The Missile Technology Control Regime

Presented by Malcolm Smith

Chairman of MTCR Technical Experts

The Aims of MTCR and how it achieves them

• It sets out Guidelines which members formally undertake to uphold

• It asks non-partners to adhere to the Guidelines

Purpose of the Guidelines I

• To limit the risks of proliferation of WMD (i.e. nuclear, chemical and biological weapons) by controlling transfers that could make a contribution to delivery systems (other than manned aircraft) for such weapons.

• To limit the risk of controlled items and their technology falling into the hands of terrorist groups and individuals.

Purpose of the Guidelines II

• Not intended to impede national space programs or international co-operation in such programs as long as they could not contribute to delivery systems for WMD.

The Guidelines Comprise

• An Objective, Practices, Procedures and a list Technologies contained in -

• An Equipment, Software and Technology Annex

Objective

• Guidelines together with the Annex are the basis for controlling transfers to any destination of:

– Any delivery system (other than manned aircraft) capable of delivering WMD,

– Equipment and technology relevant to missiles whose performance in terms of payload and range exceeds stated parameters.

Evaluating a Transfer I

• Concerns about the proliferation of WMD

• Capabilities and objectives of missile and space programs of recipient state

• Significance of the transfer in terms of the potential development of delivery systems (other than manned aircraft) for WMD

Evaluating a Transfer II

• Assessment of the end use of the transfer• Obtain these assurances from the recipient state

– Items will be used only for the purpose stated and will not be modified nor replicated without the prior consent of the authorising Government

– Items, replicas or derivatives will not be re-transferred without the consent of the authorising Government

Evaluating a Transfer III

• Applicability of relevant multilateral agreements.

• The risk of controlled items falling into the hands of terrorist groups and individuals.

• Exchange relevant in formation with other governments applying the Guidelines

Preview of The Annex

• The Annex consists of two categories of equipment and technology:

– Category I - Item 1 & Item 2 - of greatest sensitivity

– Category II - Item 3 to Item 20

Transfer Procedures I

• Restraint on transfer of any Annex item - considered on a case-by-case basis

• Particular restraint on Category I transfers regardless of purpose, and with a strong presumption to deny

• Particular restraint on any transfer of Annex items, or of any missiles (whether or not in the Annex), if the Government judges they are intended for the delivery of WMD and there will be a strong presumption to deny

Transfer Procedures II

• Category I Production Facilities will not be authorised

• Other Category I items will be authorised only rarely and require:– binding government-to-government undertakings– exporting government to assume responsibility for

ensuring that the item is put only to its stated end-use

Transfer Procedures III

• The decision to transfer remains the sole and sovereign judgement of the Government.

• The transfer of design and production technology directly associated with any items in the Annex will be subject to as great a degree of scrutiny and control as will the equipment itself.

Introducing the Annex

• Introduction

• Definitions

• Terminology

• Category I (Items 1 and 2)

• Category II (Items 3 to 20)

• Statement of Understanding

Annex Introduction

• An explanation of Category I and Category II

• Guidance on assessment of Category I and Category II systems and requirement to consider the ability to trade-off Range and Payload

• Notes on the assessment of Technology and Software

Annex Definitions

• Gives guidance on how to apply certain common words found in the Annex, in particular, Range and Payload

Annex Terminology

• Gives guidance on how to apply certain common expressions found in the Annex, which are insufficient to be definitions

Category I

• Item 1 - Complete Delivery Systems

• Item 2 - Complete Subsystems usable for Complete Delivery Systems

Category II (1)

• Item 3 - Propulsion Equipment and Components

• Item 4 - Propellants, Chemicals & Propellant Production

• Item 5 - Reserved for future use

• Item 6 - Structural materials– Production of structural composites– Pyrolytic deposition & densification

Category II (2)

• Item 7 - Reserved for future use

• Item 8 - Reserved for future use

• Item 9 - Instrumentation, Navigation & Direction finding

• Item 10 - Flight Control

• Item 1l - Avionics

• Item 12 - Launch Support

• Item 13 - Computers

Category II (3)

• Item 14 - Analogue to digital Converters

• Item 15 - Test Facilities and Equipment

• Item 16 - Modelling-Simulation & Design Integration

• Item 17 - Stealth

• Item 18 - Nuclear Effects Protection

• Item 19 - Other complete delivery Systems

• Item 20 - Other Complete Subsystems

Structure of an Item List

• A - Equipment Assemblies & Components

• B - Test & Production Equipment

• C - Materials

• D - Software

• E - Technology

Structure of an Item List - Examples

• 6A - Composite structures specially designed for use in systems specified in 1A or 2A

• 6B - Filament winding machines

• 6C - Resin impregnated fibre prepregs • 6D - Software specially designed for filament winding

machines

• 6E - Technical Data for regulation of autoclaves for the production of composites

Statement of Understanding

• Guidance on the use of National and International Standards referred to in the Annex

The Catch-All

• For items not listed in the Annex the government will:– if it knows of intended use in delivery systems for

WMD it will require an authorisation for the transfer, or

– if the exporter is aware the products may be for such activities, require notification by the exporter to the authorities who will decide whether or not an authorisation is necessary