The following items constitute all items on the Missile Technology Control Regime Annex which are covered by this list. To the extent an item mentioned in this Division is also mentioned elsewhere in Part 1, a reference appears in parentheses listing the category in which it appears.
Item 1—Category I
Complete rocket systems (including ballistic missile systems, space launch vehicles, and sounding rockets (see Category IV(a) and (b)) and unmanned air vehicle systems (including cruise missile systems, see Category VIII (a), target drones and reconnaissance drones (see Category VIII (a)) capable of delivering at least a 500 kg payload to a range of at least 300 km.
Item 2—Category I
Complete subsystems usable in the systems in Item 1 as follows:
(a) individual rocket stages (see Category IV(h));
(b) reentry vehicles (see Category IV(g)), and equipment designed or modified therefor, as follows, except as provided in Note 1 below for those designed for non‑weapon payloads;
(1) heat shields and components thereof fabricated of ceramic or ablative materials (see Category IV(f));
(2) heat sinks and components thereof fabricated of light‑weight, high heat capacity materials;
(3) electronic equipment specially designed for reentry vehicles (see Category XI(a)(7));
(c) solid or liquid propellant rocket engines, having a total impulse capacity of 1.1×10 N‑sec (2.5×10 lb‑sec) or greater (see Category IV, (h)).
(d) “guidance sets” capable of achieving system accuracy of 3.33 percent or less of the range (for example, a CEP of 10 km or less at a range of 300 km), except as provided in Note 1 below for those designed for missiles with a range under 300 km or manned aircraft (see Category XII(d));
(e) thrust vector control sub‑systems, except as provided in Note (1) below for those designed for rocket systems that do not exceed the range/payload capability of Item 1 (see Category IV);
(f) warhead safing, arming, fuzing, and firing mechanisms, except as provided in Note (1) below for those designed for systems other than those in Item 1 (see Category IV(h)).
Note 1: The exceptions in subitems (b), (d), (e), and (f) above may be treated as Category II if the subsystem is exported subject to end use statements and quantity limits appropriate for the excepted end use stated above.
Note 2: CEP (circle of equal probability) is a measure of accuracy, and defined as the radius of the circle centered at the target, at a specific range, in which 50 percent of the payloads impact.
Note 3: 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.
Division Div 2 - Defense Trade Cooperation Munitions List 2017 - Missile Technology Control Regime | Zoe
Note 4: Examples of methods of achieving thrust vector control which are covered by subitem (e) include:
(a) flexible nozzle;
(b) fluid or secondary gas injection;
(c) movable engine or nozzle; Deflection of exhaust gas stream (jet vanes or probes); or
(d) use of thrust tabs.
Item 3—Category II
Propulsion components and equipment usable in the systems in Item 1, as follows:
(a) lightweight turbojet and turbofan engines (including) turbocompound engines) that are small and fuel efficient (see Category IV(h) and Category VIII(b));
(b) ramjet/Scramjet/pulse jet/combined cycle engines, including devices to regulate combustion, and specially designed components therefor (see Category IV(h) and Category VIII(b));
(c) rocket motor cases, “interior lining”, “insulation” and nozzles therefor (see § Category IV(h) and Category V(c));
(d) staging mechanisms, separation mechanisms, and interstages therefor (see Category IV(c) and (h));
(e) liquid and slurry propellant (including oxidizers) control systems, and specially designed components therefor, designed or modified to operate in vibration environments of more than 100 g RMS between 20 Hz and 2,000 Hz (see Category IV(c) and (h));
(f) hybrid rocket motors and specially designed components therefor (see Category IV(h)).
Note 1: Subitem 3(a) engines may be exported as part of a manned aircraft or in quantities appropriate for replacement parts for manned aircraft.
Note 2: In subitem 3(c), “interior lining” suited for the bond interface between the solid propellant and the case or insulating liner is usually a liquid polymer based dispersion of refractory or insulating materials, for example, carbon filled HTPB or other polymer with added curing agents to be sprayed or screeded over a case interior (see Category V(c)).
Note 3: In subitem 3(c), “insulation” intended to be applied to the components of a rocket motor, that is, the case, nozzle inlets, case closures, includes cured or semi‑cured compounded rubber sheet stock containing an insulating or refractory material. It may also be incorporated as stress relief boots or flaps.
Note 4: The only servo valves and pumps covered in (e) above, are the following:
(a) Servo valves designed for flow rates of 24 liters per minute or greater, at an absolute pressure of 7,000 kPa (1,000 psi) or greater, that have an actuator response time of less than 100 msec;
(b) Pumps, for liquid propellants, with shaft speeds equal to or greater than 8,000 RPM or with discharge pressures equal to or greater than 7,000 kPa (1,000 psi).
Note 5: Subitem 3(e) systems and components may be exports as part of a satellite.
Item 4—Category II
Propellants and constituent chemicals for propellants as follows:
(a) propulsive substances:
(1) hydrazine with a concentration of more than 70 percent and its derivatives including monomethylhydrazine (MMH);
(2) unsymmetric dimethylhydrazine (UDHM);
(3) ammonium perchlorate;
(4) spherical aluminum powder with particle of uniform diameter of less than 500 × 10‑6M (500 microns) and an aluminum content of 97 percent or greater;
(5) metal fuels in particle sizes less than 500 × 10‑6M (500 microns), whether spherical, atomized, spheriodal, flaked or ground, consisting of 97 percent or more of any of the following: zirconium, beryllium, boron, magnesium, zinc, and alloys of these;
(7) percholrates, chlorates or chromates mixed with powdered metals or other high energy fuel components;
(8) carboranes, decaboranes, pentaboranes and derivatives thereof;
(9) liquid oxidizers, as follows:
(A) nitrogen dioxide/dinitrogen tetroxide;
(B) inhibited Red Fuming Nitric Acid (IRFNA);
(C) compounds composed of fluorine and one or more of other halogens, oxygen or nitrogen.
(b) polymeric substances:
(1) hydroxyterminated polybutadiene (HTPB);
(2) glycidylazide polymer (GAP).
(c) other high energy density propellants such a Boron Slurry having an energy density of 40 × 10 joules/kg or greater.
(d) other propellants additives and agents:
(1) bonding agents as follows:
(i) tris (1(2methyl)aziridinyl phosphine oxide (MAPO);
(ii) trimesol 1(2)ethyl)aziridine (HX868, BITA);
(iii) “tepanol” (HX878), reaction product of tetraethylenepentamine, acrylonitrile and glycidol;
(iv) “tepan” (HX879), reaction product of tet enepentamine and acrylonitrile;
(v) polyfunctional aziridene amides with isophthalic, trimesic, isocyanuric, or trimethyladipic backbone also having a 2methyl or 2ethyl aziridine group (HX752, HX872 and HX877);
(2) curing agents and catalysts as follows:
(i) triphenyl bismuth (TPB);
(3) burning rate modifiers as follows:
(i) catocene;
(ii) N‑butylferrocene;
(iii) other ferrocene derivatives;.
(4) nitrate esters and nitrato plasticisers as follows:
(i) 1,2,4butanetriol trinitrate (BTTN);
(5) stabilisers as follows:
(i) N‑methylpnitroaniline.
Item 8—Category II
Structural materials usable in the systems in Item 1, as follows:
(a) composite structures, laminates, and manufactures thereof, including resin impregnated fibre prepregs and metal coated fibre preforms therefor, specially designed for use in the systems in Item 1 and the subsystems in Item 2 made either with organix matrix or metal matrix utilizing fibrous or filamentary reinforcements having a specific tensile strength greater than 7.62×104 m (3×106 inches) and a specific modules greater than 3.18×106 m (1.25×108 inches), (see Category IV (f), and Category XIII (d));
(b) resaturated pyrolized (that is, carbon‑carbon) materials designed for rocket systems, (see Category IV (f));
(c) fine grain recrystallized bulk graphites (with a bulk density of at least 1.72 g/cc measured at 15 degrees C), pyrolytic, or fibrous reinforced graphites useable for rocket nozzles and reentry vehicle nose tips (see Category IV (f) and Category XIII;
(d) ceramic composites materials (dielectric constant less than 6 at frequencies from 100 Hz to 10,000 MHz) for use in missile radomes, and bulk machinable silicon‑carbide reinforced unfired ceramic useable for nose tips (see Category IV (f)).
Item 9—Category II
Instrumentation, navigation and direction finding equipment and systems, and associated production and test equipment as follows; and specially designed components and software therefor:
(a) integrated flight instrument systems, which include gyrostabilizers or automatic pilots and integration software therefor; designed or modified for use in the systems in Item 1 (See Category XII(d));
(b) gyro‑astro compasses and other devices which derive position or orientation by means of automatically tracking celestial bodies or satellites (see Category XV(d));
(c) accelerometers with a threshold of 0.05 g or less, or a linearity error within 0.25 percent of full scale output, or both, which are designed for use in inertial navigation systems or in guidance systems of all types (see Category VIII(e) and Category XII (d));
(d) all types of gyros usable in the systems in Item 1, with a rated drift rate stability of less than 0.5 degree (1 sigma or rms) per hour in a 1g environment (see Category VIII(e) and Category XII(d));
(e) continuous output accelerometers or gyros of any type, specified to function at acceleration levels greater than 100 g (see Category XII(d));
(f) inertial or other equipment using accelerometers described by subitems (c) and (e) above, and systems incorporating such equipment, and specially designed integration software therefor (see Category VIII (e) and Category XII(d)).
Note 1: Subitems (a) to (f) may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.
Note 2: In subitem (d):
(a) drift rate is defined as the time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent angular displacement per unit time with respect to inertial space.
(b) stability is defined as standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.
Item 10—Category II
Flight control systems and “technology” as follows; designed or modified for the systems in Item 1.
(a) hydraulic, mechanical, electro‑optical, or electro‑mechanical flight control systems (including fly‑by‑wire systems), (see Category IV (h));
(b) attitude control equipment, (see Category IV, (c) and (h));
(c) design technology for integration of air vehicle fuselage, propulsion system and lifting control surfaces to optimize aerodynamic performance throughout the flight regime of an unmanned air vehicle, (see Category VIII (k));
(d) design technology for integration of the flight control, guidance, and propulsion data into a flight management system for optimization of rocket system trajectory, (see Category IV (i)).
Note: Subitems (a) and (b) may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.
Item 11—Category II
Avionics equipment, “technology” and components as follows; designed or modified for use in the systems in Item 1, and specially designed software therefor:
(a) radar and laser radar systems, including altimeters (see Category XI(a)(3));
(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.