[Federal Register Volume 75, Number 237 (Friday, December 10, 2010)]
[Proposed Rules]
[Pages 76930-76935]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-31158]
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DEPARTMENT OF STATE
22 CFR Part 121
[Public Notice: 7256]
RIN 1400-AC77
Amendment to the International Traffic in Arms Regulations:
Revision of U.S. Munitions List Category VII
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 VII of the U.S. Munitions List.
The proposed rule would revise Category VII (tanks and military
vehicles) to describe more precisely the defense articles described
therein.
DATE: Effective Date: The Department of State will accept comments on
this proposed rule until February 8, 2011.
ADDRESSES: Interested parties may submit comments within 60 days of the
date of the publication by any of the following methods:
E-mail: [email protected] with the subject line,
``Category VII Revision.''
Mail: PM/DDTC, SA-1, 12th Floor, Directorate of Defense
Trade Controls, Office of Defense Trade Controls Policy, ATTN: Category
VII Revision, Bureau of Political Military Affairs, U.S. Department of
State, Washington, DC 20522-0112.
Persons with access to the Internet may also view this
notice by searching for its RIN on the U.S. Government regulations Web
site at http://regulations.gov/index.cfm.
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 that are 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 through 774). The
Bureau of Industry and Security (BIS), U.S. Department of Commerce,
administers the EAR, which include the Commerce Control List (CCL) (15
CFR part 774). The descriptions in many USML categories are general and
include design intent as an element of causing an item to be
controlled. The descriptions in most CCL categories are specific and
generally include technical parameters as an element for causing an
item to be controlled.
Export Control Reform
Both the ITAR and the EAR impose license requirements on exports
and re-exports. Items not subject to the ITAR or to the exclusive
licensing jurisdiction of any other set of regulations are subject to
the EAR. A key part of the Administration's Export Control Reform
effort is to review and revise these two lists of controlled items to
enhance national security so that they: (1) Are ``tiered'' consistent
with the criteria the U.S. Government is establishing to distinguish
the types of items that should be controlled at different levels for
different types of destinations, end-uses, and end-users
(``Criteria''); (2) create a ``bright line'' between the two lists to
clarify jurisdictional determinations and reduce government and
industry uncertainty about whether particular items are subject to the
jurisdiction of the ITAR or the EAR; and (3) are structurally
``aligned'' so that they later can be combined into a single list of
controlled items. The Department will seek public comment on the
``bright line'' methodology by means of a separate Federal Register
notice. In the process of revising the USML, articles will be screened
to determine which items that are currently USML-controlled defense
articles should remain on the USML, which items that are currently USML
controlled defense articles could be controlled under the CCL, and
which items should be subject to the EAR without a specific Export
Control Classification Number (ECCN) on the CCL. This proposed rule
addresses both the need for ``tiering'' Category VII and the need for
establishing a ``bright line'' between the USML and the CCL so that,
after application of this process to the remaining categories of the
USML and meeting the statutory and other requirements of Export Control
Reform, the two lists can be combined into a single list of controlled
items. Prior to the completion of a single U.S. Government control
list, DDTC plans to publish in the existing ITAR a final rule amending
Category VII after it has reviewed and considered all comments received
on this proposed rule, received interagency input and approval, and
satisfied its obligations under section 38(f) of the Arms Export
Control Act. The final rule to be published amending Category VII will
also take in to account and adjust for internal cross-references to
other USML categories that have not yet been reviewed or revised. DDTC
will
[[Page 76931]]
follow the same process described in this Notice with respect to the
remaining USML Categories on a category-by-category basis.
The Department of State has revised Category VII to assign all
controlled defense articles under this category one of the three
control Criteria, that is Tier 1 (T1), Tier 2 (T2), or Tier 3 (T3).
These tier designations were made upon a government-wide assessment of
the appropriate level of export control for each item based upon
different types of destinations, end-uses, and end-users. As other USML
categories are reviewed and revised, the same ``tiering'' structure is
planned to be applied to the remaining USML categories. The scope of
the three tiers is as follows:
1. A Tier 1 control shall apply to:
a. A weapon of mass destruction (WMD);
b. A WMD-capable unmanned delivery system;
c. A plant, facility or item specially designed for producing,
processing, or using:
(i) WMDs;
(ii) Special nuclear materials; or
(iii) WMD-capable unmanned delivery systems; or
d. An item almost exclusively available from the United States that
provides a critical military or intelligence advantage.
2. A Tier 2 control shall apply to an item that is not in Tier 1,
is almost exclusively available from Regime Partners or Adherents and:
a. Provides a substantial military or intelligence advantage; or
b. Makes a substantial contribution to the indigenous development,
production, use, or enhancement of a Tier 1 or Tier 2 item.
3. A Tier 3 control shall apply to an item not in Tiers 1 or 2
that:
a. Provides a significant military or intelligence advantage;
b. Makes a significant contribution to the indigenous development,
production, use, or enhancement of a Tier 1, 2, or 3 item; or
c. Other items controlled for national security, foreign policy, or
human rights reasons.
Tier 1 defense articles are those that are almost exclusively
available from the United States and that provide a critical military
or intelligence advantage.
Tier 2 defense articles are those that are almost exclusively
available from countries that are members of the multilateral export
control regimes that control such items and (i) provide a substantial
military or intelligence advantage, or (ii) make a substantial
contribution to the indigenous development, production, use, or
enhancement of a Tier 1 or Tier 2 item.
Tier 3 defense articles are those that provide a significant
military or intelligence advantage, or make a significant contribution
to the indigenous development, production, use, or enhancement of a
Tier 1, 2, or 3 item.
Additional details on the bright line methodology and the tiering
will be published by a separate Department of State advance notice of
proposed rulemaking which should be used to assist the public in
reviewing the proposed Category VII in this notice.
Regulatory Analysis and Notices
Administrative Procedure Act
This proposed amendment involves a foreign affairs function of the
United States and, therefore, is not subject to the procedures
contained in 5 U.S.C. 553 and 554.
Regulatory Flexibility Act
Since this proposed amendment is not subject to 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 Order 12866
This proposed amendment is exempt from review under Executive Order
12866, but has been reviewed internally by the Department of State to
ensure consistency with the purposes thereof.
Executive Order 12988
The Department of State has reviewed the proposed amendment in
light of sections 3(a) and 3(b)(2) of Executive Order 12988 to
eliminate ambiguity, minimize litigation, establish clear legal
standards, and reduce burden.
Executive Order 13175
The Department of State has determined that this rulemaking will
not have tribal implications, will not impose substantial direct
compliance costs on Indian tribal governments, and will not pre-empt
tribal law. Accordingly, the requirement of Section 5 of Executive
Order 13175 does not apply to this rulemaking.
Paperwork Reduction Act
This proposed amendment does not impose any new reporting or
recordkeeping requirements subject to the Paperwork Reduction Act, 44
U.S.C. chapter 35.
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
1. The authority citation for part 121 will continue to read as
follows:
Authority: Secs. 2, 38, and 71, Pub. L. 90-629, 90 Stat. 744 (22
U.S.C. 2752, 2778, 2797); E.O. 11958, 42 FR 4311; 3 CFR, 1977 Comp.
p. 79; 22 U.S.C. 2651a; Pub. L. 105-261, 112 Stat. 1920.
2. Section 121.1 is amended by revising U.S. Munitions List
Category VII to read as follows:
Sec. 121.1 General. The United States Munitions List.
* * * * *
Category VII--Tanks and Other Military Vehicles
(a) End items, systems, accessories, attachments, equipment, parts,
and components.
(1) Armed, armored, or specialized vehicles, and other military
equipment as follows:
[[Page 76932]]
* (i) (Tier 1) Vehicles ``specially designed'' for deploying
``weapons of mass destruction.''
* (ii) (Tier 1) Vehicles ``specially designed'' to mount or contain
any system designated as Tier 1 from any other Category.
* (iii) Tanks
(A) (Tier 2) Tanks manufactured after 1955 with any of the
following:
(1) 120 mm or larger gun;
(2) A weapon designated as a Tier 2 defense article;
(3) A fire control system or sensors designated as a Tier 2 defense
article;
(4) Armored components or materials designated as Tier 2 defense
articles;
(5) An autoloader or similar assisted loading/round selection;
(6) A hybrid electric propulsion drive system; or
(7) Countermeasures (e.g., radar jamming, infrared tailored smoke,
electromagnetic pulse generator) designated as Tier 2 defense articles.
(B) (Tier 3) Tanks not specified in VII(a)(1)(iii)(A) and built
after 1955.
* (iv) Armored combat vehicles, manufactured after 1955, not
specified in VII(a)(1)(i) through (iii), capable of off-road or
amphibious use, mounting a weapon controlled in Categories II, IV or
XVIII, and that:
(A) (Tier 2) Have any of the following:
(1) A weapon designated as Tier 2;
(2) A fire control system or sensors designated as Tier 2;
(3) Armored components or materials designated as Tier 2 defense
articles; or
(4) A hybrid electric propulsion drive system.
(B) (Tier 3) Is an armored combat vehicle mounting a Category II,
IV, or XVIII weapon, not controlled in VII(a)(1)(iv)(A).
* (v) Armored combat support vehicles (e.g., personnel carriers,
resupply vehicles, recovery vehicles, combat engineer vehicles,
reconnaissance vehicles, bridge launching vehicles, ambulances, and
command and control vehicles), manufactured after 1955, not specified
in VII(a)(1)(i) through (iv), and capable of off-road or amphibious use
as follows:
(A) (Tier 2) Have any of the following:
(1) Sensors or mission equipment designated as Tier 2;
(2) Armored components or materials designated as Tier 2 defense
articles; or
(3) The same chassis/hull as the vehicles specified in
VII(a)(1)(iii)(A) or (iv)(A).
(B) (Tier 3) Combat support vehicles not elsewhere specified in
this Category with armor meeting NIJ Level III or better.
(vi) (Tier 2) Trucks, trailers, or containers with installed
defense articles designated as Tier 2 for command, or communications,
or control, intelligence, or sensor or radar operations, or unmanned
air or ground vehicle control, except for vehicles controlled elsewhere
in this Category or in other Categories.
Note to paragraph (a)(1)(vi): trucks, trailers, or containers
that do not contain defense articles are controlled on the Commerce
Control List.
(vii) Unmanned ground vehicles, except those controlled in
VII(a)(1)(i) through (v), or in other Categories, that:
(A) (Tier 2) Have mission systems, data links, sensors, or other
defense articles designated as Tier 2;
(B) (Tier 2) Mount firearms or other weapons not designated as Tier
1;
(C) (Tier 2) Are capable of off-road or amphibious operation; or
(D) (Tier 3) Is a vehicle otherwise export controlled as a military
vehicle that has been modified for unmanned operation.
Technical Note 1 to paragraph (a)(1)(vii): As used in this
paragraph, unmanned vehicles include vehicles which are fitted with
controls for either manned or unmanned operation.
Technical Note 2 to paragraph (a)(1)(vii): Vehicles in
VII(a)(1)(vii)(D) that provide operation beyond visual control range
are designated for Tier 2 control.
(2) Components, parts, assemblies, and associated equipment for the
end-item vehicles controlled by this Category as follows:
(i) (Tier 2) Control modules/circuits ``specially designed'' for
the electric hybrid propulsion drives for the vehicles specified in
VII(a) of this Category.
(ii) Hulls, turrets or turret rings for armored vehicles as
follows:
(A) (Tier 2) Hulls or turrets incorporating armor controlled in
VII(c)(1), (c)(2), (c)(3)(i), (c)(7), or (c)(8); and turret rings
``specially designed'' for these hulls or turrets.
(B) (Tier 3) Hulls or turrets not controlled in VII(a)(2)(ii)(A)
and associated turret rings.
(iii) Armor systems, components, or parts (e.g., active protection
systems, plates, appliqu[eacute]s, tiles) as follows:
(A) (Tier 1) Developmental armor components or parts.
(B) (Tier 2) Transparent armor components or parts produced from
armor materials controlled in VII(c)(3) as follows:
(1) (Tier 2) Having Em greater than or equal to 1.3; or
(2) Having Em less than 1.3 and meeting NIJ Level III
standards with areal density as follows:
(i) (Tier 2) Less than or equal to 30 pounds per square foot; or
(ii) (Tier 3) Between 30 and 40 pounds per square foot.
(C) (Tier 2) Active protection systems.
(D) (Tier 2) Composite armor components or parts with Em
> 1.4, not controlled in VII(a)(2)(v)(B).
(E) (Tier 2) Spaced armor components or parts, including slat armor
components or parts.
(F) (Tier 2) Reactive armor components or parts.
(G) (Tier 2) Electromagnetic armor components or parts, including
pulsed power components or parts ``specially designed'' for
electromagnetic armor.
Technical Note 1 to paragraph (a)(2)(iii): See Notes to
paragraph (c) for related armor descriptions and definitions.
Technical Note 2 to paragraph (a)(2)(iii): VII(a)(2)(iii) also
includes B kits (add-on armor).
(iv) (Tier 3) Deep water fording kits for the vehicles controlled
in this Category.
(v) (Tier 2) Gun mount, stabilization, elevating systems or the
vehicles controlled in this Category.
(vi) Self-launching bridge components for deployment by the
vehicles designated as Tier 2 in VII(a)(1)(v) as follows:
(A) (Tier 2) Self-launching bridges that are rated above class 60
(as determined IAW SSTANAG2021/QSTAG 180 or equivalent); or
(B) (Tier 3) Self-launching bridges that are rated at or below
class 60.
(vii) (Tier 3) Built-in test equipment (BITE) ``specially
designed'' to evaluate the condition of weapon or other mission systems
for the vehicles designated as Tier 2 or above in this Category. Note:
This control does not apply to BITE that provides diagnostics solely
for a subsystem or component not specifically controlled in this
Category.
(viii) (Tier 2) Suspension components as follows:
(A) Rotary shock absorbers specially designed for vehicles greater
than 30 tons.
(B) Torsion bars ``specially designed'' for vehicles controlled in
VII(a)(1)(iii)(A) having a mass of greater than 50 tons.
(ix) (Tier 2) Kits to convert a vehicle specified in this Category
into either an unmanned or a driver optional vehicle. At minimum, such
a kit includes equipment for remote or autonomous steering,
acceleration and braking and a control system.
(x) (Tier 2) Signature management components or parts ``specially
designed'' to modify the thermal, acoustic, radar or other
electromagnetic signatures of the vehicles in this category. This does
not include
[[Page 76933]]
components or parts commonly used with commercial vehicles (e.g.,
mufflers, resonators, electrical filters/capacitors, acoustic or
thermal insulation).
* (xi) (Tier 2) Gas turbine engines ``specially designed'' for
ground vehicles.
(xii) (Tier 2) Hot section parts or components ``specially
designed'' for the gas turbine engines in VII(a)(2)(xi).
Note 1 to paragraph (a): For controls related to major systems
or subsystems of the vehicles controlled above, see USML Categories
I, II, III, IV, XI, XII, XIII, XIV, XV and XVIII.
Note 2 to paragraph (a): Parts or components are controlled in
this Category only to the extent listed in VII(a)(2). It does not
include any ``part'' as defined in Sec. 121.8(d) of this subchapter
that is not specifically listed. For the purposes of export or
reexport, a parts ``kit'' that contains the unassembled elements of
a component is considered a component.
Note 3 to paragraph (a): Developmental vehicles are controlled
at the highest tier associated with the functions proposed to be
accomplished by that vehicle, and are controlled once the vehicle is
placed in full scale production.
Note 4 to paragraph (a): Vehicles are considered manufactured
after 1955 if, at any time after 1955, any of the following changes
occur:
1. Propulsion upgrade to a formerly gasoline powered armored
vehicle with either diesel or multi-fuel capability.
2. Armor upgrade to employ reactive armor.
3. Fire control upgrade with a digital control system.
4. Addition of laser designator or laser rangefinder.
5. Addition of autoloader or similar assisted loading/round
selection.
6. Increase of gun bore to larger than 90 mm.
7. Conversion to unmanned operation.
Note 5 to paragraph (a): Vehicles manufactured in 1955 or prior
that retain a functional weapon are controlled based on the Category
that controls the weapon.
(b) Test, inspection, and production equipment.
(1) (Tier 2) Production equipment, tooling, and test equipment
``specially designed'' for armored vehicles designated as Tier 2 in
this Category.
(2) (Tier 3) Test or calibration equipment ``specially
designed'' for the articles controlled in this Category.
Note 1 to paragraph (b): For production of major systems or
subsystems, see the controls specific to those items in Categories
II, III, IV, etc., or in the EAR (e.g., Armor plate machining
equipment and tank turret bearing grinding machines are ``subject to
the EAR'' and controlled in ECCN 2B018).
Note 2 to paragraph (b): This control does not apply to test,
inspection and production equipment ``specially designed'' for a
subsystem or component not specifically controlled in this Category.
(c) Materials.
(1) (Tier 1) Developmental armor for the vehicles controlled in
this Category.
(2) (Tier 2) Spaced armor.
(3) Transparent armor containing a transparent crystalline laminate
such as spinel, aluminum oxynitride, or sapphire as follows:
(i) (T2) Having Em greater than or equal to 1.3; or
(ii) Having Em less than 1.3 and meeting NIJ Level III
standards with areal density as follows:
(A) (Tier 2) Less than or equal to 30 pounds per square foot; or
(B) (Tier 3) Between 30 and 40 pounds per square foot.
(4) (Tier 2) Transparent ceramic plate greater than or equal to \1/
2\'' thick and larger than 8'' x 8'', excluding glass, for transparent
armor.
(5) (Tier 3) Transparent ceramic plate greater than \1/4\'' thick
but less than \1/2\'' thick and larger than 8'' x 8'', excluding glass,
for transparent armor.
(6) (Tier 3) Non-transparent ceramic plate or blanks greater than
\1/4\'' thick and larger than 8'' x 8'' for transparent armor. This
includes spinel and aluminum oxynitride (ALON).
(7) (Tier 2) Composite armor with Em > 1.4 and meeting
NIJ Level III or better.
(8) (Tier 3) Metal Laminate Armor with Em > 1.4 and
meeting NIJ Level III or better.
Note 1 to paragraph (c): Composite armor is defined for this
Category as:
1. More than one layer of different materials, or
2. A matrix composite.
Note 2 to paragraph (c): Spaced Armors are metallic or non-
metallic armors that incorporate an air space and/or obliquity or
discontinuous material path effects as part of the defeat mechanism.
Note 3 to paragraph (c): Reactive armor employs explosives,
propellants, or other materials between plates for the purpose of
enhancing plate motion during a ballistic event or otherwise
defeating the penetrator.
Note 4 to paragraph (c): Electromagnetic armor (EMA) employs
electricity to defeat threats such as shaped charges.
Note 5 to paragraph (c): Materials used in composite armor could
include layers of metals, plastics, elastomers, fibers, glass,
ceramics, etc. and ceramic-glass reinforced plastic laminates,
encapsulated ceramics in a metallic or non-metallic matrix,
functionally gradient ceramic-metal materials, ceramic balls in a
cast metal matrix.
Note 6 to paragraph (c): For this Category, a material is
considered transparent if it allows 75% or greater transmission of
light in the visible spectrum through a 1 mm thick nominal sample.
Note 7 to paragraph (c): The material controlled in VII(c)(6)
has not been treated to reach the 75% transmission level referenced
in Note 6.
Note 8 to paragraph (c): Metal laminate armors are two or more
layers of metallic materials which are mechanically or adhesively
bonded together to form an armor system. Em is the line-
of-sight target mass effectiveness and provides a ratio of the
tested armors performance to that of rolled homogenous armor.
Note 9 to paragraph (c): Em is the line-of-sight
target mass effectiveness ratio and provides a measure of the tested
armor's performance to that of rolled homogenous armor, where
Em is defined as follows:
[GRAPHIC] [TIFF OMITTED] TP10DE10.142
Where:
[rho]RHA= density of RHA (7.85 g/cm\2\)
Po = Baseline Penetration of RHA (mm)
Pr = Residual Line of Sight Penetration, either positive or negative
(mm RHA equivalent)
ADTARGET = Line-of-Sight Areal Density of Target (kg/
m\2\).
(d) Software.
(1) (Tier 2) Software ``specially designed'' for the integration or
control of vehicle combat systems or subsystems, both offensive and
defensive, that is not controlled in other Categories. This includes
software that is ``specially designed'' to stabilize weapon motion for
shooting on the move.
* (2) (Tier 2) Software, algorithms, and modules ``specially
designed'' for the design of ballistic armor protection for vehicles
controlled in VII(a)(1)(iii) through (v).
(3) (Tier 2) Software ``specially designed'' for controlling the
gas turbine engines controlled in this Category.
(4) (Tier 2) Software containing the control laws or algorithms for
unmanned ground vehicles controlled in this Category.
(5) (Tier 2) Built-in test and diagnostic software ``specially
designed'' for built-in test equipment controlled in VII(a)(2)(vii).
(6) (Tier 2) Software ``specially designed'' for autonomic
logistics for the vehicles controlled in this Category that are
designated as Tier 2.
* (7) (Tier 1) Software ``specially designed'' for the design,
production, or use of articles controlled in this Category that are
designated as Tier 1.
* (8) (Tier 2) Software ``specially designed'' for the design,
production, or
[[Page 76934]]
use of articles specified in this Category that are designated as Tier
2.
(9) (Tier 2) Software ``specially designed'' for the electric
hybrid propulsion drive control modules/circuits specified in
VII(a)(2)(i) of this Category.
Note paragraph (d): This Category does not control software for
major systems, subsystems, parts or components controlled in other
Categories or that are incorporated into an end item. For controls
of major systems or subsystems of the vehicles controlled under
paragraph (a) of this Category, see USML Categories I, II, III, IV,
VIII, XI, XII, XIII, XIV, XV, and XVIII. See also controls on
related simulation and training items in Category IX.
(e) Technology.
* (1) Design or manufacturing technology ``required'' for the
articles controlled in this Category as follows:
(i) (Tier 1) Design or manufacturing technology ``required'' for
articles controlled in this Category designated as Tier 1.
(ii) (Tier 1) Design or manufacturing technology ``required'' for
armor materials specified in VII(c) and armor systems, components, or
parts specified in VII(a)(2)(iii) of this Category.
(iii) (Tier 1) Design or manufacturing technology ``required'' for
rotary shock absorbers or torsion bars for vehicles specified in
VII(a)(1)(iii)(A) having a mass greater than 50 tons. This includes
design technology ``required'' for the complete suspensions
incorporating the shock absorbers and torsion bars.
(iv) (Tier 1) Design or manufacturing technology ``required'' for
armored vehicle hulls for vehicles designated as Tier 2 or better
controlled in this Category.
(v) (Tier 2) Design or manufacturing technology ``required'' for
articles controlled in this Category and not elsewhere specified.
* (2) Test technology as follows:
(i) (Tier 1) Test technology directly related to defense articles
designated as Tier 1 and controlled in this Category.
(ii) (Tier 1) Test technology directly related to armor materials
specified in VII.C and armor systems, components, or parts specified in
VII(a)(2)(v) of this Category.
(iii) (Tier 1) Test technology directly related to armored vehicle
hull design for vehicles designated as Tier 2 or better controlled in
this Category.
(iv) (Tier 2) Test technology directly related to developmental
vehicles controlled in this Category or to other vehicles designated as
Tier 2 that are controlled in this Category.
(v) (Tier 3) Test technology, not elsewhere specified, directly
related to defense articles controlled in this Category.
(3) Technology ``required'' for the operation, maintenance, and
repair of the vehicles controlled in this Category as follows:
(i) (Tier 1) Technology ``required'' for maintenance or operation
on any defense article designated as Tier 1 and controlled in this
Category.
(ii) (Tier 2) Technology ``required'' for intermediate or depot
level maintenance of any defense article designated as Tier 2 or 3 and
controlled in this Category.
(iii) (Tier 3) Operator or organizational level maintenance or
repair technology ``required'' for any defense article controlled in
this Category.
(iv) (Tier 3) Operation manuals for any defense article controlled
in this Category.
Note to paragraph (e): This Category does not control technology
for major systems or subsystems or subsystems controlled in other
Categories or incorporated into the end item. For controls of major
systems or subsystems of the vehicles specified in (a) of this
Category, see USML Categories I, II, III, IV, VIII, XI, XII, XIII,
XIV, XV, and XVIII. See also controls on related simulation and
training items in Category IX.
(f) Defense services.
* (1) (Tier 1) Providing assistance in the design, development,
production or depot level maintenance on any defense article designated
as Tier 1 in this Category.
* (2) (Tier 2) Providing assistance in the design, development,
production or intermediate or depot level maintenance on any defense
article designated as Tier 2 in this Category.
(3) (Tier 2) Providing training or advice in the tactical
employment of the vehicles designated as Tier 1 or Tier 2 and
controlled in this Category.
(g) Manufacturing or production.
(1) (Tier 1) Granting a right or license to manufacture any defense
article designated as Tier 1 in this Category.
(2) (Tier 1) Granting a right or license to manufacture any defense
article designated as Tier 2 in this Category.
(3) (T2) Granting a right or license to manufacture any defense
article designated as Tier 3, enumerated in VII(a)(1)(iii) through
VII(a)(2)(v) and VII(a)(2)(vii).
(4) (T2) Granting a right or license to manufacture any other
defense article designated as Tier 3 in (a) in this Category.
(h) Defined terms.
(1) Certain terms used in the category:
(i) Specially designed. The term ``specially designed'' means that
the end-item, equipment, accessory, attachment, system, component, or
part (see ITAR Sec. 121.8); or ``software''; has properties that:
(A) Distinguish it for certain predetermined purposes,
(B) Are directly related to the functioning of a defense article,
and
(C) Are used exclusively or predominantly in or with a defense
article identified on the USML.
(ii) Required. As applied to technology, refers to only that
portion of technology which is peculiarly responsible for achieving or
exceeding the controlled performance levels, characteristics or
functions. Such ``required'' technology may be shared by different
products.
(iii) Weapon of mass destruction. Any destructive device or weapon
that is designed or intended to cause death or serious bodily injury
through the release, dissemination, or impact of toxic or poisonous
chemicals, or their precursors, any weapon involving a biological
agent, toxin, or vector, or any weapon that is designed to release
radiation or radioactivity at a level dangerous to human life. This
includes, but is not limited to:
(A) Nuclear explosive devices and their major sub-systems;
(B) Chemicals covered by Schedule I of the Chemical Weapons
Convention; and
(C) Biological agents and biologically derived substances
specifically developed, configured, adapted, or modified for the
purpose of increasing their capability to produce casualties in humans
or livestock, degrade equipment, or damage crops.
(2) Certain terms defined in the Export Administration Regulations
(contained in 15 CFR chapter VII, subchapter C) that may be related to
Category VII:
``Software.'' (Cat: all)--A collection of one or more ``programs''
or ``microprograms'' fixed in any tangible medium of expression.
``Program.'' (Cat 2, 4, and 6)--A sequence of instructions to carry
out a process in, or convertible into, a form executable by an
electronic computer.
``Microprogram.'' (Cat 4 and 5)--A sequence of elementary
instructions, maintained in a special storage, the execution of which
is initiated by the introduction of its reference instruction into an
instruction register.
``Technology.'' (General Technology Note)--Specific information
necessary for the ``development,'' ``production,'' or ``use'' of a
product. The information takes the form of ``technical data'' or
``technical assistance.'' Controlled ``technology'' is defined in the
Commerce Control List (Supplement No. 1 to 15 CFR part 774).
Note: Technical assistance--May take forms such as instruction,
skills training,
[[Page 76935]]
working knowledge, consulting services. ``Technical assistance'' may
involve transfer of ``technical data.''
``Technical data.''--May take forms such as blueprints, plans,
diagrams, models, formulae, tables, engineering designs and
specifications, manuals and instructions written or recorded on
other media or devices such as disk, tape, read-only memories.
Dated: December 1, 2010.
Ellen O. Tauscher,
Under Secretary, Arms Control and International Security, Department of
State.
[FR Doc. 2010-31158 Filed 12-8-10; 4:15 pm]
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