Ulrich Esselborn Germany Vienna, 27. June 2016 Technical Assessment Ulrich Esselborn Germany Vienna, 27. June 2016

Technical Assessment Some views on our National Implementation Ulrich Esselborn Germany Vienna, 27. June 2016

Rating of Items - General Approach The control list(s) refer to items, not to purposes; their provisions are to be regarded as technical provisions The control items inherit technical descriptions

Rating of Items - General Approach The control text is to be interpreted with some technical background (Technical) knowledge about list and list structure is essential ( Content and Relevance of Dual-Use-Categories and Sub- Categories )

Rating of Items - General Approach Industrial (or military) experience is a very valuable asset Internal data base information may support rating substantially

Rating of Items - General Approach The control text is to be interpreted with some technical background. Knowledge about list structure (and specific) content is essential * Industrial (or military) experience is a very valuable asset * (Internal) Data base information (may support rating substantially) * * in an adaptive mode

Rating of Items - General Approach The applicant has to evaluate necessity for a licence apllication in his own right The applicant may (or may not) provide a rating code within the licence application If BAFA disagrees, we have to identify and name specific technical features to justify of correct the rating provided by the applicant

Technical Rating of Items - General Approach BAFA gives advice about the rating of goods only in a limited number of cases Uncontrolled goods „close to the control scope“ can be subject of a formal confirmation „Goods are not specified in control list“

Rating of Items - General Approach Exporter has to evaluate goods in his own There are no rating seminars sponsored by the Government No return without action (normally)

Rating of Items - Detailed Approach Which control list/ which Category is relevant? WA: Munitions List / Dual-Use-List Wassenaar Arrangement/ Missile Technology Regime/NSG/AG There is a (limited) set of goods which are specified by more than one regime Does the licence application include some technical rating made by some other Wassenaar Arrangement Participating State?

Rating of Items - Detailed Approach What is it about in detail? Precise description of relevant item (is a legal requirement) Is the item a „complete system“ or is it to be integrated in a system? If the item itself is the complete system, then this item is to be evaluated (against the text of the control list)

Rating of Items - Detailed Approach Some Examples: a chemical substance can be complete system (to be evaluated in ist own right) an antenna will be a part of a communication system – the antenna be listed in its own right, it could as well be listed as a part of a controlled system a gearbox is a system where mechanical energy is transferred ( in a vehicle, in a test system, in a grinding machine, …) an electronic circuit will be integrated in an overall system for whatever application (measuring, controlling, communication, …)

Rating of Items - Detailed Approach What kind of technical features are inherited within the item to be rated ? e. g. specially designed / modified for … - military use - certain application ?

Technical Assessment - Documentation Documentation on specific cases: - contains final rating and reasoning behind - explanation of typical end uses for goods under review - plausibility of quantities - evaluation of plausibility for stated end use (possibility of inappropriate use)

Technical Assessment - Documentation Extended rating codes are used to support internal docu- mentation - references to SL- and VSL entries - adaptive representation of WA granularity - specification of sub sets for certain equipment (sub sets to ML items)

Technical Assessment - Documentation Extended rating codes are used to support internal docu- mentation - other legal requirements (e. g. controls on wea- pons of war) - components / system

Technical Assessment - Subsequent Decisions Technical Assessment is a major pillar to support the decision on the issuance of a licence (Major) Decisions are made in consultation with senior officials from Ministries

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