1. Missile Technology Control Regime (MTCR)
Sean Monogue
Office of Missile, Biological, and Chemical Nonproliferation
Bureau of International Security & Nonproliferation
U.S. Department of State

2. Missile Technology Control Regime (MTCR)
Objective: To combat missile proliferation, in particular by controlling the transfer of equipment and technology that could contribute to missiles capable of delivering weapons of mass destruction (WMD).

3. Missile Technology Control Regime (MTCR)
Created in 1987.
Voluntary political arrangement; not a treaty.
34 partner countries.
Seeks to limit the proliferation of missiles capable of delivering WMD and related technology.
Controls virtually all equipment, software, and technology needed for missile development, production, and operation.

4. MTCR: How it works …
MTCR Partners (members) control a common list of items (MTCR Equipment, Software and Technology Annex, or the MTCR Annex) according to a common policy (MTCR Guidelines).
The MTCR restricts transfers of missiles, and equipment and technology related to missiles, capable of a range of at least 300 km.
A Category I or MTCR-class missile is capable of delivering a payload of at least 500 kg to a range of at least 300 km.
Transfers of Category I missiles are subject to a strong presumption of denial regardless of destination/purpose.

5. MTCR: How it works (continued) …
The MTCR Guidelines and Annex are open to all countries to implement.
MTCR controls are implemented by each country in accordance with its national laws and regulations.
MTCR export controls are not licensing bans.
They are regulatory efforts by individual Partners to prevent transfers of items that contribute to systems capable of WMD delivery.

6. MTCR: Category I Items
Transfers of Category I items are subject to a strong presumption of denial regardless of the purpose of the export.
Category I items are licensed for export only on rare occasions.
The transfer of Category I production facilities is prohibited absolutely.

7. MTCR: Category I Items (continued)
Examples of Category I Items:
Ballistic and cruise missiles
Target drones
Sounding rockets
Space launch vehicles
Rocket motors/engines
Reentry vehicles
Guidance sets

8. MTCR: SLVs and Ballistic Missiles
MTCR controls do not distinguish between ballistic missiles and space launch vehicles (SLVs).
Any rocket capable of putting a satellite into orbit is inherently capable of delivering weapons of mass destruction.
Ballistic missiles and SLVs derive from nearly identical and virtually interchangeable technologies.
The main difference between SLVs and offensive ballistic missiles is their payload and intended use. With the addition of a weapons payload and different guidance algorithms, SLVs can be used as ballistic missiles.
Accordingly, all transfers of MTCR Category I items are subject to an unconditional strong presumption of denial regardless of purpose.

9. MTCR: Category II Items
Category II item transfers reviewed on a case-by-case basis
Propulsion components - motor cases
Propellants and constituents-fuel, oxidizer
Propellant production tech - mixers
Structural composites equipment - filament winding machines, tape-laying machines
Radiation Hardened microcircuits

10. MTCR Annex Category II Examples
Flight control systems
Flight instruments, inertial navigation equipment, software - gyroscopes
Avionics equipment - GPS receivers
Structural materials - composites
Launch/ground support equipment - telemetry, transporter-erector-launchers
Missile computers - ruggedized
Analog-to-digital converters - mil-spec
Test facilities and equipment - vibration sets
Software and related analog or hybrid computers - modeling software
Reduced observables, materials – stealth
Sub-Category I missiles and rocket motors/engines

11. Missile Technology Export Control Group (MTEC)
Reviews U.S. missile technology exports
Interagency, State-chaired.
One of many government agency reviews.
Reviews license applications administered by Department of
Commerce (dual use) and Directorate of Defense Trade
Controls (DDTC) (munitions).
Recommendation rarely overruled.
Meets weekly for nonproliferation policy review on about 90
cases (2 hours).
MTCR commitments; national policies; catch-all controls.

12. U.S. Export Control Policy
National nonproliferation policy since Sep ‘93
U.S. does not support the development or acquisition of MTCR Category I systems, including space launch vehicles, in non-MTCR countries
US will not encourage new (not supported pre -1987) space-launch vehicle programs in MTCR countries
Italian Unmanned Space Vehicle
Indian GSLV
Chinese Shenzhou 5

13. Space Policy and Nonproliferation
National Security Space Strategy (January 2011)
Decisions on partnering will be consistent with U.S. policy
and international commitments and consider cost, protection
of sources and methods, and effects on the U.S. industrial
base.
National Space Policy (June 2010)
All actions undertaken … shall be … consistent with U.S. law and regulations, treaties and other agreements to which the United States is a party, other applicable international law, U.S. national and homeland security requirements, U.S. foreign policy, and national interests …
… departments and agencies should seek to enhance the competitiveness of the U.S. space industrial base while also addressing national security needs … The United States Government will consider the issuance of licenses for space-related exports on a case-by-case basis, pursuant to, and in accordance with, the International Traffic in Arms Regulations, the Export Administration Regulations, and other applicable laws, treaties, and regulations.

14. Off-Shore Procurement
U.S. off-shore procurement policy -- Recommend denial of imports of MTCR Annex items from Category I missile programs of proliferation concern (non-MTCR countries)
Presidential waiver required to overrule
L40 strap-on for the GSLV

15. Conclusion
MTCR is the centerpiece of U.S. missile nonproliferation policy.
Export controls, licensing, interdictions, diplomatic exchanges, visa screening and sanctions are tools of implementation.

16. BACK UP SLIDES

17. Designating Defense Articles and Defense Services
§ 2778 (a) (1) of the Arms Export Control Act
“In furtherance of world peace and the security and foreign policy of the United States, the President is authorized to control the import and the export of defense articles and defense services and to provide foreign policy guidance to persons of the United States involved in the export and import of such articles and services. The President is authorized to designate those items which shall be considered as defense articles and defense services for the purpose of this section and to promulgate regulations for the import and export of such articles and services. The items so designated shall constitute the United States Munitions List.”
§ of the International Traffic in Arms Regulations (ITAR) is the “Policy on designating and determining defense articles and services.”
§ of the ITAR is the regulation for the Commodity Jurisdiction process.

18. Policy for Designating Defense Articles and Defense Services
§120.3 Policy on designating and determining defense articles and services
An article or service may be designated or determined in the future to be a defense article (see §120.6) or defense service (see §120.9) if it:
(a) is specifically designed, developed, configured, adapted, or modified for a military application, and
(i) Does not have predominant civil applications, and
(ii) Does not have performance equivalent (defined by form, fit and function) to those of an article or service used for civil application; or
(b) is specifically designed, developed, configured, adapted, or modified for a military application, and has significant military or intelligence applicability such that control under this subchapter is necessary.
The intended use of the article or service after its export (i.e., for a military or civilian purpose) is not relevant in determining whether the article or service is subject to the controls of the U.S. Munitions List. The scope of the U.S. Munitions List shall be changed only by amendments made pursuant to section 38 of the Arms Export Control Act (22 U.S.C. 2778)

19. Electronic Commodity Jurisdiction Submission
DDTC is now processing CJ requests using an automated system. The automated system allows on-line CJ requests using the DS-4076 Commodity Jurisdiction (CJ) Request Form with attachments.
Registration is not required to submit a CJ request.
If it is determined that the article or service is controlled by the USML, registration with DDTC is required for all exporters, manufacturers, furnishers, and brokers.
DDTC highly encourages for the manufacturer or service provider submit the CJ request.
If you are not the manufacturer or service provider, you must have a letter of authorization from the manufacturer or service provider, authorizing the applicant to submit a CJ on their behalf.
Go to for more information

20. Commodity Jurisdiction Timelines
Department of State provides CJ applications to other government agencies for review and recommendations. These include: Commerce, Defense, FAA, NASA, Energy, and others with an interest in the commodity.
The interagency process can be complex and take some time to reach a decision. It is recommended that should an applicant need to export something while a CJ request is in process, an Export License be requested from Defense Trade Controls Licensing (DTCL). This request will not prejudice the final determination of your CJ request.
Any export license request would be subject to all regulations and policies of DTCL.
Although every effort is made to complete a CJ Request in 60 days, it may take longer to complete the review.

21. Important Notes
A CJ issued by DDTC is the only legally-binding determination of jurisdiction.
The Department of Commerce may provide you with a Export Control Classification Number, but if you did not submit a CJ your product may still ultimately be ITAR controlled.
Part 121 of the ITAR contains the categories of the United States Munitions List (USML).
Items specifically enumerated on the list are controlled by the Department of State.
An export license requested during CJ processing does not prejudice the final determination.
Please fill out Block 5 of the 4076 as completely as possible, and be as specific and concise as possible in Block 15 should you feel information is proprietary.
Applications and all attached documents will be reviewed by technical experts and generalists, so please explain your submission with both audiences in mind.

22. MTCR Guidelines - Six Factors to Consider in Export Decisions
Concerns about the proliferation of weapons of mass destruction (WMD)
Capabilities and objectives of missile and space programs of the recipient state
Significance of transfer in terms of potential development of delivery systems for WMD
End-use assessment
Applicability of multilateral agreements
Risk of items falling into the hands of terrorist groups or individuals

23. Legislation on Exports to China
H.R (FY 99 National Defense Authorization Act) requires the President to certify to Congress at least 15 days in advance of any export to China of missile equipment or technology (defined in AECA section 74) that:
such export is not detrimental to the U.S. space launch industry
the missile equipment or technology (including any indirect technical benefit), will not measurably improve China’s missile or space launch capabilities
Accelerometer and IMU

24. Legislation on Exports to China, Cont.
Tiananmen Square Sanctions
Enacted by Congress following June 1989 Tiananmen massacre
Suspension of licenses for export to China of defense articles on U.S. Munitions List, and prohibition of new such licenses absent Presidential waiver
Accelerometer and IMU