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Ambassador Philip Griffiths

Head of Secretariat

www.wassenaar.org

Moscow State University for International Relations (MGIMO)

24 April 2013

41 Wassenaar 41 Wassenaar Arrangement Arrangement

Participating StatesParticipating States

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Where Does the W A Fit?

WA: Wassenaar Arrangement (Conventional)

AG: Australia Group (Chemical & Biological)MTCR: Missile Technology Control Regime (Missiles)

NSG: Nuclear Suppliers Group (Nuclear)ZC: Zangger Committee (Nuclear)

Conventional arms& related goods &

technologies

WMD and means of delivery

non-proliferation

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PURPOSES

CONTRIBUTE TO REGIONAL AND INTERNATIONAL SECURITY AND STABILITY BY PROMOTING:

-- TRANSPARENCY;

-- GREATER RESPONSIBILITY IN TRANSFERS OF

CONVENTIONAL ARMS AND DUAL-USE GOODS &

TECHNOLOGIES, THUS

PREVENTING DESTABILISING ACCUMULATIONS, AND

-- PREVENTING ACQUISITION BY TERRORISTS

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WA Basic Commitments:

• Impose Effective National Export Controls

• Report to other WA States Certain Transfers & Denials

Implementation of WA Commitments through National Legislation & Policies, at National Discretion

Licences for/or Denials of Licences for/or Denials of Export of Controlled ItemsExport of Controlled Items

A National Decision,A National Decision,

but Open to but Open to Scrutiny by WA Partners by WA Partners

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Specific Information ExchangeSpecific Information ExchangeNotifications of Transfers and Denials Notifications of Transfers and Denials

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General Information ExchangeDiscussion of Risks and ConcernsDiscussion of Risks and Concerns

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Control Lists

Created by Consensus

Two Lists:

• Munitions List

• Dual-Use List

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Dual-Use List: 9 CategoriesDual-Use List: 9 Categories(Close to 1000 Items)(Close to 1000 Items)

Category 1: Special MaterialsCategory 1: Special Materials Category 2: Materials processingCategory 2: Materials processing Category 3: ElectronicsCategory 3: Electronics Category 4: ComputersCategory 4: Computers Category 5 Part 1: TelecommunicationsCategory 5 Part 1: Telecommunications Category 5 Part 2: Information SecurityCategory 5 Part 2: Information Security Category 6: Sensors and LasersCategory 6: Sensors and Lasers Category 7: Navigation and AvionicsCategory 7: Navigation and Avionics Category 8: MarineCategory 8: Marine Category 9: Aerospace and PropulsionCategory 9: Aerospace and Propulsion

The Munitions ListThe Munitions List(Close to 300 Items)(Close to 300 Items)

ML1. ML1. Smooth-bore weapons with a calibre of less Smooth-bore weapons with a calibre of less than 20 mm, other arms and automatic weapons than 20 mm, other arms and automatic weapons with a calibre of 12.7 mmwith a calibre of 12.7 mm

ML2.ML2. Smooth-bore weapons with a calibre of 20 mm or Smooth-bore weapons with a calibre of 20 mm or more, other weapons or armament with a calibre more, other weapons or armament with a calibre greater than 12.7 mmgreater than 12.7 mm

ML3.ML3. Ammunition for the weapons controlled by ML 1, Ammunition for the weapons controlled by ML 1, ML 2 or ML 12ML 2 or ML 12

ML4.ML4. Bombs, torpedoes, rockets, missiles, other Bombs, torpedoes, rockets, missiles, other explosive devices & chargesexplosive devices & charges

ML5.ML5. Fire control, and related alerting and warning Fire control, and related alerting and warning equipmentequipment

ML6.ML6. Ground vehicles and componentsGround vehicles and componentsML7.ML7. Chemical or biological toxic agents, "tear gases", Chemical or biological toxic agents, "tear gases",

radioactive materialsradioactive materialsML8.ML8. "Energetic materials" (explosives, propellants…), "Energetic materials" (explosives, propellants…),

and related substancesand related substancesML9.ML9. Vessels of war, special naval equipment and Vessels of war, special naval equipment and

accessoriesaccessoriesML10.ML10. "Aircraft", UAVs, aero-engines and "Aircraft", UAVs, aero-engines and

"aircraft" equipment"aircraft" equipment

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The Munitions ListThe Munitions List (cont.)(cont.)

ML11.ML11. Electronic equipment, not controlled elsewhere on the Electronic equipment, not controlled elsewhere on the Munitions List Munitions List

ML12.ML12. High velocity kinetic energy weapon systemsHigh velocity kinetic energy weapon systems

ML13.ML13. Armoured or protective equipmentArmoured or protective equipment

ML14.ML14. Specialised equipment for military training or for simulating Specialised equipment for military training or for simulating military scenarios, simulatorsmilitary scenarios, simulators

ML15.ML15. Imaging or countermeasure equipmentImaging or countermeasure equipment

ML16.ML16. Forgings, castings and other unfinished products specially Forgings, castings and other unfinished products specially designed for any products controlled by ML1.to ML4., ML6., designed for any products controlled by ML1.to ML4., ML6., 9.,10., 12. or 19.9.,10., 12. or 19.

ML17.ML17. Miscellaneous equipment (diving apparatus, Nuclear power Miscellaneous equipment (diving apparatus, Nuclear power generating equipment or propulsion equipment, including generating equipment or propulsion equipment, including "nuclear reactors"…)"nuclear reactors"…)

ML18.ML18. Equipment for the production of products referred to in the Equipment for the production of products referred to in the Munitions ListMunitions List

ML19.ML19. Directed energy weapon systemsDirected energy weapon systems

ML20.ML20. Cryogenic and "superconductive" equipment,Cryogenic and "superconductive" equipment,

ML21.ML21. "Software","Software",

ML22.ML22. "Technology""Technology" 10

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WA Lists and the EU

The Munitions List is included in the EU Common Military List (used for EU Common Rules [Ref: Common Position No. 2008/944] on Arms Transfers)

The Dual-Use List is included in Annex 1 to EU Dual-Use Regulation (legally binding)

Best Best Practices Practices

DocumentsDocuments

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These are nThese are non-binding documents that have been on-binding documents that have been developed to help Participating States (and developed to help Participating States (and others) put in place regulations and practices to others) put in place regulations and practices to implement implement responsible and effective export responsible and effective export controls. controls.

Best Practice Guidelines on Internal Best Practice Guidelines on Internal Compliance Programmes (ICPs) for Dual-Compliance Programmes (ICPs) for Dual-

Use Goods and TechnologiesUse Goods and Technologies

ICPs help exporters of goods and services to abide by ICPs help exporters of goods and services to abide by national export controls national export controls

WA Participating States agree to encourage exporters to WA Participating States agree to encourage exporters to develop and implement Internal Compliance develop and implement Internal Compliance Programmes, which can be a pre-condition for approval Programmes, which can be a pre-condition for approval of general licencesof general licences

Size, organizational structure and other circumstances of Size, organizational structure and other circumstances of the exporter will determine the nature of the ICP. the exporter will determine the nature of the ICP.

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Best Practice Guidelines on Subsequent Best Practice Guidelines on Subsequent Transfer (Re-export) Controls for Conventional Transfer (Re-export) Controls for Conventional Weapons Systems contained in Appendix 3 to Weapons Systems contained in Appendix 3 to

the WA Initial Elementsthe WA Initial Elements

WA Participating States have agreed that government-to-WA Participating States have agreed that government-to-government agreements, end-user assurances (EUC) government agreements, end-user assurances (EUC) and export licences will contain a re-export clauseand export licences will contain a re-export clause

Subsequent transfers should require the prior Subsequent transfers should require the prior authorization of the original exporting governmentauthorization of the original exporting government

Re-export to third parties of arms produced under Re-export to third parties of arms produced under licence should be consistent with licence should be consistent with agreements/EUCs/licences for transfer of production agreements/EUCs/licences for transfer of production technologytechnology

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Elements for Objective Analysis and Advice Elements for Objective Analysis and Advice Concerning Potentially Destabilising Concerning Potentially Destabilising

Accumulations of Conventional WeaponsAccumulations of Conventional Weapons

Questions for consideration by Participating States when Questions for consideration by Participating States when they consider licensing applications:they consider licensing applications:Participating States are encouraged to consider how arms Participating States are encouraged to consider how arms transfers could influence civil armed conflicts; the risk of transfers could influence civil armed conflicts; the risk of diversion to illicit trade; and whether a receiving state has an diversion to illicit trade; and whether a receiving state has an effective export control system and effective physical security effective export control system and effective physical security for weapons storagefor weapons storage2011 amendments include:2011 amendments include:

• Consideration of UN Security Council arms embargoes or other Consideration of UN Security Council arms embargoes or other UNSC restrictions against a state or other states in the region;UNSC restrictions against a state or other states in the region;

• Information provided on arms embargoes, the importing state’s Information provided on arms embargoes, the importing state’s foreign and military policy, accumulation of arms in a particular foreign and military policy, accumulation of arms in a particular state, or the intention to use force to resolve a dispute.state, or the intention to use force to resolve a dispute.

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Other Best PracticesOther Best Practices

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Non-binding documents have been developed to fulfil WA purposes in other areas:

• End-Use Assurances

• Catch-All

• Small Arms & Light Weapons

(SALW)

• Arms Brokering

MADPADS ElementsMADPADS Elements (adopted in 2000, modified in 2003 and (adopted in 2000, modified in 2003 and

2007)2007)

MANPADS MANPADS should be should be exportexporteded only to only to governments governments

Consent of exporting country required for re-Consent of exporting country required for re-exportsexports

EEach transfer subject to an individual licenach transfer subject to an individual licenccee Observance of safety measures, including Observance of safety measures, including

technical performance and/or launch control technical performance and/or launch control featuresfeatures

Prudent procedures for secure disposal and Prudent procedures for secure disposal and destruction of excess MANPADS stocksdestruction of excess MANPADS stocks

WA ready to assist in MANPADS disposalWA ready to assist in MANPADS disposal

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Controls on ITTControls on ITT Intangible TransfersIntangible Transfers of both dual-use and of both dual-use and

conventional weapons technology are also conventional weapons technology are also controlled:controlled:

Technical information (blueprints, manuals, etc.)Technical information (blueprints, manuals, etc.) Technical assistance (training, consultancy, etc.)Technical assistance (training, consultancy, etc.)

Transmission – both Electronic and OralTransmission – both Electronic and Oral

Focus on:Focus on:

National Legislation - definition & scope of controlsNational Legislation - definition & scope of controls Industry and AcademiaIndustry and Academia

- - Require record-keeping, compliance checksRequire record-keeping, compliance checks

- - Promote awareness & self-regulationPromote awareness & self-regulation18

WA Outreach WA Outreach The Arrangement conducts The Arrangement conducts outreach to non-Participating outreach to non-Participating States, industry and other States, industry and other interested groups to promote interested groups to promote effective export controls and to effective export controls and to explain how the WA operates.explain how the WA operates.

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