *(c) Infrared focal plane arrays, image intensifier tubes, night 
vision, electro-optic, infrared and terahertz systems, equipment and 
accessories, including cameras and cores, as follows:
    (1) Image intensifier tubes (IITs) having a peak response within 
the wavelength range exceeding 400 nm but not exceeding 2,050 nm and 
incorporating either a microchannel plate described in paragraph 
(e)(2)(i) of this category or electron sensing device described in 
paragraph (e)(2)(iv) of this category, as follows, and specially 
designed parts and components therefor:
    (i) Incorporating a multialkali photocathode having a luminous 
sensitivity exceeding 500 microamps per lumen (e.g., GEN 2 IITs);
    (ii) Incorporating a compound semiconductor photocathode having a 
radiant sensitivity exceeding 20 mA/W (e.g., GEN 3 IITs);
    (2) Photon detector, microbolometer detector, or multispectral 
detector infrared focal plane arrays (IRFPAs) having a peak response 
within the wavelength range exceeding 900 nm but not exceeding 30,000 
nm and not integrated into a permanent encapsulated sensor assembly, 
and detector elements therefor;

    Note 1 to paragraph (c)(2): This paragraph does not control lead 
sulfide or lead selenide IRFPAs having a peak response within the 
wavelength range exceeding 1,000 nm but not exceeding 5,000 nm and 
not exceeding 16 detector elements, or pyrolectric IRFPAs with 
detectors composed of any of the following or their variants: 
Triglycine sulphate, lead-lanthanum-zirconium titanate, lithium 
tantalite, polyvinylidene fluoride, or strontium barium niobate.


    Note 2 to paragraph (c)(2):  For controls on readout integrated 
circuits (ROICs), see paragraphs (e)(4) and (e)(5) of this category.

    (3) One-dimensional photon detector IRFPAs described in paragraph 
(c)(2) of this category in a permanent encapsulated sensor assembly, 
having greater than 640 detector elements;
    (4) Two-dimensional photon detector IRFPAs described in paragraph 
(c)(2) of this category in a permanent encapsulated sensor assembly, 
having greater than 256 detector elements;
    (5) Microbolometer IRFPAs described in paragraph (c)(2) of this 
category in a permanent encapsulated sensor assembly, having greater 
than 328,000 detector elements;
    (6) Multispectral IRFPAs in a permanent encapsulated sensor 
assembly, having a peak response in any spectral band within the 
wavelength range exceeding 1,500 nm but not exceeding 30,000 nm;
    (7) Charge multiplication focal plane arrays having greater than 
1,600 elements in any dimension and having a maximum radiant 
sensitivity exceeding 50 mA/W for any wavelength exceeding 760 nm but 
not exceeding 900 nm, and avalanche detector elements therefor;
    (8) Charge multiplication focal plane arrays described in paragraph 
(c)(7) of this category in a permanent encapsulated sensor assembly, 
and avalanche detector elements therefor;
    (9) Integrated IRFPA dewar cooler assemblies (IDCAs), with or 
without an IRFPA, having any of the following:
    (i) Cryocoolers having a cooling source temperature below 218 K and 
a mean-time-to-failure (MTTF) in excess of 3000 hours;
    (ii) Active cold fingers;
    (iii) Variable or dual aperture mechanisms; or
    (iv) Dewars specially designed for articles controlled in 
paragraphs (a), (b), or (c) of this category;
    (10) Gimbals with two or more axes of active stabilization having a 
minimum root-mean-square (RMS) stabilization better (less) than 200 
microradians, and specially designed for articles controlled in this 
subchapter;
    (11) Gimbals with two or more axes of active stabilization having a 
minimum root-mean-square (RMS) stabilization better (less) than 100 
microradians;

    Note to paragraph (c)(11): This paragraph does not control 
gimbals containing only a non-removable camera payload operating 
exclusively in the visible spectrum (i.e., 400 nm to 760 nm).

    (12) Infrared imaging camera cores (e.g., modules, engines, kits), 
and specially designed electronics and

[[Page 25827]]

optics therefor, having any of the following:
    (i) An image intensifier tube described in paragraph (c)(1) of this 
category;
    (ii) Output imagery when subject to more than 20 weapon shock load 
events of 325 g for 0.4 ms and a microbolometer IRFPA having greater 
than 111,000 detector elements;
    (iii) A microbolometer IRFPA described in paragraph (c)(2) of this 
category having greater than 328,000 detector elements, or a 
microbolometer IRFPA described in paragraph (c)(5) of this category;
    (iv) An IDCA described in paragraph (c)(9) of this category, or 
IDCA parts or components described in paragraph (e)(7) of this 
category;
    (v) A one-dimensional photon detector IRFPA described in paragraph 
(c)(2) of this category having a peak response within the wavelength 
range exceeding 900 nm but not exceeding 2,500 nm and greater than 640 
detector elements;
    (vi) A one-dimensional or two-dimensional photon detector IRFPA 
described in paragraph (c)(2) of this category having a peak response 
within the wavelength range exceeding 2,500 nm but not exceeding 30,000 
nm and greater than 256 detector elements;
    (vii) A one-dimensional photon detector IRFPA described in 
paragraph (c)(3) of this category;
    (viii) A two-dimensional photon detector IRFPA described in 
paragraph (c)(2) or (4) of this category having a peak response within 
the wavelength range exceeding 900 nm but not exceeding 2,500 nm, and 
greater than 111,000 detector elements;
    (ix) A two-dimensional photon detector IRFPA described in paragraph 
(c)(4) of this category having a peak response within the wavelength 
range exceeding 2,500 nm but not exceeding 30,000 nm;
    (x) A multispectral infrared focal plane array described in 
paragraph (c)(2) or (6) of this category; or
    (xi) A charge multiplication IRFPA controlled in paragraph (c)(7) 
or (8) of this category;

    Note to paragraph (c)(12): The articles controlled by this 
paragraph have sufficient electronics to enable as a minimum the 
output of an analog or digital signal once power is applied.

    (13) Binoculars, bioculars, monoculars, goggles, or head or helmet-
mounted imaging systems or equipment (including video-based articles 
having a separate near-to-eye display) that incorporate or are 
specially designed to incorporate any of the following, and specially 
designed electronics, optics, and displays therefor:
    (i) An IIT controlled in this category; or
    (ii) An infrared imaging camera core controlled in paragraph 
(c)(12)(i) through (xi) of this category;

    Note to paragraph(c)(13): The articles controlled in this 
paragraph include binoculars, bioculars, monoculars, goggles, or 
head- or helmet-mounted imaging systems or equipment (including 
video-based articles having a separate near-to-eye display) that 
incorporate or are specially designed to incorporate an IRFPA or IIT 
article (e.g., IDCA, IRFPA assembly) and electronics separately.

    (14) Targeting systems or equipment incorporating or specially 
designed to incorporate an article controlled in this category (e.g., 
pods, IBAS, SGFLIR, gunner TIS), and specially designed parts and 
components therefor;
    (15) Infrared search and track (IRST) systems or equipment that 
incorporate or are specially designed to incorporate an article 
controlled in this category, and maintain positional or angular state 
of a target through time, and specially designed parts and components 
therefor;
    (16) Infrared imaging systems or equipment (e.g., fully packaged 
cameras) incorporating or specially designed to incorporate an article 
controlled in this category, as follows, and specially designed 
electronics, optics, and displays therefor:
    (i) Having two or more axes of active stabilization and a minimum 
root-mean-square (RMS) stabilization better (less) than 200 
microradians;
    (ii) Mobile reconnaissance, scout, or surveillance systems or 
equipment providing real-time target location at ranges greater than 5 
km (e.g., LRAS, CIV, HTI, SeeSpot, MMS);
    (iii) Fixed-site reconnaissance, surveillance or perimeter security 
systems or equipment having greater than 640 detector elements in any 
dimension;
    (iv) Combat vehicle, tactical wheeled vehicle, naval vessel, or 
aircraft pilotage systems or equipment having a variable field of view 
or field of regard (e.g., electronic pan or tilt), and either an IRFPA 
article controlled in this subchapter with greater than 640 detector 
elements in any dimension, or an IIT controlled in this category (e.g., 
DAS, DVE, SeaFLIR, PNVS);

    Note to paragraph (c)(16)(iv): This paragraph does not control 
distributed aperture sensors specially designed for civil automotive 
lane departure warning or collision avoidance.

    (v) Multispectral imaging systems or equipment that either 
incorporate a multispectral IRFPA described in paragraph (c)(2) or (6) 
of this category, or classify or identify military or intelligence 
targets or characteristics;
    (vi) Automated missile detection or warning;
    (vii) Hardened to withstand electromagnetic pulse (EMP) or 
chemical, biological, or radiological threats;
    (viii) Incorporating mechanism(s) to reduce signature; or
    (ix) Specially designed for military platforms controlled in USML 
Categories VI, VII or VIII (MT if designed or modified for unmanned 
aerial vehicle systems capable of delivering at least a 500 kg payload 
to a range of at least 300 km);
    (17) Terahertz imaging systems or equipment having a peak response 
in the frequency range exceeding 30 GHz but not exceeding 3000 GHz and 
having a resolution less (better) than 0.5 milliradians at a standoff 
range of 100 m;
    (18) Near-to-eye display systems or equipment, specially designed 
for articles controlled in this subchapter;
    (19) Systems or equipment that project radiometrically calibrated 
scenes directly into the entrance aperture of an electro-optical or 
infrared (EO/IR) sensor controlled in this subchapter within either the 
spectral band exceeding 10 nm but not exceeding 400 nm, or the spectral 
band exceeding 900 nm but not exceeding 30,000 nm; or
    (20) Systems or equipment incorporating an infrared (IR) beacon or 
emitter specially designed for Identification Friend or Foe (IFF), and 
specially designed parts and components therefor;
    (21) Developmental imaging systems or equipment funded by the 
Department of Defense.

    Note 1 to paragraph (c)(21): This paragraph does not control 
imaging systems or equipment (a) in production; (b) determined to be 
subject to the EAR via a commodity jurisdiction determination (see 
Sec.  120.4 of this subchapter), or (c) identified in the relevant 
Department of Defense contract or other funding authorization as 
being developed for both civil and military applications.


    Note 2 to paragraph (c)(21): Note 1 does not apply to defense 
articles enumerated on the U.S. Munitions List, whether in 
production or development.


    Note 3 to paragraph (c)(21): This provision is applicable to 
those contracts or other funding authorizations that are dated XXXX, 
2016, or later.


    Note 1 to paragraph (c): A permanent encapsulated sensor 
assembly (e.g., sealed enclosure, vacuum package) prevents direct 
access to the IRFPA, disassembly of the sensor assembly, and removal 
of the IRFPA without destruction or damage to the IRFPA.



[[Page 25828]]


    Note 2 to paragraph (c): The articles described in paragraphs 
(c)(1) through (5), (c)(7), (c)(8), and (c)(12) other than 
(c)(12)(ix) having greater than 640 detector elements in any 
dimension, and (c)(12)(x) are subject to the EAR when, prior to 
export, reexport, retransfer, or temporary import, they are 
integrated into and included as an integral part of an item subject 
to the EAR, and cannot be removed without destruction or damage to 
the article or render the item inoperable. Articles are not subject 
to the EAR until integrated into the item subject to the EAR. 
Defense articles intended to be integrated, and technical data and 
defense services directly related thereto remain subject to the ITAR 
prior to integration. See paragraph (f) of this category for 
enumerated technical data and software, and specific information 
subject to the EAR.

    (d) Guidance, navigation, and control systems and equipment as 
follows:
    (1) Guidance or navigation systems (e.g., inertial navigation 
systems, inertial measurement units, inertial reference units, attitude 
and heading reference systems) as follows (MT if designed or modified 
for rockets, missiles, SLVs, drones, or unmanned aerial vehicle systems 
capable of a range greater than or equal to 300 km);
    (i) Having a circle of equal probability (CEP) of position error 
rate less (better) than 0.35 nautical miles per hour;
    (ii) Having a heading error or true north determination of less 
(better) than 0.50 mrad secant (latitude) (0.02865 degrees secant 
(latitude)); or
    (iii) Specified to function at linear acceleration levels exceeding 
25 g;

    Note to paragraph (d)(1): For aircraft and unmanned aerial 
vehicle guidance or navigation systems, see USML Category VIII(e). 
For rocket or missile flight control and guidance systems (including 
guidance sets), see USML Category IV(h).

    (2) Accelerometers having a bias stability of less (better) than 20 
[mu]g, a scale factor stability of less (better) than 20 parts per 
million, or capable of measuring greater than 100,000 g (MT if having a 
scale factor repeatability less (better) than 1250 ppm and bias 
repeatability less (better) than 1250 micro g or specified to function 
at acceleration levels greater than 100 g);

    Note 1 to paragraph (d)(2):  For weapon fuze accelerometers, see 
USML Category III(d) or IV(h).


    Note 2 to paragraph (d)(2):  MT designation does not include 
accelerometers that are designed to measure vibration or shock.

    (3) Gyroscopes or angular rate sensors having an angle random walk 
of less (better) than 0.00125 degree per square root hour or having a 
bias stability less (better) than 0.0015 degrees per hour (MT if having 
a rated drift stability of less than 0.5 degrees (1 sigma or rms) per 
hour in a 1 g environment or specified to function at acceleration 
levels greater than 100 g);
    (4) Mobile relative gravimeters, having automatic motion 
compensation, with an in-service accuracy of less (better) than 0.4 
mGal (MT if designed or modified for airborne or marine use and having 
a time to steady-state registration of two minutes or less);
    (5) Mobile gravity gradiometers having an accuracy of less (better) 
than 10 E[ouml]tv[ouml]s squared per radian per second for any 
component of the gravity gradient tensor, and having a spatial gravity 
wavelength resolution of 50 m or less (MT if designed or modified for 
airborne or marine use);

    Note to paragraph (d)(5): ``E[ouml]tv[ouml]s'' is a unit of 
acceleration divided by distance that was used in conjunction with 
the older centimeter-gram-second system of units. The 
E[ouml]tv[ouml]s is defined as 1/1,000,000,000 Galileo (Gal) per 
centimeter.

    (6) Global Navigation Satellite System (GNSS) receiving equipment, 
as follows, and specially designed parts and components therefor:
    (i) Global Navigation Satellite System (GNSS) receiving equipment 
specially designed for military applications (MT if designed or 
modified for airborne applications and capable of providing navigation 
information at speeds in excess of 600 m/s);
    (ii) Global Positioning System (GPS) receiving equipment specially 
designed for encryption or decryption (e.g., Y-Code, M-Code) of GPS 
precise positioning service (PPS) signals (MT if designed or modified 
for airborne applications);
    (iii) GPS receiving equipment specially designed for use with a 
null steering antenna, an electronically steerable antenna, or 
including a null steering antenna designed to reduce or avoid jamming 
signals (MT if designed or modified for airborne applications); or

    Note to paragraph (6)(iii): The articles described in this 
paragraph are subject to the EAR when, prior to export, reexport, 
retransfer, or temporary import, they are integrated into and 
included as an integral part of an item subject to the EAR. Articles 
do not become subject to the EAR until integrated into the item 
subject to the EAR. Export, reexport, retransfer, or temporary 
import of, and technical data and defense services directly related 
to, defense articles intended to be integrated, remain subject to 
the ITAR.

    (iv) GPS receiving equipment specially designed for use with 
rockets, missiles, space launch vehicles (SLVs), drones, or unmanned 
air vehicle systems capable of delivering at least a 500 kg payload to 
a range of at least 300 km (MT);

    Note to paragraph (6)(iv): ``Payload'' is the total mass that 
can be carried or delivered by the specified rocket, missile, SLV, 
drone or unmanned aerial vehicle that is not used to maintain 
flight. For definition of ``range'' as it pertains to rocket 
systems, see note 1 to paragraph (a) of USML Category IV. For 
definition of ``range'' as it pertains to aircraft systems, see note 
to paragraph (a) of USML Category VIII.

    (7) GNSS anti-jam systems employing adaptive antennas that have a 
minimum of four antenna elements, add 35 dB or greater anti-jam margin, 
and produce nulls in the direction of jammers or high-gain beams in the 
direction of satellites at any ranging code frequency;
    (8) GNSS security devices (e.g., Selective Availability Anti-
Spoofing Modules, Security Modules, and Auxiliary Output Chips), 
Selective Availability Anti-Spoofing Module (SAASM), Security Module 
(SM) and Auxiliary Output Chip (AOC) chips; or
    (9) Developmental guidance, navigation, or control devices, systems 
or equipment funded by the Department of Defense (MT if designed or 
modified for rockets, missiles, SLVs, drones, or unmanned aerial 
vehicle systems capable of a range equal to or greater than 300 km);

    Note 1 to paragraph (d)(9): This paragraph does not control 
guidance, navigation, or control, systems, or equipment (a) in 
production, (b) determined to be subject to the EAR via a commodity 
jurisdiction determination (see Sec.  120.4 of this subchapter), or 
(c) identified in the relevant Department of Defense contract or 
other funding authorization as being developed for both civil and 
military applications.


    Note 2 to paragraph (d)(9): Note 1 does not apply to defense 
articles enumerated on the U.S. Munitions List, whether in 
production or development.


    Note 3 to paragraph (d)(9): This provision is applicable to 
those contracts or other funding authorizations that are dated XXXX, 
2016, or later.


    Note 4 to paragraph (d)(9): For definition of ``range'' as it 
pertains to rocket systems, see note 1 to paragraph (a) of USML 
Category IV. For definition of ``range'' as it pertains to aircraft 
systems, see note to paragraph (a) of USML Category VIII.

    (e) Parts, components, accessories, attachments, and associated 
equipment as follows:
    (1) Optical sensors having a spectral filter for systems or 
equipment controlled in USML Category XI(a)(4), or optical sensor 
assemblies that provide threat warning or tracking for systems or 
equipment controlled in Category

[[Page 25829]]

XI(a)(4) and specially designed optics and electronics therefor;
    (2) Image intensifier tube (IIT) parts and components as follows:
    (i) Microchannel plates having a hole pitch (center-to-center 
spacing) of 12 [micro]m or less;
    (ii) Multialkali photocathodes (e.g., S-20 and S-25) having a 
luminous sensitivity exceeding 500 microamps per lumen;
    (iii) III/V compound semiconductor (e.g., GaAs or GaInAs) 
photocathodes and transferred electron photocathodes having a radiant 
sensitivity exceeding 20 mA/W;
    (iv) Electron sensing devices with detectors having a non-binned 
center-to-center spacing less than 100 [micro]m, and either achieving 
charge multiplication within the vacuum space other than by a 
microchannel plate or specially designed for operation with a 
microchannel plate;
    (v) Phosphor screens, including output faceplates, specially 
designed for IITs controlled in this category;
    (vi) Miniature autogated power supplies providing internal sensing 
and control of the photocathode to increase the dynamic range of IITs 
controlled in this category; or
    (vii) Fiber-optic inverters, couplers or tapers specially designed 
for IITs controlled in this category;
    (3) Wafers incorporating structures for either a ROIC controlled in 
paragraph (e)(4) or (5) of this category, or an IRFPA or detector 
elements therefor controlled in paragraph (c)(2) of this category;
    (4) Read-Out Integrated Circuits (ROICs) specially designed for an 
IRFPA controlled in paragraph (c)(2) of this category or detector 
elements therefor, as follows:
    (i) One-dimensional photon detector IRFPA having greater than 640 
detector elements;
    (ii) Two-dimensional photon detector IRFPA having greater than 256 
detector elements;
    (iii) A microbolometer IRFPA having greater than 19,200 elements; 
or
    (iv) Multispectral IRFPA;

    Note to paragraph (e)(4):  ROICs are specially designed for an 
infrared focal plane array detector even if the detector is 
incorporated into an item that is not enumerated on the U.S. 
Munitions List.

    (5) ROICs specially designed for a camera/core/packaged IRFPA 
subject to the controls of this subchapter;
    (6) Vacuum packages or other sealed enclosures for an IRFPA or IIT 
controlled in paragraph (c) of this category specially designed for 
incorporation or integration into an article controlled in paragraphs 
(a), (b), or (c) of this category;
    (7) Integrated IRFPA dewar cooler assembly (IDCA) parts and 
components, as follows:
    (i) Cryocoolers having a cooling source temperature below 218 K and 
a mean-time-to-failure (MTTF) in excess of 3000 hours;
    (ii) Active cold fingers;
    (iii) Variable or dual aperture mechanisms; or
    (iv) Dewars specially designed for articles controlled in 
paragraphs (a), (b) or (c) of this category;
    (8) IRFPA Joule-Thomson (JT) self-regulating cryostats specially 
designed for articles controlled in this subchapter;
    (9) Infrared lenses, mirrors, beam splitters or combiners, filters, 
and treatments and coatings, specially designed for any article 
controlled in this category;
    (10) Drive, control, signal or image processing electronics, 
specially designed for articles controlled in this category;
    (11) Signal processing electronics, attachments or accessories that 
provide:
    (i) Automatic or aided detection and recognition, classification, 
identification or discrimination of military or intelligence items;
    (ii) Multi-sensor fusion other than image blending; or

    Note to paragraph (e)(11)(ii): Multi-sensor fusion refers to 
automatically combining imagery or information from two or more 
sensors, including at least one article controlled in this category, 
to improve classification, identification, or tracking of targets 
relative to any of the individual sensors.

    (iii) Target aim point adjustment;
    (12) Near-to-eye displays specially designed for articles 
controlled in this category;
    (13) Resonators, receivers, transmitters, modulators, gain media, 
and drive electronics or frequency converters specially designed for 
laser systems or equipment controlled in this category;
    (14) Two-dimensional infrared scene projector emitter arrays (i.e., 
resistive arrays) that emit infrared radiation within the 900 nm to 
30,000 nm wavelength range; or
    (15) Any part, component, accessory, attachment, or associated 
equipment, that:
    (i) Is ``classified'';
    (ii) Contains ``classified'' software;
    (iii) Is manufactured using ``classified'' production data; or
    (iv) Is being developed using ``classified'' information.

    Note to paragraph (e)(15): ``Classified'' means classified 
pursuant to Executive Order 13526, or predecessor order, and a 
security classification guide developed pursuant thereto or 
equivalent, or to the corresponding classification rules of another 
government.


    Note to paragraph (e):  The articles described in this paragraph 
are subject to the EAR when, prior to export, reexport, retransfer, 
or temporary import, they are integrated into and included as an 
integral part of an item subject to the EAR, and cannot be removed 
without destruction or damage to the article or render the item 
inoperable. Articles are not subject to the EAR until integrated 
into the item subject to the EAR. Defense articles intended to be 
integrated, and technical data and defense services directly related 
thereto, remain subject to the ITAR prior to integration. See 
paragraph (f) of this category for enumerated technical data and 
software, and specific information subject to the EAR.

    *(f) Technical data (as defined in Sec.  120.10 of this subchapter) 
and defense services (as defined in Sec.  120.9 of this subchapter) 
directly related to the defense articles enumerated in paragraphs (a) 
through (e) of this category. (See Sec.  125.4 of this subchapter for 
exemptions.) (MT for technical data and defense services related to 
articles designated as such.)

    Note 1 to paragraph (f): Technical data and defense services 
directly related to image intensifier tubes and specially designed 
parts and components therefor controlled in paragraph (c)(1) of this 
category, infrared focal plane arrays (IRFPAs) and detector elements 
therefor controlled in paragraph (c)(2) of this category, integrated 
IRFPA dewar cooler assemblies (IDCAs) controlled in paragraph (c)(9) 
of this category, wafers incorporating IRFPA or ROIC structures 
controlled in paragraph (e)(3) of this category, and specially 
designed readout integrated circuits (ROICs) controlled in 
paragraphs (e)(4) and (5) of this category, remain subject to the 
ITAR even if the technical data or defense services could also apply 
to items subject to the EAR.


    Note 2 to paragraph (f): Software and technical data include:
    A. Design or manufacturing process descriptions (e.g., steps, 
sequences, conditions, parameters) for lasers described in 
paragraphs (b)(6) and (b)(9) through (13) of this category, IITs 
controlled in paragraph (c)(1) of this category and their parts and 
components controlled in paragraph (e)(2) of this category 
(including tube sealing techniques, interface techniques within the 
vacuum space for photocathodes, microchannel plates, phosphor 
screens, input glass-window faceplates, input or output fiber optics 
(e.g., inverter)), IRFPAs and detector elements therefor controlled 
in paragraph (c)(2) of this category, integrated IRFPA dewar cooler 
assemblies (IDCAs) controlled in paragraph (c)(9) of this category, 
wafers incorporating structures for an IRFPA and detector elements 
therefor controlled in paragraph (c)(2) or structures for ROICs 
controlled in paragraph (e)(4) or (5)

[[Page 25830]]

of this category, and specially designed ROICs controlled in 
paragraphs (e)(4) and (5) of this category (including bonding or 
mating (e.g., hybridization of IRFPA detectors and ROICs), 
prediction or optimization of IRFPAs or ROICs at cryogenic 
temperatures, junction formation, passivation).


    Note to paragraph A of note 2 to paragraph (f):  Technical data 
does not include information directly related to basic operating 
instructions, testing results, incorporating or integrating IRFPAs 
into higher level packaged assemblies not enumerated in this 
category, or external interface control documentation associated 
with such assemblies or assemblies subject to the EAR, provided such 
information does not include design methodology, engineering 
analysis, or manufacturing know-how for a USML controlled IRFPA.

    B. Software that converts an article controlled in this category 
into an item subject to the EAR or an item subject to the EAR into an 
article controlled in this category is directly related to the defense 
article controlled in this category. When a defense article has been 
converted into an item subject to the EAR through software, the 
presence of the software that prevents the item from meeting or 
exceeding a USML control parameter does not make the item subject to 
the ITAR.
    C. EO/IR simulation or projection system software that replicates 
via simulation either the output data or information provided by any 
article controlled in this category, a radiometrically calibrated 
spectral signature of any article controlled in this subchapter, 
volumetric effects of plumes or military operational obscurants, or 
countermeasure effects.

    Note 3 to paragraph (f): Technology for incorporating or 
integrating IRFPAs into permanent encapsulated sensor assemblies 
subject to the EAR, or integrating such assemblies into an item 
subject to the EAR, and integrating IITs into an item subject to the 
EAR, including integrating items subject to the EAR into foreign 
military commodities outside the United States, is subject to the 
EAR.

    (g)-(w) [Reserved]
    (x) Commodities, software, and technology subject to the EAR (see 
Sec.  120.42 of this subchapter) used in or with defense articles 
controlled in this category.

    Note to paragraph (x):  Use of this paragraph is limited to 
license applications for defense articles controlled in this 
category where the purchase documentation includes commodities, 
software, or technology subject to the EAR (see Sec.  123.1(b) of 
this subchapter).

* * * * *


Sec.  121.1  [Amended]

0
4. Section 121.1 is amended by removing and reserving paragraph (c) in 
U.S. Munitions List Category XV.

Rose E. Gottemoeller,
Under Secretary, Arms Control and International Security, Department of 
State.
[FR Doc. 2015-09673 Filed 5-4-15; 8:45 am]
 BILLING CODE 4710-25-P