Defense Trade Cooperation Munitions List 2017 (Cth)
Defense Trade Cooperation Munitions List 2017
I, Christina Mathewson, delegate of the Minister for Defence, make the following list.
Dated 27 January 2017
Christina Mathewson
Assistant Secretary
Defence Export Controls
Department of Defence
Contents
Part 1A—Preliminary 1
1............ Name............................................................................................................................. 1
2............ Commencement............................................................................................................. 1
3............ Authority....................................................................................................................... 1
4............ Schedules...................................................................................................................... 1
5............ Definitions..................................................................................................................... 1
Part 1—Articles Eligible for Trade under the Defense Trade Cooperation Treaty 4
Division 1—Munitions 4
6............ Category I—Firearms, Close Assault Weapons and Combat Shotguns........................ 4
7............ Category II—Guns and Armament............................................................................... 5
8............ Category III—Ammunition/Ordnance........................................................................... 6
9............ Category IV—Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines 7
10.......... Category V—Explosives and Energetic Materials, Propellants, Incendiary Agents and Their Constituents 11
11.......... Category VI—Surface Vessels of War and Special Naval Equipment........................ 19
12.......... Category VII—Ground Vehicles................................................................................ 21
13.......... Category VIII—Aircraft and Related Articles............................................................. 24
14.......... Category IX—Military Training Equipment and Training........................................... 28
15.......... Category X—Personal Protective Equipment.............................................................. 29
16.......... Category XI—Military Electronics.............................................................................. 31
17.......... Category XII—Fire Control, Range Finder, Optical and Guidance and Control Equipment 38
18.......... Category XIII—Materials and Miscellaneous Articles................................................ 39
19.......... Category XIV—Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment.................................................................................................................................... 44
20.......... Category XV—Spacecraft Systems and Associated Equipment................................. 48
21.......... Category XVI—Nuclear Weapons Related Articles.................................................... 54
22.......... Category XVII—Classified Articles, Technical Data and Defence Services Not Otherwise Enumerated 54
23.......... Category XVIII—Directed Energy Weapons.............................................................. 54
24.......... Category XIX—Gas Turbine Engines and Associated Equipment............................. 55
25.......... Category XX—Submersible Vessels and Related Articles......................................... 57
Division 2—Missile Technology Control Regime 59
Missile Technology Control Regime.......................................................................................... 59
Item 1—Category I..................................................................................................................... 59
Item 2—Category I..................................................................................................................... 59
Item 3—Category II................................................................................................................... 60
Item 4—Category II................................................................................................................... 60
Item 8—Category II................................................................................................................... 62
Item 9—Category II................................................................................................................... 62
Item 10—Category II................................................................................................................. 63
Item 11—Category II................................................................................................................. 63
Item 12—Category II................................................................................................................. 64
Item 13—Category II................................................................................................................. 64
Item 14—Category II................................................................................................................. 64
Item 15—Category II................................................................................................................. 65
Item 16—Category II................................................................................................................. 65
Item 17—Category II................................................................................................................. 65
Item 18—Category II................................................................................................................. 65
Part 2—Exempted Technologies List 67
Exempted Technologies List....................................................................................................... 67
Schedule 1—Repeals 72
Defense Trade Cooperation Munitions List 2013 72
Part 1A—Preliminary
1 Name
This instrument is the Defense Trade Cooperation Munitions List 2017.
2 Commencement
(1) Each provision of this instrument specified in column 1 of the table commences, or is taken to have commenced, in accordance with column 2 of the table. Any other statement in column 2 has effect according to its terms.
| Commencement information | ||
| Column 1 | Column 2 | Column 3 |
| Provisions | Commencement | Date/Details |
| 1. The whole of this instrument | The day after this instrument is registered. | 1 February 2017 |
Note: This table relates only to the provisions of this instrument as originally made. It will not be amended to deal with any later amendments of this instrument.
(2) Any information in column 3 of the table is not part of this instrument. Information may be inserted in this column, or information in it may be edited, in any published version of this instrument.
3 Authority
This instrument is made under section 36 of the Defence Trade Controls Act 2012.
4 Schedules
Each instrument that is specified in a Schedule to this instrument is amended or repealed as set out in the applicable items in the Schedule concerned, and any other item in a Schedule to this instrument has effect according to its terms.
5 Definitions
In this instrument:
accessories and attachments means associated equipment for any component, end‑item or system, and which are not necessary for their operation, but which enhance their usefulness or effectiveness. (Examples: military riflescopes, special paints, etc.)
component means an item which is useful only when used in conjunction with an end‑item. A major component includes any assembled element which forms a portion of an end‑item without which the end‑item is inoperable. (Example: Airframes, tail sections, transmissions, tank treads, hulls, etc.) A minor component includes any assembled element of a major component.
defence article means any item or technical data designated in this instrument. It does not include basic marketing information on function or purpose or general system descriptions.
defence service means:
(a) the furnishing of assistance (including training) to foreign persons in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarisation, destruction, processing or use of defence articles; or
(b) the furnishing to foreign persons of any technical data controlled under the DTCML; or
(c) military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons by correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice.
end‑item means an assembled article ready for its intended use. Only ammunition, fuel or another energy source is required to place it in an operating state.
firmware and any related unique support tools (such as computers, linkers, editors, test case generators, diagnostic checkers, library of functions and system test diagnostics) specifically designed for equipment or systems covered under any category in this list are considered as part of the end‑item or component. Firmware includes but is not limited to circuits into which software has been programmed.
Missile Technology Control Regime (MTCR) means the policy statement between the United States, the United Kingdom, the Federal Republic of Germany, France, Italy, Canada, and Japan, announced on April 16, 1987, to restrict sensitive missile‑relevant transfers based on the MTCR Annex, and any amendments thereto.
MTCR Annex means the Guidelines and Equipment and Technology Annex of the MTCR, and any amendments thereto.
Note 1: The MTCR Annex is contained in Division 2 of Part 1.
Note 2: If an item in Division 1 of Part 1 uses “(MT)”, the MTCR Annex is applicable to that item.
part means any single unassembled element of a major or a minor component, accessory, or attachment which is not normally subject to disassembly without the destruction or the impairment of design use. (Examples: rivets, wire, bolts, etc.)
software includes but is not limited to the system functional design, logic flow, algorithms, application programs, operating systems and support software for design, implementation, test, operation, diagnosis and repair.
system is a combination of end‑items, components, parts, accessories, attachments, firmware or software, specifically designed, modified or adapted to operate together to perform a specialized military function.
technical data means:
(a) information, other than software, which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defence articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions or documentation;
(b) classified information relating to defence articles and defence services;
(c) information covered by an invention secrecy order;
(d) software directly related to defence articles;
This definition does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or information in the public domain. It also does not include basic marketing information on function or purpose or general system descriptions of defence articles.
United States means the United States of America.
United States Government means the Government of the United States of America.
vessels of war means vessels, waterborne or submersible, designed, modified or equipped for military purposes, including vessels described as developmental, “demilitarised” or decommissioned.
Part 1—Articles Eligible for Trade under the Defense Trade Cooperation Treaty
Division 1—Munitions
6 Category I—Firearms, Close Assault Weapons and Combat Shotguns
(a) Non‑automatic and semi‑automatic firearms to calibre .50 inclusive (12.7 mm).
(b) Fully automatic firearms to .50 calibre inclusive (12.7 mm).
(c) Firearms or other weapons (for example, insurgency‑counterinsurgency, close assault weapons systems) having a special military application regardless of calibre.
(d) Combat shotguns. This includes any shotgun with a barrel length less than 18 inches.
(e) Silencers, mufflers, sound and flash suppressors for the articles in paragraphs (a) to (d) and their specifically designed, modified or adapted components and parts.
(f) Riflescopes manufactured to military specifications.
(g) Barrels, cylinders, receivers (frames) or complete breech mechanisms for the articles in paragraphs (a) to (d).
(h) Components, parts, accessories and attachments for the articles in paragraphs (a) to (g).
(i) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (h).
(j) The following interpretations explain and amplify the terms used in this category and throughout this Part:
(1) a firearm is a weapon not over .50 calibre (12.7 mm) which is designed to expel a projectile by the action of an explosive or which may be readily converted to do so;
(2) a rifle is a shoulder firearm which can discharge a bullet through a rifled barrel 16 inches or longer;
(3) a carbine is a lightweight shoulder firearm with a barrel under 16 inches in length;
(4) a pistol is a hand‑operated firearm having a chamber integral with or permanently aligned with the bore;
(5) a revolver is a hand‑operated firearm with a revolving cylinder containing chambers for individual cartridges;
(6) a submachine gun, “machine pistol” or “machine gun” is a firearm originally designed to fire, or capable of being fired, fully automatically by a single pull of the trigger.
Note 1: Paragraphs (a) to (i) exclude any non‑combat shotgun with a barrel length of 18 inches or longer, BB, pellet, and muzzle loading (black powder) firearms. This category does not cover riflescopes and sighting devices that are not manufactured to military specifications. It also excludes accessories and attachments (for example, belts, slings, after market rubber grips, cleaning kits) for firearms that do not enhance the usefulness, effectiveness, or capabilities of the firearm, components and parts.
Note 2: Paragraph (f)—see Category XII(c) for controls on night sighting devices.
7 Category II—Guns and Armament
(a) Guns over calibre .50, that is 12.7mm, whether towed, airborne, self‑propelled or fixed, including but not limited to the following:
(1) cannons;
(2) grenade launchers;
(3) howitzers;
(4) mortars;
(5) recoilless rifles.
(b) Flame throwers specifically designed or modified for military application.
(c) Apparatus and devices for launching or delivering ordnance other than those articles controlled in category IV.
(d) Kinetic energy weapon systems specifically designed or modified for destruction or rendering mission‑abort of a target.
(e) Signature control materials (for example, parasitic, structural, coatings, screening) techniques, and equipment specifically designed, developed, configured, adapted or modified to alter or reduce the signature (for example, muzzle flash suppression, radar, infrared, visual, laser/electro‑optical, acoustic) of defence articles controlled by this category.
(f) Engines specifically designed or modified for the self‑propelled guns and howitzers in paragraph (a).
(g) Tooling and equipment specifically designed or modified for the production of defence articles controlled by this category.
(h) Test and evaluation equipment and test models specifically designed or modified for the articles controlled by this category. This includes but is not limited to diagnostic instrumentation and physical test models.
(i) Auto‑loading systems for electronic programming of projectile function for the defence articles controlled in this category.
(j) All other components, parts, accessories, attachments and associated equipment specifically designed or modified for the articles in paragraphs (a) to (i). This includes but is not limited to mounts and carriages for the articles controlled in this category.
(k) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (j).
(l) The following interpretations explain and amplify the terms used in this category and elsewhere in this list:
(1) the kinetic energy weapons systems in paragraph (d) include but are not limited to:
(i) launch systems and subsystems capable of accelerating masses larger than 0.1g to velocities in excess of 1.6km/s, in single or rapid fire modes, using methods such as: electromagnetic, electrothermal, plasma, light gas, or chemical;
(ii) prime power generation, electric armour, energy storage, thermal management; conditioning, switching or fuel‑handling equipment; and the electrical interfaces between power supply gun and other turret electric drive function;
(iii) target acquisition, tracking fire control or damage assessment systems; and
(iv) homing seeker, guidance or divert propulsion (lateral acceleration) systems for projectiles;
(2) the articles in this category include any end item, component, accessory, attachment part, firmware, software or system that has been designed or manufactured using technical data and defence services controlled by this category;
(3) the articles specifically designed or modified for military application controlled in this category include any article specifically developed, configured, or adapted for military application.
8 Category III—Ammunition/Ordnance
(a) Ammunition/ordnance for the articles in Categories I and II of the DTCML.
(b) Ammunition/ordnance handling equipment specifically designed or modified for the articles controlled in this category, such as, belting, linking, and de‑linking equipment.
(c) Equipment and tooling specifically designed or modified for the production of defence articles controlled by this category.
(d) Components, parts, accessories, attachments and associated equipment specifically designed or modified for the articles in this category:
(1) guidance and control components for the articles in paragraph (a);
(2) safing, arming and fusing components (including target detection and localisation devices) for the articles in paragraph (a); and
(3) all other components, parts, accessories, attachments and associated equipment for the articles in paragraphs (a) to (c).
(e) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (d).
(f) The following explains and amplifies the terms used in this category and elsewhere in this list:
(1) the components, parts, accessories and attachments controlled in this category include, but are not limited to cartridge cases, powder bags (or other propellant charges), bullets, jackets, cores, shells (excluding shotgun shells), projectiles (including canister rounds and sub‑munitions therefore), boosters, firing components therefore, primers, and other detonating devices for the defence articles controlled in this category;
(2) this category does not control cartridge and shell casings that, prior to export, have been rendered useless beyond the possibility of restoration for use as a cartridge or shell casing by means of heating, flame treatment, mangling, crushing, cutting or popping;
(3) equipment and tooling in paragraph (c) does not include equipment for hand‑loading ammunition;
(4) the articles in this category include any end item, component, accessory, attachment, part, firmware, software, or system that has been designed or manufactured using technical data and defence services controlled by this category;
(5) the articles specifically designed or modified for military application controlled in this category include any article specifically developed, configured, or adapted for military application.
9 Category IV—Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines
(a) Rockets, space launch vehicles (SLVs), missiles, bombs, torpedoes, depth charges, mines, and grenades as follows:
(1) rockets, SLVs and missiles capable of delivering at least a 500 kg payload to a range of at least 300 km (MT);
(2) rockets, SLVs and missiles capable of delivering less than a 500 kg payload to a range of at least 300 km (MT);
(3) man‑portable air defence systems (MANPADS);
(4) anti‑tank missiles and rockets;
(5) rockets, SLVs, and missiles not meeting the criteria of subparagraphs (1) to (4);
(6) bombs;
(7) torpedoes;
(8) depth charges;
(9) anti‑personnel, anti‑vehicle, or anti‑armour land mines (for example, area denial devices);
(10) anti‑helicopter mines;
(11) naval mines;
(l2) fragmentation and high explosive hand grenades.
Note 1: “Range” is the maximum distance that the specified rocket system is capable of travelling in the mode of stable flight as measured by the projection of its trajectory over the surface of the Earth. The maximum capability based on the design characteristics of the system, when fully loaded with fuel or propellant, will be taken into consideration in determining range. The range for rocket systems will be determined independently of any external factors such as operational restrictions, limitations imposed by telemetry, data links, or other external constraints. For rocket systems, the range will be determined using the trajectory that maximises range, assuming International Civil Aviation Organization (ICAO) standard atmosphere with zero wind.
Note 2: “Payload” is the total mass that can be carried or delivered by the specified rocket, SLV, or missile that is not used to maintain flight.
Note 3: This paragraph does not control model and high power rockets and kits thereof made of paper, wood, fibreglass, or plastic containing no substantial metal parts and designed to be flown with hobby rocket motors that are certified for consumer use. Such rockets must not contain active controls (for example, RF, GPS).
Note 4: “Mine” means a munition placed under, on, or near the ground or other surface area and designed to be exploded by the presence, proximity, or contact of a person or vehicle.
(b) Launchers for rockets, SLVs and missiles, as follows:
(1) fixed launch sites and mobile launcher mechanisms for any system enumerated in paragraphs (a)(1) and (2) (MT);
(2) fixed launch sites and mobile launcher mechanisms for any system enumerated in paragraphs (a)(3) to (5) (for example, launch tables, TOW missile, MANPADS).
Note 1: For controls on non‑SLV launcher mechanisms for use on aircraft, see Category VIII(h).
Note 2: For controls on launcher mechanisms that are integrated onto a vessel or ground vehicle, see Categories VI and VII, respectively.
Note 3: This paragraph does not control parts and accessories (for example, igniters, launch stands) specially designed for consumer use with model and high power rockets and kits thereof made of paper, wood, fibreglass, or plastic containing no substantial metal parts and designed to be flown with hobby rocket motors that are certified for consumer use.
(c) Apparatus and devices specially designed for the handling, control, activation, monitoring, detection, projection, discharge, or detonation of the articles in paragraphs (a) and (b) (MT for those systems enumerated in paragraphs (a)(1) and (2), and (b)(1)).
Note 1: This paragraph includes specialised handling equipment (transporters, cranes, and lifts) specially designed to handle articles enumerated in paragraphs (a) and (b) for preparation and launch from fixed and mobile sites. The equipment in this paragraph also includes specially designed robots, robot controllers, and robot end‑effectors, and liquid propellant tanks specially designed for the storage or handling of the propellants controlled in Category V, or other liquid propellants used in the systems enumerated in paragraphs (a)(1), (2) or (5).
Note 2: Aircraft Missile Protection Systems (AMPS) are controlled in Category XI.
(d) Rocket, SLV and missile power plants, as follows:
(1) except as enumerated in subparagraph (2) or (3) of this paragraph, individual rocket stages for the articles enumerated in paragraph (a)(1), (2) or (5) (MT for those stages usable in systems enumerated in paragraphs (a)(1) and (2));
(2) solid propellant rocket motors, hybrid or gel rocket motors, or liquid propellant rocket engines having a total impulse capacity equal to or greater than 1.1 × 106N·s (MT);
(3) solid propellant rocket motors, hybrid or gel rocket motors, or liquid propellant rocket engines having a total impulse capacity equal to or greater than 8.41 × 105N·s, but less than 1.1 × 106N·s (MT);
(4) combined cycle, pulsejet, ramjet, or scramjet engines (MT);
(5) air‑breathing engines that operate above Mach 4 not enumerated in subparagraph (4);
(6) pressure gain combustion‑based propulsion systems not enumerated in subparagraphs (4) and (5);
(7) rocket, SLV, and missile engines and motors, not otherwise enumerated in:
(i) subparagraphs (1) to (6) of this category; or
(ii) Category XIX.
Note: This paragraph does not control model and high power rocket motors, containing no more than 5 pounds of propellant, that are certified for consumer use.
(e) ‑ (f) [Reserved]
(g) Non‑nuclear warheads for rockets, bombs and missiles (for example, explosive, kinetic, EMP, thermobaric, shape charge and fuel air explosive (FAE)).
(h) Systems, subsystems, parts, components, accessories, attachments or associated equipment, as follows:
(1) flight control and guidance systems (including guidance sets) specially designed for articles enumerated in paragraph (a) (MT for those articles enumerated in paragraphs (a)(1) and (2));
(2) seeker systems specially designed for articles enumerated in paragraph (a) (for example, radiofrequency, infrared) (MT for articles enumerated in paragraphs (a)(1) and (2));
(3) kinetic kill vehicles and specially designed parts and components therefor;
(4) missile or rocket thrust vector control systems (MT for those thrust vector control systems usable in articles enumerated in paragraph (a)(1));
(5) MANPADS grip stocks and specially designed parts and components therefor;
(6) rocket or missile nozzles and nozzle throats, and specially designed parts and components therefor (MT for those nozzles and nozzle throats usable in systems enumerated in paragraphs (a)(1) and (2));
(7) rocket or missile nose tips, nose fairings, or aerospikes, and specially designed parts and components therefor (MT for those articles enumerated in subparagraphs (a)(1) and (2));
(8) re‑entry vehicle or warhead heat shields (MT for those re‑entry vehicles and heat shields usable in systems enumerated in subparagraph (a)(1));
(9) missile and rocket safing, arming, fusing, and firing (SAFF) components (to include target detection and proximity sensing devices), and specially designed parts therefor (MT for those SAFF components usable in systems enumerated in paragraph (a)(1));
(10) self‑destruct systems specially designed for articles enumerated in paragraph (a) (MT for those articles enumerated in paragraphs (a)(1) and (2));
(11) separation mechanisms, staging mechanisms, and interstages useable for articles enumerated in paragraph (a), and specially designed parts and components therefor (MT for those separation mechanisms, staging mechanisms, and interstages usable in systems enumerated in subparagraph (a)(1));
(12) post‑boost vehicles (PBV) (MT);
(13) engine or motor mounts specially designed for articles enumerated in paragraphs (a) and (b) (MT for those articles enumerated in paragraphs (a)(1) and (2) and (b)(1));
(14) combustion chambers specially designed for articles enumerated in paragraphs (a) and (d) and specially designed parts and components therefor (MT for those articles enumerated in subparagraphs (a)(1) and (2), (b)(1) and (d)(1) to (5));
(15) injectors specially designed for articles controlled in this category (MT for those injectors specially designed which are usable in systems enumerated in subparagraph (a)(1));
(16) solid rocket motor or liquid engine igniters;
(17) re‑entry vehicles and specially designed parts and components therefor not elsewhere specified in this category (MT);
(18) specially designed parts and components for articles controlled in paragraph (g) not elsewhere specified in this category;
(19) penetration aids and specially designed parts and components therefor (for example, physical or electronic countermeasure suites, re‑entry vehicle replicas or decoys, or submunitions);
(20) rocket motor cases and specially designed parts and components therefor (for example, flanges, flange seals, end domes) (MT for those rocket motor cases usable in systems enumerated in subparagraphs (a)(1) and (2) and for specially designed parts and components for hybrid rocket motors enumerated in subparagraphs (d)(2) and (3));
(21) solid rocket motor liners and rocket motor insulation (MT for those solid rocket motor liners usable in systems enumerated in subparagraph (a)(1) or specially designed for systems enumerated in subparagraph (a)(2); and rocket motor insulation usable in systems enumerated in subparagraphs (a)(1) and (2));
(22) radomes, sensor windows, and antenna windows specially designed for articles enumerated in paragraph (a) (MT for those radomes usable in systems enumerated in subparagraph (a)(1) and for any radomes, sensor windows, or antenna windows manufactured as composite structures or laminates specially designed for use in the systems and components enumerated in:
(i) subparagraph (a)(1) or (2); or
(ii) subparagraph (d)(1); or
(iii) subparagraph (8), (9), (17) or (25) of this paragraph;
(23) rocket or missile payload fairings;
(24) rocket or missile launch canisters (MT for those rocket or missile launch canisters designed or modified for systems enumerated in subparagraphs (a)(1) and (2));
(25) fuses specially designed for articles enumerated in paragraph (a) (for example, proximity, contact, electronic, dispenser proximity, airburst, variable time delay, or multi‑option) (MT for those fuses usable in systems enumerated in subparagraph (a)(1));
(26) rocket or missile liquid propellant tanks (MT for those rocket or missile liquid propellant tanks usable in systems enumerated in subparagraph (a)(1));
(27) rocket or missile altimeters specially designed for use in articles enumerated in subparagraph (a)(1) (MT);
(28) pneumatic, hydraulic, mechanical, electro‑optical, or electromechanical flight control systems (including fly‑by‑wire systems) and attitude control equipment specially designed for use in the rockets or missiles enumerated in subparagraph (a)(1) (MT for these systems which have been designed or modified for those enumerated in subparagraph (a)(1));
(29) umbilical and interstage electrical connectors specially designed for use in the rockets or missiles enumerated in subparagraph (a)(1) or (2) (MT);
(30) any part, component, accessory, attachment, equipment, or system that (MT for those articles designated as such):
(i) is classified; or
(ii) contains classified software directly related to defence articles in this list; or
(iii) is being developed using classified information.
Note 1: Subparagraph (1)—a guidance set integrates the process of measuring and computing a vehicle's position and velocity, that is navigation, with that of computing and sending commands to the vehicle's flight control systems to correct the trajectory.
Note 2: Subparagraph (17)—this subparagraph does not control spacecraft. For controls on spacecraft, see Category XV.
Note 3: Subparagraph (29)—this subparagraph also includes electrical connectors installed between the systems specified in subparagraph (a)(1) or (2) and their payload.
(i) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (h), including classified technical data, and defence services using the classified technical data. Defence services include the furnishing of assistance (including training) to a foreign person in the integration of a satellite or spacecraft to a launch vehicle, including both planning and onsite support, regardless of the jurisdiction, ownership, or origin of the satellite or spacecraft, or whether technical data is used. It also includes the furnishing of assistance (including training) to a foreign person in the launch failure analysis of a launch vehicle, regardless of the jurisdiction, ownership, or origin of the launch vehicle, or whether technical data is used. (MT for technical data and defence services related to articles designated as such.)
(j)‑(w) [Reserved]
(x) Commodities, software, and technical data used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to exports of defence articles controlled in this category where the purchase documentation includes commodities, software, or technical data.
10 Category V—Explosives and Energetic Materials, Propellants, Incendiary Agents and Their Constituents
(a) Explosives, and mixtures thereof, as follows:
(1) ADNBF (aminodinitrobenzofuroxan or 7‑Amino 4,6‑dinitrobenzofurazane‑1‑oxide) (CAS 97096–78–1);
(2) BNCP (cis‑bis (5‑nitrotetrazolato) tetra amine‑cobalt (III) perchlorate) (CAS 117412–28–9);
(3) CL–14 (diamino dinitrobenzofuroxan or 5,7‑diamino‑4,6‑dinitrobenzofurazane‑1‑oxide) (CAS 117907–74–1);
(4) CL–20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285–90‑4) chlathrates of CL–20 (MT for CL‑20);
(5) CP (2‑(5‑cyanotetrazolato) penta aminecobalt (III) perchlorate) (CAS 70247–32–4);
(6) DADE (1,1‑diamino‑2,2‑dinitroethylene, FOX‑7) (CAS 145250–81–3);
(7) DATB (Diaminotrinitrobenzene) (CAS 1630‑08‑6);
(8) DDFP (1,4‑dinitrodifurazanopiperazine);
(9) DDPO (2,6‑diamino‑3,5‑dinitropyrazine‑1‑oxide, PZO) (CAS 194486–77–6);
(10) DIPAM (3,3′‑Diamino‑2,2′,4,4′,6,6′‑hexanitrobiphenyl or dipicramide) (CAS 17215–44–0);
(11) DNAN (2,4‑Dinitroanisole) (CAS 119‑27‑7);
(12) DNGU (DINGU or dinitroglycoluril) (CAS 55510–04–8);
(13) furazans, as follows:
(i) DAAOF (DAAF. DAAFox or diaminoazoxyfurazan);
(ii) DAAzF (diaminoazofurazan) (CAS 78644–90–3);
(iii) ANF (Furazanamine, 4‑nitro‑ or 3‑Amino‑4‑nitrofurazan; or 4‑Nitro‑1,2,5‑oxadiazol‑3‑amine; or 4‑Nitro‑3‑furazanamine; CAS 66328‑69‑6);
(iv) ANAzF (Aminonitroazofurazan or 1,2,5‑Oxadiazol‑3‑amine, 4‑[2‑(4‑nitro‑1,2,5‑oxadiazol‑3‑yl) diazenyl]; or 1,2,5‑Oxadiazol‑3‑amine, 4‑[(4‑nitro‑1,2,5‑oxadiazol‑3‑yl)azo]‑ (9CI); or Furazanamine, 4‑[(nitrofurananyl)azo]‑; or 4‑[(4‑Nitro‑1,2,5‑oxadiazol‑3‑yl)azo]‑1,2,5‑oxadiazol‑3‑amine) (CAS 155438‑11‑2);
(14) GUDN (Guanylurea dinitramide) FOX‑12 (CAS 217464‑38‑5);
(15) HMX and derivatives, as follows:
(i) HMX (Cyclotetramethylenetetranitramine; octahydro‑1,3,5,7‑tetranitro‑1,3,5,7‑tetrazine; 1,3,5,7‑tetranitro‑1,3,5,7‑tetraza‑cyclooctane; octogen, octogene) (CAS 2691–41–0) (MT);
(ii) diflouroaminated analogs of HMX;
(iii) K–55 (2,4,6,8‑tetranitro‑2,4,6,8‑tetraazabicyclo [3,3,0]‑octanone‑3, tetranitrosemiglycouril, or keto‑bicyclic HMX) (CAS 130256‑72–3);
(16) HNAD (hexanitroadamantane) (CAS 143850–71–9);
(17) HNS (hexanitrostilbene) (CAS 20062–22–0);
(18) imidazoles, as follows:
(i) BNNII (Octohydro‑2,5‑bis(nitroimino) imidazo [4,5‑d]Imidazole);
(ii) DNI (2,4‑dinitroimidazole) (CAS 5213–49–0);
(iii) FDIA (1‑fluoro‑2,4‑dinitroimidazole);
(iv) NTDNIA (N‑(2‑nitrotriazolo)‑2,4‑dinitro‑imidazole);
(v) PTIA (1‑picryl‑2,4,5‑trinitroimidazole);
(19) NTNMH (1‑(2‑nitrotriazolo)‑2‑dinitromethylene hydrazine);
(20) NTO (ONTA or 3‑nitro‑1,2,4‑triazol‑5‑one) (CAS 932–64–9);
(21) polynitrocubanes with more than four nitro groups;
(22) PYX (2,6‑Bis(picrylamino)‑3,5‑dinitropyridine) (CAS 38082–89–2);
(23) RDX and derivatives, as follows:
(i) RDX (cyclotrimethylenetrinitramine), cyclonite, T4, hexahydro‑1,3,5‑trinitro‑1,3,5‑triazine, 1,3,5‑trinitro‑1,3,5‑triaza‑cyclohexane, hexogen, or hexogene) (CAS 121–82–4) (MT);
(ii) keto‑RDX (K–6 or 2,4,6‑trinitro‑2,4,6‑triazacyclohexanone (CAS 115029–35–1);
(iii) difluoraminated derivative of RDX; 1,3‑Dinitro‑5,5‑bis(difluoramino)1,3‑diazahexane (CAS 193021‑34‑0);
(24) TAGN (Triaminoguanidinenitrate) (CAS 4000–16–2);
(25) TATB (Triaminotrinitrobenzene) (CAS 3058–38–6);
(26) TEDDZ (3,3,7,7‑tetrakis(difluoroamine) octahydro‑1,5‑dinitro‑1,5‑diazocine;
(27) tetrazines, as follows:
(i) BTAT (Bis(2,2,2‑trinitroethyl)‑3,6‑diaminotetrazine);
(ii) LAX‑112 (3,6‑diamino‑1,2,4,5‑tetrazine‑1,4‑dioxide);
(28) tetrazoles, as follows:
(i) NTAT (nitrotriazolaminotetrazole);
(ii) NTNT (1‑N‑(2‑nitrotriazolo)‑4‑nitrotetrazole);
(29) tetryl (trinitrophenylmethylnitramine) (CAS 479–45–8);
(30) TEX (4,10‑Dinitro‑2,6,8,12‑tetraoxa‑4,10‑diazaisowurtzitane);
(31) TNAD (1,4,5,8‑tetranitro‑1,4,5,8‑tetraazadecalin) (CAS 135877‑16–6);
(32) TNAZ (1,3,3‑trinitroazetidine) (CAS 97645–24–4);
(33) TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510–03–7);
(34) TNP (1,4,5,8‑tetranitro‑pyridazino [4,5‑d] pyridazine) (CAS 229176–04–9);
(35) triazines, as follows:
(i) DNAM (2‑oxy‑4,6‑dinitroamino‑s‑triazine) (CAS 19899–80–0);
(ii) NNHT (2‑nitroimino‑5‑nitro‑hexahydro‑1,3,5 triazine) (CAS 130400–13–4);
(36) triazoles, as follows:
(i) 5‑azido‑2‑nitrotriazole;
(ii) ADHTDN (4‑amino‑3,5‑dihydrazino‑1,2,4‑triazole dinitramide)(CAS 1614–08–0);
(iii) ADNT (1‑amino‑3,5‑dinitro‑1,2,4‑triazole);
(iv) BDNTA (Bis(dinitrotriazole)amine);
(v) DBT (3,3′‑dinitro‑5,5‑bi‑1,2,4‑triazole) (CAS 30003–46–4);
(vi) DNBT (dinitrobistriazole) (CAS 70890–46–9);
(vii) NTDNT (1‑N‑(2‑nitrotriazolo) 3,5‑dinitro‑triazole);
(viii) PDNT (1‑picryl‑3,5‑dinitrotriazole);
(ix) TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243–36–1);
(37) energetic ionic materials melting between 343 K (70°C) and 373 K (100°C) and with detonation velocity exceeding 6800 m/s or detonation pressure exceeding 18 GPa (180 kbar);
(38) explosives not listed elsewhere in paragraph (a) with a detonation velocity exceeding 8,700m/s at maximum density or a detonation pressure exceeding 34 Gpa (340 kbar).
(b) Propellants, as follows (MT for composite and composite modified double‑base propellants):
(1) any solid propellant with a theoretical specific impulse (see paragraph (k)(4)) greater than:
(i) 240 seconds for non‑metallised, non‑halogenated propellant;
(ii) 250 seconds for non‑metallised, halogenated propellant;
(iii) 260 seconds for metallised propellant;
(2) propellants having a force constant of more than 1,200 kJ/kg;
(3) propellants that can sustain a steady‑state burning rate more than 38mm/s under standard conditions (as measured in the form of an inhibited single strand) of 6.89 Mpa (68.9 bar) pressure and 294K (21°C);
(4) elastomer modified cast double based propellants with extensibility at maximum stress greater than 5% at 233 K (−40C);
(5) other composite and composite modified double‑base propellants;
(c) Pyrotechnics, fuels and related substances, and mixtures thereof:
(1) alane (aluminum hydride)(CAS 7784–21–6);
(2) carboranes; decaborane (CAS 17702–41–9); pentaborane and derivatives thereof (MT);
(3) liquid high energy density fuels, as follows (MT):
(i) mixed fuels that incorporate both solid and liquid fuels, such as boron slurry, having a mass‑based energy density of 40 MJ/kg or greater;
(ii) other high energy density fuels and fuel additives (for example, cubane, ionic solutions, JP‑7, JP‑10) having a volume‑based energy density of 37.5 GJ per cubic metre or greater, measured at 20°C and one atmosphere (101.325 kPa) pressure;
(4) metal fuels, and fuel or pyrotechnic mixtures, in particle form whether spherical, atomised, spheroidal, flaked or ground, manufactured from material consisting of 99% or more of any of the following:
(i) metals and mixtures thereof, as follows:
(A) beryllium (CAS 7440–41–7) in particle sizes of less than 60 micrometres (MT);
(B) iron powder (CAS 7439–89–6) with particle size of 3 micrometres or less produced by reduction of iron oxide with hydrogen;
(ii) fuel mixtures of pyrotechnic mixtures, which contain any of the following:
(A) boron (CAS 7440–42–8) or boron carbide (CAS 12069–32–8) fuels of 85% purity or higher and particle sizes of less than 60 micrometres;
(B) zirconium (CAS 7440–67–7), magnesium (CAS 7439–95–4) or alloys of these in particle sizes of less than 60 micrometres;
(iii) explosives and fuels containing the metals or alloys listed in subparagraphs (c)(4)(i) and (ii) whether or not the metals or alloys are encapsulated in aluminum, magnesium, zirconium, or beryllium;
(5) fuel, pyrotechnic, or energetic mixtures having any nanosized aluminium, beryllium, boron, zirconium, magnesium, or titanium, as follows:
(i) having particle size less than 200 nm in any direction;
(ii) having 60% or higher purity;
(6) pyrotechnic and pyrophoric materials, as follows:
(i) pytrotechnic or pyrophoric materials specifically formulated to enhance or control the production of radiated energy in any part of the IR spectrum;
(ii) mixtures of magnesium, polytetrafluoroethylene and the copolymer vinylidene difluoride and hexafluoropropylene (MT);
(7) titanium subhydride (TiHn) of stoichiometry equivalent to n = 0.65–1.68;
(8) hydrocarbon fuels specially formulated for use in flame throwers or incendiary munitions containing metal stearates (for example, octal) or palmitates, and M1, M2 and M3 thickeners.
Note: Subsubparagraph (3)(ii)—JP‑4, JP‑8, fossil refined fuels or biofuels, or fuels for engines certified for use in civil aviation are not included.
(d) Oxidizers, as follows:
(1) ADN (ammonium dinitramide or SR–12) (CAS 140456–78–6) (MT);
(2) AP (ammonium perchlorate) (CAS 7790–98–9) (MT);
(3) BDNPN (bis (2,2‑dinitropropyl) nitrate) (CAS 28464–24–6);
(4) DNAD (1,3‑dinitro‑1,3‑diazetidine) (CAS 78246–06–7);
(5) HAN (Hydroxylammonium nitrate) (CAS 13465–08–2);
(6) HAP (hydroxylammonium perchlorate) (CAS 15588–62–2);
(7) HNF (Hydrazinium nitroformate) (CAS 20773–28–8) (MT);
(8) hydrazine nitrate (CAS 37836–27–4) (MT);
(9) hydrazine perchlorate (CAS 27978–54–7) (MT);
(10) inhibited red fuming nitric acid (IRFNA) (CAS 8007–58–7) and liquid oxidisers comprised of or containing IRFNA or oxygen difluoride (MT for liquid oxidisers comprised of IRFNA);
(11) perchlorates, chlorates, and chromates composited with powdered metal or other high energy fuel components controlled under this category (MT).
(e) Binders, and mixtures thereof, as follows:
(1) AMMO (azidomethylmethyloxetane and its polymers) (CAS 90683–29–7);
(2) BAMO 3‑3 (bis(azidomethyl)oxetane and its polymers) (CAS 17607–20–4);
(3) BTTN (butanetrioltrinitrate) (CAS 6659–60–5) (MT);
(4) FAMAO (3‑difluoroaminomethyl‑3‑azidomethyl oxetane) and its polymers;
(5) FEFO (bis‑(2‑fluoro‑2,2‑dinitroethyl)formal) (CAS 17003–79–1);
(6) GAP (glycidyl azide polymer) (CAS 143178–24–9) and its derivatives (MT for GAP);
(7) HTPB (hydroxyl‑terminated polybutadiene) with a hydroxyl functionality equal to or greater than 2.2 and less than or equal to 2.4, a hydroxyl value of less than 0.77 meq/g, and a viscosity at 30 °C of less than 47 poise (CAS 69102–90–5) (MT);
(8) 4,5 diazidomethyl‑2‑methyl‑1,2,3‑triazole (iso‑DAMTR) (MT);
(9) NENAS (nitratoethylnitramine compounds), as follows:
(i) N‑Methyl 2‑nitratoethylnitramine (Methyl‑NENA) (CAS 17096‑47‑8) (MT);
(ii) N‑Ethyl 2‑nitratoethylnitramine (Ethyl‑NENA) (CAS 85068‑73‑1) (MT);
(iii) N‑Propyl 2‑nitratoethylnitramine (CAS 82486‑83‑7);
(iv) N‑Butyl‑2‑nitratoethylnitramine (BuNENA) (CAS 82486‑82‑6);
(v) N‑Pentyl 2‑nitratoethylnitramine (CAS 85954‑06‑9);
(10) poly‑NIMMO (poly nitratomethylmethyoxetane, poly‑NMMO, (poly[3‑nitratomethyl‑3‑methyl oxetane]) (CAS 84051–81–0);
(11) PNO (Poly(3‑nitratooxetane));
(12) TVOPA 1,2,3‑Tris [1,2‑bis(difluoroamino) ethoxy]propane; tris vinoxy propane adduct; (CAS 53159–39–0);
(13) polynitrorthocarbonates;
(14) FPF–1 (poly‑2,2,3,3,4,4‑hexafluoro pentane‑1,5‑diolformal) (CAS 376–90–9);
(15) FPF–3 (poly‑2,4,4,5,5,6,6‑heptafluoro‑2‑trifluoromethyl‑3‑oxaheptane‑1,7‑diolformal);
(16) PGN (Polyglycidylnitrate or poly(nitratomethyl oxirane); poly‑GLYN); (CAS 27814–48–8);
(17) N‑methyl‑p‑nitroaniline (MT);
(18) low (less than 10,000) molecular weight, alcohol‑functionalised, poly(epichlorohydrin); poly(epichlorohydrindiol); and triol;
(19) dinitropropyl based plasticisers, as follows (MT):
(i) BDNPA (bis (2,2‑dinitropropyl) acetal) (CAS 5108‑69‑0);
(ii) BDNPF (bis (2,2‑dinitropropyl) formal) (CAS 5917‑61‑3).
(f) Additives, as follows:
(1) basic copper salicylate (CAS 62320–94–9);
(2) BHEGA (Bis‑(2‑hydroxyethyl)glycolamide) (CAS 17409–41–5);
(3) BNO (Butadienenitrile oxide);
(4) ferrocene derivatives, as follows (MT):
(i) butacene (CAS 125856–62–4);
(ii) catocene (2,2‑Bis‑ethylferrocenyl propane) (CAS 37206–42–1);
(iii) ferrocene carboxylic acids and ferrocene carboxylic acid esters;
(iv) n‑butylferrocene (CAS 31904–29–7);
(v) ethylferrocene (CAS 1273‑89‑8);
(vi) propylferrocene;
(vii) pentylferrocene (CAS 1274‑00‑6);
(viii) dicyclopentylferrocene;
(ix) dicyclohexylferrocene;
(x) diethylferrocene (CAS 173‑97‑8);
(xi) dipropylferrocene;
(xii) dibutylferrocene (CAS 1274‑08‑4);
(xiii) dihexylferrocene (CAS 93894‑59‑8);
(xiv) acetylferrocene (CAS 1271‑55‑2)/1,1′‑diacetyl ferrocene (CAS 1273‑94‑5);
(xv) other ferrocene derivatives that do not contain a six carbon aromatic functional group attached to the ferrocene molecule (MT if usable as rocket propellant burning rate modifier);
(5) lead beta‑resorcylate (CAS 20936–32–7);
(6) lead citrate (CAS 14450–60–3);
(7) lead‑copper chelates of beta‑resorcylate or salicylates (CAS 68411–07–4);
(8) lead maleate (CAS 19136–34–6);
(9) lead salicylate (CAS 15748–73–9);
(10) lead stannate (CAS 12036–31–6);
(11) MAPO (tris‑1‑(2‑methyl)aziridinyl phosphine oxide) (CAS 57–39–6); BOBBA–8 (bis(2‑methyl aziridinyl) 2‑(2‑hydroxypropanoxy) propylamino phosphine oxide); and other MAPO derivatives (MT for MAPO);
(12) methyl BAPO (Bis(2‑methyl aziridinyl) methylamino phosphine oxide) (CAS 85068–72–0);
(13) 3‑Nitraza‑1,5 pentane diisocyanate (CAS 7406–61–9);
(14) organo‑metallic coupling agents, as follows:
(i) neopentyl[diallyl]oxy, tri [dioctyl] phosphatotitanate (CAS 103850–22–2); also known as titanium IV, 2,2[bis 2‑propenolato‑methyl, butanolato, tris (dioctyl) phosphato] (CAS 110438–25–0), or LICA 12 (CAS 103850–22–2);
(ii) titanium IV, [(2‑propenolato‑1) methyl, n‑propanolatomethyl] butanolato‑1, tris(dioctyl)pyrophosphate, or KR3538;
(iii) titanium IV, [2‑propenolato‑1)methyl, propanolatomethyl] butanolato‑1, tris(dioctyl) phosphate;
(15) PCDE (Polycyanodifluoroaminoethylene oxide);
(16) certain bonding agents, as follows (MT):
(i) 1,1R,1S‑trimesoyl‑tris(2‑ethylaziridine) (HX‑868, BITA) (CAS 7722‑73‑8);
(ii) polyfunctional aziridine amides with isophthalic, trimesic, isocyanuric, or trimethyladipic backbone also having a 2‑methyl or 2‑ethyl aziridine group;
(17) superfine iron oxide (Fe2O3, hematite) with a specific surface area more than 250 m2/g and an average particle size of 0.003 micrometres or less (CAS 1309–37–1);
(18) TEPAN (HX‑879) (tetraethylenepentaamineacrylonitrile) (CAS 68412–45–3); cyanoethylated polyamines and their salts (MT for TEPAN (HX‑879);
(19) TEPANOL (HX‑878) (Tetraethylenepentaamineacrylo‑nitrileglycidol) (CAS 68412–46–4); cyanoethylated polyamines adducted with glycidol and their salts (MT for TEPANOL (HX‑878);
(20) TPB (triphenyl bismuth) (CAS 603–33–8) (MT);
(21) Tris (ethoxyphenyl) bismuth (TEPB) (CAS 90591‑48‑3).
Note: Subsubparagraph (16)(ii)—included are:
(a) 1,1H‑Isophthaloyl‑bis(2‑methylaziridine) (HX‑752) (CAS 7652‑64‑4); and
(b) 2,4,6‑tris(2‑ethyl‑1‑aziridinyl)‑1,3,5‑triazine (HX‑874) (CAS 18924‑91‑9); and
(c) 1,1′‑trimethyladipoylbis(2‑ethylaziridine) (HX‑877) (CAS 71463‑62‑2).
(g) Precursors, as follows:
(1) BCMO (3‑3‑bis(chloromethyl)oxetane) (CAS 78–71–7);
(2) DADN (1,5‑diacetyl‑3,7‑dinitro‑1, 3, 5, 7‑tetraazacyclooctane);
(3) dinitroazetidine‑t‑butyl salt (CAS 125735–38–8);
(4) CL‑20 precursors (any molecule containing hexaazaisowurtzitane) (for example, HBIW (hexabenzylhexaazaisowurtzitane), TAIW (tetraacetyldibenzylhexa‑azaisowurtzitane));
(5) TAT (1, 3, 5, 7‑tetraacetyl‑1, 3, 5, 7‑tetraaza‑cyclooctane) (CAS 41378–98–7);
(6) tetraazadecalin (CAS 5409–42–7);
(7) 1,3,5‑trichorobenzene (CAS 108–70–3);
(8) 1,2,4‑trihydroxybutane (1,2,4‑butanetriol) (CAS 3068–00–6).
(h) Any explosive, propellant, pyrotechnic, fuel, oxidiser, binder, additive, or precursor that (MT for articles designated as such):
(1) is classified; or
(2) is being developed using classified information.
(i) Developmental explosives, propellants, pyrotechnics, fuels, oxidisers, binders, additives, or precursors therefor funded by the United States Government via contract or other funding authorisation.
Note 1: This paragraph does not control explosives, propellants, pyrotechnics, fuels, oxidisers, binders, additives, or precursors therefor:
(a) in production; or
(b) identified in the relevant United States Government contract or other funding authorisation as being developed for both civil and military applications.
Note 2: Note 1 does not apply to defence articles enumerated on this list, whether in production or development.
Note 3: This paragraph applies only to those contracts and funding authorisations that are dated 5 January 2015, or later.
(j) Technical data and defence services directly related to the defence articles described in paragraphs (a) to (i) (MT for articles designated as such).
(k) The following interpretations explain and amplify the terms used in this category and elsewhere in this list:
(1) Category V contains explosives, energetic materials, propellants and pyrotechnics and specially formulated fuels for aircraft, missile and naval applications. Explosives are solid, liquid or gaseous substances or mixtures of substances, which, in their primary, booster or main charges in warheads, demolition or other military applications, are required to detonate;
(2) the resulting product of the combination or conversion of any substance controlled by this category into an item not controlled will no longer be controlled by this category provided the controlled item cannot easily be recovered through dissolution, melting, sieving, etc. As an example, beryllium converted to a near net shape using hot isostatic processes will result in an uncontrolled part. A cured thermoset containing beryllium powder is not controlled unless meeting an explosive or propellant control. The mixture of beryllium powder in a cured thermoset shape is not controlled by this category. The mixture of controlled beryllium powder mixed with a typical propellant binder will remain controlled by this category. The addition of dry silica powder to dry beryllium powder will remain controlled;
(3) subparagraph (c)(4)(ii)(A) does not apply to boron and boron carbide enriched with boron‑10 (20% or more of total boron‑10 content;
(4) theoretical specific impulse (Isp) is calculated using standard conditions (1000 psi chamber pressure expanded to 14.7 psi) and measured in units of pound‑force‑seconds per pound‑mass (lbf‑s/lbm) or simplified to seconds (s). Calculations will be based on shifting equilibrium;
(5) particle size is the mean particle diameter on a weight basis. Best industrial practices will be used in determining particle size and the controls may not be undermined by addition of larger or smaller sized material to shift the mean diameter;
(l)‑(w) [Reserved]
(x) Commodities, software, and technical data used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to exports of defence articles controlled in this category where the purchase documentation includes commodities, software, or technical data.
Note 1: To assist the exporter, an item has been categorised by the most common use. Also, where appropriate, references have been provided to the related controlled precursors.
Note 2: Chemical Abstract Service (CAS) registry numbers do not cover all the substances and mixtures controlled by this category. The numbers are provided as examples to assist the government agencies in the license review process and the exporter when completing their licence application and export documentation.
11 Category VI—Surface Vessels of War and Special Naval Equipment
(a) Warships and other combatant vessels (that is, battleships, aircraft carriers, destroyers, frigates, cruisers, corvettes, littoral combat ships, mine sweepers, mine hunters, mine countermeasure ships, dock landing ships, amphibious assault ships), Coast Guard Cutters, or foreign‑origin vessels specially designed to provide functions equivalent to those of the vessels listed above.
Note: Vessels specially designed for military use that are not identified this paragraph, including any demilitarised vessels, regardless of origin or designation, manufactured before 1950 and unmodified since 1949. Vessels with modifications made to incorporate safety features required by law, are cosmetic, for example, different paint, or that add parts or components otherwise available before 1950 are considered “unmodified” for the purposes of this paragraph.
(b) Other vessels not controlled in paragraph (a), as follows:
(1) high‑speed air cushion vessels for transporting cargo and personnel, ship‑to‑shore and across a beach, with a payload over 25 tonnes;
(2) surface vessels integrated with nuclear propulsion plants or specially designed to support naval nuclear propulsion plants;
(3) vessels armed or specially designed to be used as a platform to deliver munitions or otherwise destroy or incapacitate targets (for example, firing lasers, launching torpedoes, rockets, or missiles, or firing munitions greater than .50 calibre);
(4) vessels incorporating any mission systems controlled under this list.
Note 1: Vessels specially designed for military use that are not identified in this paragraph, including any demilitarised vessels, regardless of origin or designation, manufactured before 1950 and unmodified since 1949. Vessels with modifications made to incorporate safety features required by law, are cosmetic (for example, different paint) or that add parts or components otherwise available before 1950 are considered “unmodified” for the purposes of this paragraph.
Note 2: Subparagraph (4)—“Mission systems” are defined as “systems” that are defence articles that perform specific military functions such as by providing military communication, electronic warfare, target designation, surveillance, target detection, or sensor capabilities.
(c) Developmental vessels, and specially designed parts, components, accessories, and attachments therefor, funded by the United States Government via contract or other funding authorisation.
Note 1: This paragraph does not control vessels, and specially designed parts, components, accessories, and attachments therefor:
(a) in production; or
(b) identified in the relevant United States Government contract or other funding authorisation as being developed for both civil and military applications.
Note 2: Note 1 does not apply to defence articles enumerated on this list, in production or development.
Note 3: This provision applies to those contracts and funding authorisations that are dated 8 July 2014, or later.
(d) [Reserved]
(e) Naval nuclear propulsion plants and prototypes, and special facilities for construction, support, and maintenance therefor.
(f) Vessel and naval equipment, parts, components, accessories, attachments, associated equipment, and systems, as follows:
(1) hulls or superstructures, including support structures therefor, that:
(i) are specially designed for any vessels controlled in paragraph (a);
(ii) have armour, active protection systems, or developmental armour systems;
(iii) are specially designed to survive 12.5% or greater damage across the length as measured between perpendiculars;
(2) systems that manage, store, create, distribute, conserve, and transfer energy, and specially designed parts and components therefor, that have:
(i) storage exceeding 30MJ; and
(ii) a discharge rate less than 3 seconds; and
(iii) a cycle time under 45 seconds;
(3) shipborne auxiliary systems for chemical, biological, radiological, and nuclear (CBRN) compartmentalisation, over‑pressurisation and filtration systems, and specially designed parts and components therefor;
(4) control and monitoring systems for autonomous unmanned vessels capable of on‑board, autonomous perception and decision‑making necessary for the vessel to navigate while avoiding fixed and moving hazards, and obeying rules‑of‑the road without human intervention;
(5) any machinery, device, component, or equipment, including production, testing and inspection equipment, and tooling, specially designed for plants or facilities controlled in paragraph (e);
(6) parts, components, accessories, attachments, and equipment specially designed for integration of articles controlled by Categories II, IV, or XVIII or catapults for launching aircraft or arresting gear for recovering aircraft (MT for launcher mechanisms specially designed for rockets, space launch vehicles, or missiles capable of achieving a range greater than or equal to 300 km).
(7) shipborne active protection systems (that is, defensive systems that actively detect and track incoming threats and launch a ballistic, explosive, energy, or electromagnetic countermeasure(s) to neutralise the threat prior to contact with a vessel) and specially designed parts and components therefor;
(8) minesweeping and mine hunting equipment (including mine countermeasures equipment deployed by aircraft), and specially designed parts and components therefor;
(9) any part, component, accessory, attachment, equipment, or system that:
(i) is classified; or
(ii) contains classified software directly related to defence articles in this list; or
(iii) is being developed using classified information.
Note: Subparagraph (6)—“Range” is the maximum distance that the specified rocket system is capable of travelling in the mode of stable flight as measured by the projection of its trajectory over the surface of the Earth. The maximum capability based on the design characteristics of the system, when fully loaded with fuel or propellant, will be taken into consideration in determining range. The range for rocket systems will be determined independently of any external factors such as operational restrictions, limitations imposed by telemetry, data links, or other external constraints. For rocket systems, the range will be determined using the trajectory that maximises range, assuming International Civil Aviation Organization (ICAO) standard atmosphere with zero wind.
Note: For controls related to ship signature management, see Category XIII.
(g) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (f) (MT for technical data and defence services related to articles designated as such.)
(h)‑(w) [Reserved]
(x) Commodities, software, and technical data used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to exports of defence articles controlled in this category where the purchase documentation includes commodities, software, or technical.
12 Category VII—Ground Vehicles
(a) Armoured combat ground vehicles as follows:
(1) tanks;
(2) infantry fighting vehicles.
(b) Ground vehicles (not enumerated in paragraph (a)) and trailers that are armed or are specially designed to be used as a firing or launch platform to deliver munitions or otherwise destroy or incapacitate targets (for example, firing lasers, launching rockets, firing missiles, firing mortars, firing artillery rounds, or firing other ammunition greater than .50 calibre) (MT if specially designed for rockets, space launch vehicles, missiles, drones, or unmanned aerial vehicles capable of delivering a payload of at least 500 kg to a range of at least 300 km).
Note: “Payload” is the total mass that can be carried or delivered by the specified rocket, space launch vehicle, missile, drone, or unmanned aerial vehicle that is not used to maintain flight. For definition of “range” as it pertains to aircraft systems, see note 2 to paragraph (a) of Category VIII. For definition of “range” as it pertains to rocket systems, see note to paragraph (f)(6) of Category VI.
(c) Ground vehicles and trailers equipped with any mission systems controlled under this list (MT if specially designed for rockets, space launch vehicles, missiles, drones, or unmanned aerial vehicles capable of delivering a payload of at least 500 kg to a range of at least 300 km).
Note 1: “Mission systems” are defined as “systems” that are defence articles that perform specific military functions, such as by providing military communication, target designation, surveillance, target detection, or sensor capabilities.
Note 2: “Payload” is the total mass that can be carried or delivered by the specified rocket, space launch vehicle, missile, drone, or unmanned aerial vehicle that is not used to maintain flight. For definition of “range” as it pertains to aircraft systems, see note 2 to paragraph (a) of Category VIII. For definition of “range” as it pertains to rocket systems, see note to paragraph (f)(6) of Category VI.
(d) [Reserved]
(e) Armoured support vehicles capable of off‑road or amphibious use specially designed to transport or deploy personnel or materiel, or to move with other vehicles over land in close support of combat vehicles or troops (for example, personnel carriers, resupply vehicles, combat engineer vehicles, recovery vehicles, reconnaissance vehicles, bridge launching vehicles, ambulances, and command and control vehicles).
(f) [Reserved]
(g) Ground vehicle parts, components, accessories, attachments, associated equipment, and systems as follows:
(1) armoured hulls, armoured turrets, and turret rings;
(2) active protection systems (that is, defensive systems that actively detect and track incoming threats and launch a ballistic, explosive, energy, or electromagnetic countermeasure(s) to neutralise the threat prior to contact with a vehicle) and specially designed parts and components therefor;
(3) composite armour parts and components specially designed for the vehicles in this category;
(4) spaced armour components and parts, including slat armour parts and components specially designed for the vehicles in this category;
(5) reactive armour parts and components;
(6) electromagnetic armour parts and components, including pulsed power specially designed parts and components therefor;
(7) built in test equipment (BITE) to evaluate the condition of weapons or other mission systems for vehicles identified in this category, excluding equipment that provides diagnostics solely for a subsystem or component involved in the basic operation of the vehicle;
(8) gun mount, stabilisation, turret drive, and automatic elevating systems, and specially designed parts and components therefor;
(9) self‑launching bridge components rated class 60 or above for deployment by vehicles in this category;
(10) suspension components as follows:
(i) rotary shock absorbers specially designed for the vehicles weighing more than 30 tonnes in this category;
(ii) torsion bars specially designed for the vehicles weighing more than 50 tonnes in this category;
(11) kits specially designed to convert a vehicle in this category into either an unmanned or a driver‑optional vehicle. For a kit to be controlled by this paragraph, it must, at a minimum, include equipment for:
(i) remote or autonomous steering; and
(ii) acceleration and braking; and
(iii) a control system;
(12) fire control computers, mission computers, vehicle management computers, integrated core processers, stores management systems, armaments control processors, vehicle‑weapon interface units and computers;
(13) test or calibration equipment for the mission systems of the vehicles in this category, except those enumerated elsewhere; or
(14) any part, component, accessory, attachment, equipment, or system that (MT for those articles designated as such):
(i) is classified; or
(ii) contains classified software directly related to defence articles in this list; or
(iii) is being developed using classified information.
Note: Subparagraphs (3) to (6)—see Category XIII(m)(1)‑(4) for interpretations which explain and amplify terms used in these subparagraphs.
(h) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (g). (MT for technical data and defence services related to articles designated as such).
(i)‑(w) [Reserved]
(x) Commodities, software, and technical data used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to exports of defence articles controlled in this category where the purchase documentation includes commodities, software, or technical data.
Note 1: Ground vehicles specially designed for military applications that are not identified in this category, including any unarmed ground vehicles, regardless of origin or designation, manufactured before 1956 and unmodified since 1955. Ground vehicles with modifications made to incorporate safety features required by law, are cosmetic (for example, different paint, repositioning of bolt holes), or that add parts or components otherwise available before 1956 are considered “unmodified” for the purposes of this paragraph.
Note 2: Armoured ground vehicles are:
(a) ground vehicles that have integrated, fully armoured hulls or cabs, or
(b) ground vehicles on which add‑on armour has been installed to provide ballistic protection. Armoured support vehicles do not include those that are merely capable of being equipped with add‑on armour.
Note 3: Ground vehicles include any vehicle meeting the definitions or control parameters regardless of the surface (for example, highway, off‑road or rail) upon which the vehicle is designed to operate.
13 Category VIII—Aircraft and Related Articles
(a) Aircraft, as follows:
(1) bombers;
(2) fighters, fighter bombers, and fixed‑wing attack aircraft;
(3) turbofan‑ or turbojet‑powered trainers used to train pilots for fighter, attack, or bomber aircraft;
(4) attack helicopters;
(5) unarmed military unmanned aerial vehicles (UAVs) (MT if the UAV has a range equal to or greater than 300 km);
(6) armed unmanned aerial vehicles (UAVs) (MT if the UAV has a range equal to or greater than 300 km);
(7) military intelligence, surveillance, and reconnaissance aircraft;
(8) electronic warfare, airborne warning and control aircraft;
(9) air refuelling aircraft;
(10) target drones (MT if the drone has a range equal to or greater than 300 km);
(11) aircraft incorporating any mission system controlled under this list;
(12) aircraft capable of being refuelled in flight including hover‑in‑flight refuelling (HIFR);
(13) optionally Piloted Vehicles (OPV) (that is, aircraft specially designed to operate with and without a pilot physically located in the aircraft) (MT if the OPV has a range equal to or greater than 300 km);
(14) aircraft with a roll‑on/roll‑off ramp, capable of airlifting payloads over 35,000 lbs. to ranges over 2,000 nm without being refuelled in‑flight, and landing onto short or unimproved airfields;
(15) aircraft not enumerated in paragraphs (a)(1) to (14) as follows:
(i) United States‑origin aircraft that bear an original military designation of A, B, E, F, K, M, P, R, or S;
(ii) foreign‑origin aircraft specially designed to provide functions equivalent to those of the aircraft listed in subsubparagraph (i);
(16) are armed or are specially designed to be used as a platform to deliver munitions or otherwise destroy targets (for example, firing lasers, launching rockets, firing missiles, dropping bombs, or strafing).
Note 1: Aircraft specially designed for military applications that are not identified in paragraph (a), including any unarmed military aircraft, regardless of origin or designation, manufactured prior to 1956 and unmodified since manufacture. Aircraft with modifications made to incorporate safety of flight features or other modifications such as transponders and air data recorders are considered “unmodified” for the purposes of this paragraph.
Note 2: “Range” is the maximum distance that the specified aircraft system is capable of travelling in the mode of stable flight as measured by the projection of its trajectory over the surface of the Earth. The maximum capability based on the design characteristics of the system, when fully loaded with fuel or propellant, will be taken into consideration in determining range. The range for aircraft systems will be determined independently of any external factors such as operational restrictions, limitations imposed by telemetry, data links, or other external constraints. For aircraft systems, the range will be determined for a one‑way distance using the most fuel‑efficient flight profile (for example, cruise speed and altitude), assuming International Civil Aviation Organization (ICAO) standard atmosphere with zero wind.
Note 3: Subparagraph (11)—“Mission systems” are defined as “systems” that are defence articles that perform specific military functions such as by providing military communication, electronic warfare, target designation, surveillance, target detection, or sensor capabilities.
Note 4: Subparagraph (11)—this does not include tethered aerostats. Mission systems incorporated on otherwise controlled aerostats are controlled as the mission systems themselves just as if they were mounted, for example, on a tower or a pole.
(b) ‑ (c) [Reserved]
(d) Ship‑based launching and recovery equipment specially designed for defence articles described in paragraph (a) of this category and land‑based variants thereof (MT if the ship‑based launching and recovery equipment is for an unmanned aerial vehicle, drone, or missile that has a range equal to or greater than 300 km).
Note: Fixed land‑based arresting gear is not included in this paragraph. For the definition of “range,” see the note 2 to paragraph (a).
(e) Inertial navigation systems (INS), aided or hybrid inertial navigation systems, Inertial Measurement Units (IMUs), and Attitude and Heading Reference Systems (AHRS) specially designed for aircraft controlled in this category and all specially designed components, parts, and accessories therefor (MT if the INS, IMU, or AHRS is for an unmanned aerial vehicle, drone, or missile that has a “range” equal to or greater than 300 km). For other inertial reference systems and related components refer to Category XII(d).
(f) Developmental aircraft funded by the United States Government via contract or other funding authorisation, and specially designed parts, components, accessories, and attachments therefor.
Note 1: This paragraph does not control aircraft and specially designed parts, components, accessories, and attachments therefor:
(a) in production; or
(b) identified in the relevant United States Government contract or other funding authorisation as being developed for both civil and military applications.
Note 2: Note 1 does not apply to defence articles enumerated on this list in production or development.
Note 3: This provision applies to those contracts or other funding authorisations that are dated 16 April 2014, or later.
(g) [Reserved]
(h) Aircraft parts, components, accessories, attachments, associated equipment and systems, as follows:
(1) parts, components, accessories, attachments, and equipment specially designed for the following United States‑origin aircraft: the B‑1B, B‑2, F‑15SE, F/A‑18 E/F/G, F‑22, F‑35 and future variants thereof; or the F‑117 or United States Government technology demonstrators. Parts, components, accessories, attachments, and equipment of the F‑15SE and F/A‑18 E/F/G that are common to earlier models of these aircraft.
(2) face gear gearboxes, split‑torque gearboxes, variable speed gearboxes, synchronisation shafts, interconnecting drive shafts, or rotorcraft gearboxes with internal pitch line velocities exceeding 20,000 feet per minute and able to operate 30 minutes with loss of lubrication, and specially designed parts and components therefor;
(3) tail boom folding systems, stabilator folding systems or automatic rotor blade folding systems, and specially designed parts and components therefor;
(4) wing folding systems, and specially designed parts and components therefor, for:
(i) aircraft powered by power plants controlled under Category IV(d); or
(ii) aircraft powered by gas turbine engines with any of the following characteristics:
(A) the portion of the wing outboard of the wing fold is required for sustained flight;
(B) fuel can be stored outboard of the wing fold;
(C) control surfaces are outboard of the wing fold;
(D) hard points are outboard of the wing fold;
(E) hard points inboard of the wing fold are capable of in‑flight ejection;
(F) the aircraft is designed to withstand maximum vertical manoeuvring accelerations greater than +3.5g/−1.5g;
(5) tail hooks and arresting gear, and specially designed parts and components therefor;
(6) bomb racks, missile launchers, missile rails, weapon pylons, pylon‑to‑launcher adapters, unmanned aerial vehicle (UAV) airborne launching systems, external stores support systems for ordnance or weapons, and specially designed parts and components therefor (MT if the bomb rack, missile launcher, missile rail, weapon pylon, pylon‑to‑launcher adapter, UAV airborne launching system, or external stores support system is for a UAV, drone, or missile that has a “range” equal to or greater than 300 km);
(7) damage or failure‑adaptive flight control systems specially designed for aircraft controlled in this category;
(8) threat‑adaptive autonomous flight control systems;
(9) non‑surface‑based flight control systems and effectors (for example, thrust vectoring from gas ports other than main engine thrust vector);
(10) radar altimeters with output power management or signal modulation (that is, frequency hopping, chirping, direct sequence‑spectrum spreading), LPI (low probability of intercept) capabilities (MT if for an unmanned aerial vehicle, drone, or missile that has a “range” equal to or greater than 300 km);
(11) air‑to‑air refuelling systems and hover‑in‑flight refuelling (HIFR) systems, and specially designed parts and components therefor;
(12) unmanned aerial vehicle (UAV) flight control systems and vehicle management systems with swarming capability (that is, UAVs interact with each other to avoid collisions and stay together, or, if weaponised, coordinate targeting) (MT if for a UAV, drone or missile that has a “range” equal to or greater than 300 km);
(13) aircraft Lithium‑ion batteries that provide greater than 38VDC nominal;
(14) lift fans, clutches, and roll posts for short take‑off, vertical landing (STOVL) aircraft and specially designed parts and components for such lift fans and roll posts;
(15) integrated helmets incorporating optical sights or slewing devices, which include the ability to aim, launch, track, or manage munitions (for example, Helmet Mounted Cueing Systems, Joint Helmet Mounted Cueing Systems (JHMCS), Helmet Mounted Displays, Display and Sight Helmets (DASH)), and specially designed parts, components, accessories, and attachments therefor;
(16) fire control computers, stores management systems, armaments control processors, aircraft‑weapon interface units and computers (for example, AGM‑88 HARM Aircraft Launcher Interface Computer (ALIC));
(17) mission computers, vehicle management computers, and integrated core processers specially designed for aircraft controlled in this category;
(18) drive systems and flight control systems specially designed to function after impact of a 7.62mm or larger projectile;
(19) thrust reversers specially designed to be deployed in flight for aircraft controlled in this category;
(20) any part, component, accessory, attachment, equipment, or system that:
(i) is classified; or
(ii) contains classified software directly related to defence articles in this list; or
(iii) is being developed using classified information;
(21) ‑ (22) [Reserved]
(23) electricity‑generating fuel cells specially designed for aircraft controlled in this category;
(24) thermal engines specially designed for aircraft controlled in this category;
(25) thermal batteries specially designed for aircraft controlled in this category (MT if the thermal battery is for an unmanned aerial vehicle, drone, or missile that has a “range” equal to or greater than 300 km);
(26) thermionic generators specially designed for aircraft controlled in this category.
Note: Subparagraph (1): Specially designed does not control parts, components, accessories, and attachments that are common to aircraft described in paragraph (a) of this category but not identified in this subparagraph, and those identified in this subparagraph. For example, a part common to only the F‑14 and F‑35 is not considered specially designed.
(i) Technical data and defence services directly related to the defence articles described in paragraphs (a) through (h) of this category and defence services using classified technical data (MT for technical data and defence services related to articles designated as such.)
(j) ‑ (w) [Reserved]
(x) Commodities, software, and technical data used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to license applications for defence articles controlled in this category where the purchase documentation includes commodities, software, or technical data.
Note: Replacement systems, parts, components, accessories and attachments are subject to export controls.
14 Category IX—Military Training Equipment and Training
(a) Training equipment, as follows:
(1) ground, surface, submersible, space, or towed airborne targets that:
(i) have an infrared, radar, acoustic, magnetic, or thermal signature that mimic a specific defence article, specific other item, or specific person; or
(ii) are instrumented to provide hit/miss performance information for defence articles controlled in this list;
(2) devices that are mock‑ups of articles enumerated in this list used for maintenance training or disposal training for ordnance enumerated in this list, that reveal technical data or contain parts, components, accessories, or attachments controlled in this list;
(3) air combat manoeuvring instrumentation and ground stations therefor;
(4) physiological flight trainers for fighter aircraft or attack helicopters;
(5) radar trainers specially designed for training on radar controlled by Category XI;
(6) training devices specially designed to be attached to a crew station, mission system, or weapon of an article controlled in this list;
(7) anti‑submarine warfare trainers;
(8) missile launch trainers;
(9) radar target generators;
(10) infrared scene generators;
(b) passive sensors for determining bearings to specific electromagnetic sources (direction finding equipment) or terrain characteristics (see Category XI(b) and (d));
(c) global Positioning System (GPS) or similar satellite receivers:
(1) capable of providing navigation information under the following operational conditions:
(i) at speeds in excess of 515 m/sec (1,000 nautical miles/hours); and
(ii) at altitudes in excess of 18 km (60,000 feet), (see Category XV(d)(2); or
(2) designed or modified for use with unmanned air vehicles covered by Item 1 (see Category XV(d)(4)).
(d) electronic assemblies and components specifically designed for military use and operation at temperatures in excess of 125 degrees C (see Category XI(a)(7)).
(e) design technology for protection of avionics and electrical subsystems against electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards from external sources, as follows, (see Category XI(b)):
(1) design technology for shielding systems;
(2) design technology for the configuration of hardened electrical circuits and subsystems;
(3) determination of hardening criteria for the above.
Note 1: Item 11 equipment may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.
Note 2: Examples of equipment included in this item:
(a) Terrain contour mapping equipment; and
(b) Scene mapping and correlation (both digital and analog) equipment; and
(c) Doppler navigation radar equipment; and
(d) Passive interferometer equipment; and
(e) Imaging sensor equipment (both active and passive);
Note 3: In subitem (a), laser radar systems embody specialized transmission, scanning, receiving and signal processing techniques for utilization of lasers for echo ranging, direction finding and discrimination of targets by location, radial speed and body reflection characteristics.
Item 12—Category II
Launch support equipment, facilities and software for the systems in Item 1, as follows:
(a) apparatus and devices designed or modified for the handling, control, activation and launching of the systems in Item 1, (see Category IV(c));
(b) vehicles designed or modified for the transport, handling, control, activation and launching of the systems in Item 1, (see Category VII(d));
(c) telemetering and telecontrol equipment usable for unmanned air vehicles or rocket systems, (see Category XI(a));
(d) precision tracking systems:
(1) tracking systems which use a translb nv installed on the rocket system or unmanned air vehicle in conjunction with either surface or airborne references or navigation satellite systems to provide real‑time measurements of in‑flight position and velocity, (see Category XI(a));
(2) range instrumentation radars including associated optical/infrared trackers and the specially designed software therefor with all of the following capabilities (see Category XI(a)(3)):
(i) angular resolution better than 3 milli‑radians (0.5 mils);
(ii) range of 30 km or greater with a range resolution better than 10 metres RMS;
(iii) velocity resolution better than 3 metres per second.
(e) Software which processes post‑flight, recorded data, enabling determination of vehicle position throughout its flight path (see Category IV(i)).
Item 13—Category II
Analog computers, digital computers, or digital differential analyzers designed or modified for use in the systems in Item 1 (see Category XI (a)(6), having either of the following characteristics:
(a) rated for continuous operation at temperature from below minus 45 degrees C to above plus 55 degrees C; or
(b) designed as ruggedized or “radiation hardened”.
Note: Item 13 equipment may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.
Item 14—Category II
Analog‑to‑digital converters, usable in the system in Item 1, having either of the following characteristics:
(a) designed to meet military specifications for ruggedized equipment (see Category XI(d)); or,
(b) designed or modified for military use (see Category XI(d)); and being one of the following types:
(1) analog‑to‑digital converter “microcircuits,” which are “radiation hardened” or have all of the following characteristics:
(i) having a resolution of 8 bits or more;
(ii) rated for operation in the temperature range from below minus 54 degrees C to above plus 125 degrees C; and
(iii) hermetically sealed;
(2) electrical input type analog‑to‑digital converter printed circuit boards or modules, with all of the following characteristics:
(i) having a resolution of 8 bits or more;
(ii) rated for operation in the temperature range from below minus 45 degrees C to above plus 55 degrees C; and
(iii) incorporated “microcircuits” listed in (1), above.
Item 15—Category II
This item is reserved.
Item 16—Category II
Specially designed software, or specially designed software with related specially designed hybrid (combined analog/digital) computers, for modelling, simulation, or design integration of the systems in Item 1 and Item 2 (see Category IV(i) and Category XI(a)(6)).
Note: The modelling includes in particular the aerodynamic and thermodynamic analysis of the system.
Item 17—Category II
Materials, devices, and specially designed software for reduced observables such as radar reflectivity, ultraviolet/infrared signatures on acoustic signatures (that is, stealth technology), for applications usable for the systems in Item 1 or Item 2 (see Category XIII (e) and (k)), for example:
(a) structural material and coatings specially designed for reduced radar reflectivity;
(b) coatings, including paints, specially designed for reduced or tailored reflectivity or emissivity in the microwave, infrared or ultraviolet spectra, except when specially used for thermal control of satellites.
(c) specially designed software or databases for analysis of signature reduction.
(d) specially designed radar cross section measurement systems (Category XI(a)(3)).
Item 18—Category II
Devices for use in protecting rocket systems and unmanned air vehicles against nuclear effects (for example Electromagnetic Pulse (EMP), X‑rays, combined blast and thermal effects), and usable for the systems in Item 1, as follows (Category IV (c) and (h)):
(a) “radiation Hardened” “microcircuits” and detectors (Category XI(c)(3) Note: This commodity has been formally proposed for movement to category XV(e)(2) in the near future).
(b) radomes designed to withstand a combined thermal shock greater than 1000 cal/sq cm accompanied by a peak over pressure of greater than 50 kPa (7 pounds per square inch) (see Category IV(h)).
Note: Subitem (a)—a detector is defined as a mechanical, electrical, optical or chemical device that automatically identifies and records, or registers a stimulus such as an environmental change in pressure or temperature, an electrical or electromagnetic signal or radiation from a radioactive material.
Part 2—Exempted Technologies List
Exempted Technologies List
(a) The following defence articles are exempted from the scope of the Treaty, regardless of which category may apply:
(1) US origin defence articles, regardless of classification, (including those modified or improved), when used for marketing purposes, that have not previously been licensed for export by the United States Government;
(2) defence articles specific to the existence of or method of compliance with anti‑tamper measures made at originating government direction;
(3) all classified defence articles not being released pursuant to a government written request, directive or contract that provides for the export of the defence article. For US origin defence articles, the written request, directive or contract must be from the United States Department of Defense. For Australian origin defense articles, the written request, directive or contract must be from the Australian Government.
(b) The following specific defence articles are exempted from coverage under the Treaty:
(1) defence articles listed in the Missile Technology Control Regime (MTCR) Annex, the Chemical Weapons Convention (CWC) Annex on Chemicals, the Convention on Biological and Toxin Weapons, and the Australia Group (AG) Common Control Lists (CCL);
(2) defence articles specific to reduced observables, or counter low observables in any part of the spectrum, including radio frequency (RF), infrared (IR), Electro‑Optical, visual, ultraviolet (UV), acoustic, and magnetic;
(3) defence articles specific to sensor fusion beyond that required for display or identification correlation;
(4) defence articles specific to naval technology and systems in the following areas:
(i) naval nuclear propulsion information;
(ii) acoustic spectrum control and awareness;
(iii) submersible vessels, oceanographic and associated equipment designed or modified for military purposes;
(iv) torpedoes;
(5) defence articles and services specific to naval nuclear propulsion equipment;
(6) nuclear powered vessels;
(7) defence articles and services specific to submarine combat control systems;
(8) defence articles specific to countermeasures and counter‑countermeasures, including electronic or optical (including IR);
(9) defence articles specific to Category XI(b) (for example, communications security (COMSEC) and TEMPEST), as well as their related defence articles in Category XI(c) and (d);
(10) defence articles specific to Category XIII(b) (military information security assurance systems, cryptographic devices, software and components);
(11) defence articles specific to spacecraft/satellites;
(12) defence articles and services specific to ground control stations for spacecraft telemetry, tracking and control; however, defence articles and services are not excluded under this entry if they do not control the spacecraft; receivers for receiving satellite transmissions are also not excluded under this entry;
(13) defence articles and services specific to spacecraft and ground control station systems (only for telemetry, tracking and control as controlled in Category XV(b)), subsystems, components, parts, accessories, attachments and associated equipment;
(14) defence articles specific to satellites, satellite payloads and their specifically designed or modified components as described in Category XV (a), (b), (e) and (f);
(15) defence articles specific to GPS/PPS security modules;
(16) defence articles specific to Category XV(d) radiation‑hardened microcircuits and technology;
(17) technical data and defence services directly related to other defence articles excluded from the exemptions for Category XV;
(18) category XVI defence articles specific to design and testing of nuclear weapons;
(19) defence articles specific to Category XVIII Directed energy weapons;
(20) defence articles specific to the automatic target acquisition or recognition and cueing of multiple autonomous unmanned systems;
(21) defence articles specific to Man Portable Air Defense Systems (MANPADS);
(22) training or simulation equipment for MANPADS;
(23) defence articles and services specific to anti‑personnel landmines;
(24) defence articles and services specific to cluster munitions;
(25) defence articles and services specific to gas turbine engine hot section components and to Full Authority Digital Engine Control Systems (FADEC) or Digital Electronic Engine Controls (DEEC);
(26) technical data and defence services for gas turbine stations; however, this does not include hardware;
(27) software source code related to Category XX(a);
(28) high Frequency and Phased Array Microwave Radar systems, with capabilities such as search, acquisition, tracking, moving target indication and imaging radar systems;
(29) defence articles that the United States controls under the United States Munitions List for which Australian laws, regulations, or other commitments would prevent Australia from enforcing the control measures specified in the Treaty.
Note 1: Subparagraph (2)—defence articles related to reduced observables or counter reduced observables is defined as:
(a) signature reduction (radio frequency (RF), infrared (IR), Electro‑Optical, visual, ultraviolet (UV), acoustic, magnetic, RF emissions) of defense platforms, including systems, subsystems, components, materials, (including dual‑purpose materials used for Electromagnetic Interference (EM) reduction) technologies, and signature prediction, test and measurement equipment and software and material transmissivity/reflectivity prediction codes and optimization software; or
(b) electronically scanned array radar, high power radars, radar processing algorithms, periscope‑mounted radar systems (PATRIOT), LADAR, multistatic and IR focal plane array‑based sensors, to include systems, subsystems, components, materials and technologies.
Note 2: Subparagraph (3)—defence articles related to sensor fusion beyond that required for display or identification correlation is defined as techniques designed to automatically combine information from two or more sensors/sources for the purpose of target identification, tracking, designation, or passing of data in support of surveillance or weapons engagement. Sensor fusion involves sensors such as acoustic, infrared, electro optical, radio frequency, etc. Display or identification correlation refers to the combination of target detections from multiple sources for assignment of common target track designation.
Note 3: Subsubparagraph (4)(i)—naval nuclear propulsion information is technical data that concerns the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the propulsion plants of naval nuclear‑powered ships and prototypes, including the associated shipboard and shore‑based nuclear support facilities. Examples of defence articles covered by this exemption include nuclear propulsion plants and nuclear submarine technologies or systems; nuclear powered vessels (see Categories VI and XX).
Note 4: Subsubparagraph (4)(ii)—examples of defence articles covered by this exemption include underwater acoustic vector sensors; acoustic reduction; off‑board, underwater, active and passive sensing, propeller/propulsor technologies; fixed/mobile/floating/powered detection systems which include in‑buoy signal processing for target detection and classification; automated control algorithms and classification embedded in on‑board autonomous platforms which enable:
(a) group behaviours for target detection and classification; or
(b) adaption to the environment or tactical situation for enhancing target detection and classification; “intelligent autonomy” algorithms which define the status, group (greater than 2) behaviours, and responses to detection stimuli by autonomous, underwater vehicles; and low frequency, broad‑band “acoustic colour”, active acoustic “fingerprint” sensing for the purpose of long range, single pass identification of ocean bottom objects, buried or otherwise (controlled under Category XI(a)(1), (a)(2), (b), (c), and (d)).
Note 5: Subsubparagraph (4)(iii)—examples of defence articles covered by this exemption includes manned or unmanned, tethered or untethered and swimmer delivery vehicles (controlled under Category XX(a) and (b)).
Note 6: Subparagraph (5)—naval Nuclear propulsion plants includes all of Category VI(e). Naval nuclear propulsion information is technical data that concerns the design, arrangement, development, manufacture, testing, operation, administration, training, maintenance, and repair of the propulsion plants of naval nuclear‑powered ships and prototypes, including the associated shipboard and shore‑based nuclear support facilities. Examples of defence articles covered by this exclusion include nuclear propulsion plants and nuclear submarine technologies or systems; nuclear powered vessels (See Categories VI and XX).
Note 7: Subparagraph (8)—examples of countermeasures and counter‑countermeasures related to defence articles not exportable under the Treaty are:
(a) IR countermeasures; or
(b) classified techniques and capabilities; or
(c) exports for precision radio frequency location that directly or indirectly supports fire control and is used for situation awareness, target identification, target acquisition, and weapons targeting and Radio Direction Finding (RDF) capabilities. Precision RF location is defined as angle of arrival accuracy of less than five degrees (RMS) and RF emitter location of less than ten percent range error; or
(d) providing the capability to reprogram; or
(e) acoustics (including underwater), active and passive countermeasure and counter‑countermeasures; or
(f) other electromagnetic active and passive countermeasures that are described in Category XI.
Note 8: Subparagraph (18)—the phrase “specific to design and testing of nuclear weapons” includes all items controlled in Category XVI(a) and (b), any items in Category XVI(c) that are used directly as part of such testing, and the items in Category XVI(d) or (e) directly related to the exempted articles in Category XVI (a), (b ), or (c).
Note 9: Subparagraph (22)—defence articles specific to MANPADS include missiles which can be used without modification in other applications. It also includes production and test equipment and components specifically designed or modified for MANPAD systems, as well as training equipment specifically designed or modified for MANPAD systems.
Note 10: Subparagraph (23)—this exclusion does not apply to de‑mining equipment in support of the clearance of landmines and unexploded ordnance for humanitarian purposes.
As used in this exclusion, “anti‑personnel landmine” means any mine placed under, on, or near the ground or other surface area, or delivered by artillery, rocket, mortar, or similar means or dropped from an aircraft and which is designed to be detonated or exploded by the presence, proximity, or contact of a person; any device or material which is designed, constructed, or adapted to kill or injure and which functions unexpectedly when a person disturbs or approaches an apparently harmless object or performs an apparently safe act; any manually‑emplaced munition or device designed to kill, injure, or damage and which is actuated by remote control or automatically after a lapse of time.
Note 11: Subparagraph (24)—the cluster munitions that are subject to this exclusion are set forth below:
The Convention on Cluster Munitions, signed December 3, 2008, and entered into force on August 1, 2010, defines a “cluster munition” as:
A conventional munition that is designed to disperse or release explosive submunitions each weighing less than 20 kilograms, and includes those explosive submunitions. Under the Convention, a “cluster munition” does not include the following munitions:
(a) a munition or submunition designed to dispense flares, smoke, pyrotechnics or chaff; or a munition designed exclusively for an air defence role;
(b) a munition or submunition designed to produce electrical or electronic effects;
(c) a munition that, in order to avoid indiscriminate area effects and the risks posed by unexploded submunitions, has all of the following characteristics:
1) each munition contains fewer than ten explosive submunitions;
2) each explosive submunition weighs more than four kilograms;
3) each explosive submunition is equipped with an electronic self‑destruction mechanism; and
4) each explosive submunition is equipped with an electronic self‑deactivating feature.
No military assistance shall be furnished for cluster munitions, no defence export licence for cluster munitions may be issued, and no cluster munitions or cluster munitions technology shall be sold or transferred.
Note 12: Subparagraph (25)—a complete gas turbine engine with embedded hot section components or digital engine controls is eligible for export or transfer under the Treaty. Technical data, other than required for routine external maintenance and operation, related to the hot section or digital engine controls, as well as individual hot section parts or components are not eligible for the Treaty exemption whether shipped separately or accompanying a complete engine. Gas turbine hot section exempted Defence Article components and technology are combustion chambers and liners; high pressure turbine blades, vanes, disks and related cooled structure; cooled low pressure turbine blades, vanes, disks and related cooled structure; cooled augmenters; and cooled nozzles. Examples of gas turbine engine hot section developmental technologies are Integrated High Performance Turbine Engine Technology (IHPTET), Versatile, Affordable Advanced Turbine Engine (VAATE), and Ultra‑Efficient Technology (UEET), which are also excluded from export under the exemptions.
Note 13: Subparagraph (26)—a complete gas turbine engine with embedded hot section components or digital engine controls is eligible for export or transfer under the Treaty. Technical data, other than required for routine external maintenance and operation, related to the hot section or digital engine controls, as well as individual hot section parts or components are not eligible for the Treaty exemption whether shipped separately or accompanying a complete engine. Gas turbine hot section exempted Defence Article components and technology are combustion chambers and liners; high pressure turbine blades, vanes, disks and related cooled structure; cooled low pressure turbine blades, vanes, disks and related cooled structure; cooled augmenters; and cooled nozzles. Examples of gas turbine engine hot section developmental technologies are Integrated High Performance Turbine Engine Technology (IHPTET), Versatile, Affordable Advanced Turbine Engine (VAATE), and Ultra‑Efficient Technology (UEET), which are also excluded from export under the exemptions.
Note 14: Subparagraph (27)—software source code beyond that source code required for basic operation, maintenance, and training for programs, systems, and/or subsystems is not eligible for use of the Treaty exemptions, unless such export is pursuant to a written solicitation or contract issued or awarded by the U.S. Department of Defense for an end‑use specified under the Treaty.
Note 15: Subparagraph (28)—the radar systems described in (b)(16) are controlled in Category XI(a)(3)(i) through (v). As used in (b)(16), however, the term ‘systems’ includes equipment, devices, software, assemblies, modules, components, practices, processes, methods, approaches, schema, frameworks and models.
Note 16: Subparagraph (28)—the radar systems described are controlled in Category XI(a)(3)(i) through (v). As used in this entry, the term “systems” includes equipment, devices, software, assemblies, modules, components, practices, processes, methods, approaches, schema, frameworks, and models.
Note 17: Subparagraph (29)—as of 6 February 2013, no defence articles are subject to this exemption.
(c) Exports of the following US origin defence articles are not eligible for use of the Treaty unless such export is pursuant to a written solicitation or contract issued or awarded by the US Department of Defense pursuant to Article 3(1)(a), Article 3(1)(b), or Article 3(1)(d) of the Defence Trade Cooperation Treaty and is consistent with paragraph (a) and paragraph (b) of this exemption list:
(1) defence articles specific to developmental systems that have not obtained Milestone B approval from the United States Government milestone approval authority;
(2) technical data or defence services for night vision equipment described in Category XII (c) beyond basic operations, maintenance and training data;
(3) manufacturing know‑how, such as information that provides detailed manufacturing processes and techniques needed to translate a detailed design into a qualified, finished defence article, specific to the defence articles controlled in Categories II(d), III(d)(1), III(d)(2), IV(a), IV(b), IV(d), IV(g), VIII(a),VIII(b), VIII(e), X(a)(l), X(a)(2), XI(a)(3), XI(a)(4), XII(d) or XX(a) and their specially designed components;
(4) software source code specific to defence articles controlled in Categories II(c), II(d), II(i), III(d)(l), III(d)(2), IV(a), IV(b), IV(c), IV(g), VI(a), VI(c), VIII(a), VIII(e), IX(a), IX(b), XI(a), XII(a), XII(b), XII(c), XII(d), XIII(a), XVI(c) or XX(a) beyond that source code required for basic operation, maintenance and training for the programs, systems, and/or subsystems.
Schedule 1—Repeals
Defense Trade Cooperation Munitions List 2013
1 The whole of the List
Repeal the List.
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