USML Categories VI and XX: naval vessels

← All Insights

1. Warships and their equivalents

Category VI of the United States Munitions List (USML), part of the International Traffic in Arms Regulations (ITAR), covers "Surface Vessels of War and Special Naval Equipment" (22 CFR 121.1). Paragraph (a), marked with an asterisk, covers warships and other combatant vessels. The regulation lists battleships, aircraft carriers, destroyers, frigates, cruisers, corvettes and littoral combat ships. It adds mine sweepers, mine hunters and mine countermeasure ships, dock landing ships and amphibious assault ships. That asterisk makes these vessels Significant Military Equipment (22 CFR 120.10).

The same paragraph covers Coast Guard cutters with, or equivalent to those with, the American designations WHEC, WMEC, WMSL or WPB (22 CFR 121.1). It also reaches foreign-origin vessels specially designed to provide functions equivalent to any of the listed vessels.

Submarines and other submersibles, which have a category of their own, are covered further down.

2. Other controlled vessels

Paragraph (b) covers four further kinds of vessel (22 CFR 121.1). The first is high-speed air cushion vessels for moving cargo and personnel ship-to-shore and across a beach, with a payload over 25 tons. The second is surface vessels integrated with nuclear propulsion plants, or specially designed to support naval nuclear propulsion plants. The third is vessels armed or specially designed as a platform to deliver munitions or otherwise destroy or incapacitate targets. The examples are firing lasers, launching torpedoes, rockets or missiles, or firing munitions greater than .50 caliber. The fourth is vessels incorporating any mission systems controlled under the ITAR.

A note defines mission systems as systems that are defense articles performing specific military functions (22 CFR 121.1). The examples are military communication, electronic warfare, target designation, surveillance, target detection and sensor capabilities. Under paragraph (b)(4), a vessel that incorporates such a system falls in the category.

Another note sets the outer edge of paragraphs (a) and (b) (22 CFR 121.1). Vessels specially designed for military use that are not identified in either paragraph are subject to the Export Administration Regulations (EAR) under Export Control Classification Number (ECCN) 8A609. That includes demilitarized vessels, whatever their origin or designation, manufactured before 1950 and unmodified since 1949. Modifications adding legally required safety features, cosmetic changes such as different paint, or parts available before 1950 do not count as modifications.

3. Developmental vessels and nuclear plants

Paragraph (c) covers developmental vessels, and their specially designed parts and accessories, funded by the Department of Defense (22 CFR 121.1). The usual exclusions apply to vessels in production, vessels released to Commerce by a commodity jurisdiction ruling, and vessels funded for both civil and military use. It applies to contracts and funding authorizations dated July 8, 2014, or later. Paragraph (d) is reserved.

Paragraph (e), with an asterisk, covers naval nuclear propulsion plants and prototypes, and special facilities for their construction, support and maintenance (22 CFR 121.1). Paragraph (f)(5), also with an asterisk, covers machinery, devices, components and equipment specially designed for those plants or facilities, including production, testing and inspection equipment and tooling. Both entries cross-refer to the nuclear related controls elsewhere in the regulations.

4. Equipment and systems

Paragraph (f) lists nine groups of equipment (22 CFR 121.1). Hulls and superstructures are covered if specially designed for paragraph (a) vessels, if they have armor, active protection or developmental armor systems, or if specially designed to survive 12.5% or greater damage across the length between perpendiculars. Energy systems are covered if they combine storage exceeding 30MJ, a discharge rate less than 3 seconds and a cycle time under 45 seconds. Shipborne auxiliary systems for chemical, biological, radiological and nuclear compartmentalization, over-pressurization and filtration are also covered.

Paragraph (f)(4), with an asterisk, covers control and monitoring systems for autonomous unmanned vessels (22 CFR 121.1). They must be capable of on-board autonomous perception and decision-making for the vessel to find its way, avoid fixed and moving hazards and obey rules of the road without human intervention. Paragraph (f)(6) covers equipment specially designed to integrate articles from Categories II, IV or XVIII, and catapults and arresting gear for aircraft. It carries the (MT) annotation for launcher mechanisms specially designed for rockets, space launch vehicles or missiles with a range of 300 km or more. A note defines range in the same terms used in Category IV, rockets, missiles and munitions.

Shipborne active protection systems are covered (22 CFR 121.1). The regulation describes them as defensive systems that detect and track incoming threats and launch a countermeasure to neutralize the threat before contact with the vessel. Minesweeping and mine hunting equipment is covered too, including mine countermeasures equipment deployed by aircraft. An asterisked final entry reaches any item that is classified, holds classified software tied to defense articles or 600 series items or is under development with classified information.

Two notes close paragraph (f) (22 CFR 121.1). Parts, components and systems specially designed for Category VI vessels but not listed in paragraph (f) are subject to the EAR under ECCN 8A609. Controls on ship signature management are in Category XIII.

5. Submersible vessels in Category XX

Vessels that operate under water sit in a separate category, Category XX, "Submersible Vessels and Related Articles" (22 CFR 121.1). Its paragraph (a) covers submersible and semi-submersible vessels in ten groups, and only submarines specially designed for military use carry an asterisk. The other groups are mine countermeasure and anti-submarine warfare vehicles, and submersibles that are armed, built as weapons platforms or made to deploy military payloads. Swimmer delivery vehicles for divers from submarines are listed, along with submersibles integrated with nuclear propulsion or equipped with any controlled mission system. Developmental submersibles funded by the Defense Department under documents dated July 8, 2014, or later are covered, subject to the usual exclusions.

Two entries reach uncrewed craft (22 CFR 121.1). Paragraph (a)(9) covers uncrewed, untethered vessels with an anti-recovery feature such as a scuttle or self-destruct. Paragraph (a)(10) covers uncrewed, untethered vessels with a gross weight rating exceeding 3,000 lb, designed to operate without human interaction for longer than 24 hours or for more than 70 nmi. Gross weight rating is the maximum operating weight or displacement, including fuel, fluids other than wet ballast open to the sea, payloads, deployables, expendables and cargo (22 CFR 121.0).

Paragraph (b) of Category XX, with an asterisk, covers naval nuclear propulsion plants and quick-reversing, liquid-cooled, totally enclosed electric motors above 0.75 MW (1,000 hp) specially designed for submarines (22 CFR 121.1). Paragraph (c) covers specially designed parts, components and associated equipment, expressly including production, testing and inspection equipment and tooling. Paragraph (d) takes in the related technical data and defense services.

6. Technical data and the EAR paragraph

Technical data and defense services for the articles in paragraphs (a) to (f) fall under paragraph (g) (22 CFR 121.1). It also controls classified technical data about items in ECCNs 8A609, 8B609, 8C609 and 8D609, and defense services using that data. Paragraph (x) provides for Commerce-controlled items shipped with the vessel equipment. Guns carried by vessels are placed by the carrier rule described in Category II, guns and armament.

Key terms

Combatant vessel	A warship of a listed type, or a foreign vessel designed for an equivalent function.
Mission systems	Defense article systems performing military functions such as communication, targeting or surveillance.
ECCN 8A609	The Commerce entry for military vessels and parts not listed in Category VI.
Active protection system	A shipborne system that detects incoming threats and launches a countermeasure before contact.
Gross weight rating	Maximum operating weight or displacement of a conveyance, used in the Category XX uncrewed vessel test.
Unmodified	A pre-1950 vessel changed only for legal safety, cosmetic reasons or with pre-1950 parts.

Every statement above links to the document behind it. The full source list for this piece is on the sources page.

This page describes public United States government programs for general information. It is not legal, regulatory or procurement advice, and it does not address the facts of any particular case.

How Sentfore supports this

Maritime programs need port, transit and site support as much as hardware. Sentfore works at the delivery end of defense programs in difficult environments, providing secure movement, protective security, facilities and life support. Requirements can be sent through the contact page.