HOW TO ADMINISTER HOW TO ADMINISTER CONTROL LISTSCONTROL LISTS

Mr Jurgen ZacnyMr Jurgen ZacnyDirector Defence Trade Control & ComplianceDirector Defence Trade Control & Compliance

Australian Department of DefenceAustralian Department of Defence

Export Control RegimesExport Control Regimes

►Wassenaar Arrangement (WA)Wassenaar Arrangement (WA)

►Nuclear Suppliers Group (NSG)Nuclear Suppliers Group (NSG)

►Australia Group (AG)Australia Group (AG)

►Missile Technology Control Missile Technology Control Regime (MTCR) – covered Regime (MTCR) – covered separatelyseparately

Treaties and ConventionsTreaties and Conventions

►Nuclear Non-Proliferation Treaty (NPT)Nuclear Non-Proliferation Treaty (NPT)

►Chemical Weapons Convention (CWC)Chemical Weapons Convention (CWC)

►Biological Weapons Convention (BWC)Biological Weapons Convention (BWC)

►Convention for Certain Conventional Convention for Certain Conventional Weapons (CCW) Weapons (CCW)

Control ListControl List

►MunitionsMunitions Defence and related goods and technologyDefence and related goods and technology Designed or adapted for military purposes Designed or adapted for military purposes

including parts and accessoriesincluding parts and accessories

►Dual-useDual-use comprises equipment and technologies comprises equipment and technologies

developed to meet commercial needs but developed to meet commercial needs but which may be used either as military which may be used either as military components or for the development or components or for the development or production of military systems or weapons of production of military systems or weapons of mass destruction mass destruction

Control List (2)Control List (2)

►Munitions List (ML)Munitions List (ML) Categories 1 to 22Categories 1 to 22 Includes:Includes:

►Military platforms and componentsMilitary platforms and components►Weapons and ammunitionWeapons and ammunition►Chemical and biological warfare agentsChemical and biological warfare agents►Explosives Explosives ►Electronic systems and equipmentElectronic systems and equipment►Software and technologySoftware and technology

Control List (3)Control List (3)

►Dual Use ListDual Use List 10 Categories10 Categories Each category covers:Each category covers:

►A. A. Equipment, Assemblies and Equipment, Assemblies and ComponentsComponents

►B. B. Test, Inspection and Test, Inspection and Production EquipmentProduction Equipment

►C. C. MaterialsMaterials►D. D. SoftwareSoftware►E. E. TechnologyTechnology

Control List (4)Control List (4)

►Dual – Use categoriesDual – Use categories Category 0 - Nuclear Materials, Facilities Category 0 - Nuclear Materials, Facilities

and Equipment covers material, and Equipment covers material, equipment and technologies that are equipment and technologies that are specific to the nuclear industry but which specific to the nuclear industry but which could make a contribution to a nuclear could make a contribution to a nuclear weapon activity or an un-safeguarded weapon activity or an un-safeguarded nuclear fuel-cycle activity.nuclear fuel-cycle activity.

Control List (5)Control List (5)►Dual – Use categories (cont)Dual – Use categories (cont)

Category 1 - Materials, Chemicals, Micro-Category 1 - Materials, Chemicals, Micro-organisms and Toxins organisms and Toxins

Category 2 - Materials Processing Category 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 - PropulsionCategory 9 - Propulsion

Updating the Control ListUpdating the Control List

►Regimes consider changes or new Regimes consider changes or new controlscontrols

►Regimes agree controlsRegimes agree controls

►National adoption of control changesNational adoption of control changes

►National implementation of controlsNational implementation of controls

Why Update the Control ListWhy Update the Control List

► Adjust control parameter thresholds to Adjust control parameter thresholds to reflect technological advance reflect technological advance

► Introduce new controls in response to Introduce new controls in response to emerging technologies emerging technologies

► Remove controls no longer relevant to Remove controls no longer relevant to non-proliferation aims non-proliferation aims

► Restructure and modify existing control Restructure and modify existing control text to improve clarity and ease of text to improve clarity and ease of application application

Application of Control ListApplication of Control List

►Understand the technologyUnderstand the technology

►Match export goods specifications to Match export goods specifications to control listcontrol list

►Seek subject matter expert advice if Seek subject matter expert advice if necessarynecessary

ConclusionConclusion

Good management and effective Good management and effective application of control lists are essential application of control lists are essential parts of a best practice export control parts of a best practice export control

system. system.