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

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

3. 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

4. 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 )

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

6. 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

7. 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

8. 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“

9. 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)

10. 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?

11. 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)

12. 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, …)

13. 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 ?

14. 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)

15. 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)

16. 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

17. 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

18. Thank you for your
attention !