The Export Control Lists of the European Union Taipei, 2 nd September 2014 Joachim Wahren: Retired Head of Directorate, Federal Office of Economics and Export Control (BAFA), Germany 1
Content The Consolidated Dual-Use List (Annex I to the EU Dual-Use Regulation) Updating procedure for the Dual-Use List The Common Military List (CML) Pro s for adopting the lists 2
Composition of the Export Control Lists Missile Technology Control Regime M T C R Nuclear Suppliers Group N S G Australia Group (chemical / biological weapons) A G Wassenaar Arrangement Dual-Use List W A Chemical Weapon Convention C W C Munitions List National Control Items German Goods Control List ("Ausfuhrliste") European Dual-Use Goods List (Annex I) 3
References to the international export control regimes The Consolidated Dual-Use List (Annex I to the EU Dual-Use Regulation) is based on the dual-use controls of the following international export control regimes: Wassenaar Arrangement (Dual-Use List) (www.wassenaar.org) Missile Technology Control Regime (MTCR) (www.mtcr.info) Nuclear Suppliers Group (NSG), Part 1 and 2 (www.nsg-online.org) Australia Group (AG) (www.australiagroup.net) The Common Military List (CML) of the EU is based on the Munitions List of the Wassenaar Arrangement (www.wassenaar.org). 4
Parallel Lists versus Consolidated List Parallel lists: Easy to draft and to update High degree of double coverage for groups of goods controlled by more than one regime Consolidated list: More complex to draft and to update Much less double coverage for groups of goods controlled by more than one regime For legal reasons (minimization of double coverage) the principle of Consolidated List together with a clear numbering system has been selected for drafting the Common Dual-Use List of the EU. 5
Structure of the Dual-Use List General Notes to Annex I Definitions (List of terms in double quotation marks ) Acronyms and Abbreviations Category 0 Nuclear Materials, Facilities and Equipment Category 1 Special Materials and Related Equipment Category 2 Material Processing Category 3 Electronics Category 4 Computers Category 5 Telecommunications, Part 1 and Information Security, Part 2 Category 6 Sensors and Lasers Category 7 Navigation and Avionics Category 8 Marine Category 9 Aerospace and Propulsion 6
General Notes to the Dual-Use List Note referring to controls of Member States on military goods Principal Element Note Defines control status of listed components as part of unlisted goods Component is controlled when Principle Element and easily removable Note stating that Annex I includes used goods Nuclear Technology Note (NTN) Valid for Category 0 (special nuclear goods) Defines wide control as technology directly associated with Decontrol for public domain and basic scientific research General Technology Note (GTN) Valid for Categories 1 to 9 Defines control as technology required for (key technology) Decontrol for public domain, basic scientific research and patent applications General Software Note (GSN) Decontrol for public domain Decontrol for specific mass market software (not valid for Cat. 5, Part 2 Information Security ;; in Cat. 5, Part 2 the Cryptography Note decontrols specific mass market goods ) 7
Control items in the Dual-Use List Each control item consists of Category (0 to 9), Subcategory (A Systems, equipment and components, B Test, inspection and production equipment, C Materials, D Software, E Technology ) and a three digit number with its first digit showing the regime origin. Numbering of subitems within a control item follows the sequence: number, letter,number, letter, etc. Typical examples of control items are: 2B004, 2B104 and 2B204 7A003 and 7A103 5D002 9E003 3A002c2 1C350 and 1C450 Isostatic presses Inertial navigation equipment Software for information security Technology for propulsion systems Specific signal analysers Toxic chemicals 8
Updating procedure for the Dual-Use List WA MTCR NSG AG (CWC) "UK - Drafting - Secretariat" EU-Dual-Use Working Group Translation phase (into all EU languages) Enactment phase Annex I to the EU Dual-Use-Regulation 9
The Common Military List (CML) The Common Military List serves as reference list to the EU Code of Conduct on Arms Export (agreed in 1998): ML 1 Small weapon systems ML 2 Large weapons ML 3 Ammunition for weapons ML 4 Bombs and rockets ML 5 Fire control equipment ML 6 Military land vehicles ML 7 ABC-weapons and ABC-protection ML 8 Explosives and propellants ML 9 Military vessels ML 10 Military aircraft ML 11 Military electronics ML 12 Kinetic energy weapons ML 13 Armoured or protective equipment ML 14 Milit. training and simulation equipment ML 15 Military imaging equipment ML 16 Specific unfinished military products ML 17 Miscellaneous military equipment ML 18 Production equipm. for munitions items ML 19 Directed energy weapon systems ML 20 Milit. cryogenic and supercond. equipm. ML 21 Software for munitions items ML 22 Technology for munitions items 10
Pro s for adopting the EU Lists Globalization of trade strongly asks for harmonization of goods classification. Many countries (e.g. Switzerland, Norway, Singapore, Malaysia, US, Georgia, Kazakhstan) are already using or are planning to use the EU list structure. The Dual-Use List of the EU integrates the dual-use controls of the international export control regimes into one consolidated list, whilst the Common Military List of the EU mirrors the Munitions List of the Wassenaar Arrangement. Thus the scope of control of the EU Lists is based on the knowledge of real experts within the technical discussions in the international export control regimes. The EU Lists are periodically updated according to changes agreed within the relevant export control regimes. Additional national controls can easily be included into the existing list structure. 11
Thank you very much for your attention! E-mail: jowahren@web.de Phone: +49-221-27140082 12