the wassenaar arrangement

234 Pages·2013·1.3 MB·English

PUBLIC STATEMENT
2013 PLENARY MEETING

OF

THE WASSENAAR ARRANGEMENT ON EXPORT CONTROLS FOR

CONVENTIONAL ARMS AND DUAL-USE GOODS AND TECHNOLOGIES

1
The nineteenth Plenary meeting of the Wassenaar Arrangement , chaired by
Ambassador Liselotte Plesner of Denmark, was held in Vienna on 3 to 4 December 2013.

The Arrangement has continued its efforts to contribute to international and regional
security and stability by promoting transparency and greater responsibility in the
transfer of conventional arms and dual-use goods and technologies, thus preventing
destabilizing accumulations. Participating States regularly conduct a Regional Views
exercise to exchange information on risks associated with transfers of arms and dual-
use goods focusing on specific geographic regions. They have also agreed to conduct
further work on addressing new challenges, including emerging technologies of
concern, to keep pace with advances in technology, research and innovation.

Participating States have worked to make the existing control lists more readily
understood and user-friendly for licensing authorities and exporters, and to ensure the
detection and denial of undesirable exports. This year progress was made on a
comprehensive and systematic review of the Wassenaar Lists to ensure their continued
relevance.

In 2013, new export controls were agreed in a number of areas including surveillance
and law enforcement/intelligence gathering tools and Internet Protocol (IP) network
surveillance systems or equipment, which, under certain conditions, may be detrimental
to international and regional security and stability. Participating States also further
clarified existing controls in respect of inertial measurement equipment or systems and
relaxed some controls such as for instrumentation tape recorders and digital
computers.

Participating States continued to exchange information and views aimed at
strengthening national export control implementation in areas such as prevention of
destabilizing accumulations of conventional arms, end-use(r) assurances, controls on
transit and trans-shipment, brokering and re-export, as well as catch-all provisions.
Information was also exchanged on industry engagement and internal compliance
programmes.

1
The Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and
Technologies was established on the basis of the Initial Elements adopted in July 1996 (see
website:www.wassenaar.org). Meetings are normally held in Vienna, Austria, where the Arrangement is
based. Currently the Participating States of the Wassenaar Arrangement are: Argentina, Australia, Austria,
Belgium, Bulgaria, Canada, Croatia, the Czech Republic, Denmark, Estonia, Finland, France, Germany,
Greece, Hungary, Ireland, Italy, Japan, Latvia, Lithuania, Luxembourg, Malta, Mexico, the Netherlands, New
Zealand, Norway, Poland, Portugal, the Republic of Korea, Romania, the Russian Federation, Slovenia,
Slovakia, South Africa, Spain, Sweden, Switzerland, Turkey, Ukraine, the United Kingdom, and the United
States. 1
The Wassenaar Arrangement has undertaken significant efforts to encourage voluntary
adherence to its standards by non-Participating States. The Arrangement continues to
conduct outreach in support of its aims and objectives, in particular through post-
Plenary briefings, promoting WA best practice documents, bilateral dialogue with non-
Participating States, including through outreach visits, and interaction with industry.
The Plenary decided to continue to offer an enhanced technical briefing on changes to
the Wassenaar Arrangement control lists to a number of non-Participating States in
2014. The WA also maintains contacts with other relevant regional and international
organizations engaged in related activities. Informal contacts were maintained with the
Nuclear Suppliers Group (NSG) on control list issues.

Participating States this year welcomed the adoption of the Arms Trade Treaty by the
United Nations General Assembly on 2 April 2013. The goals of the Arms Trade Treaty
align with those of the Wassenaar Arrangement. The Participating States of the
Wassenaar Arrangement stand ready to share their export control experience and
expertise with other states, as suggested in the ATT. The Plenary asked the Wassenaar
Arrangement Secretariat to monitor opportunities for the Arrangement to contribute to
international cooperation with regard to the ATT.

Key Wassenaar Arrangement documents, including the Control Lists and Best Practice
Guidelines, continue to be freely available on the WA website (www.wassenaar.org).

The Plenary reiterated that the Wassenaar Arrangement is open for membership to all
states in compliance with the agreed criteria. In 2013 the Arrangement launched a
discussion of strategic issues related to future participation.

The Plenary decided to conduct the next internal Assessment, a wide-ranging exercise
to review and evaluate the overall functioning of the Arrangement, and to improve its
effectiveness and efficiency, in 2016, five years after the most recent Assessment.

The Plenary thanked the Chairs of all Wassenaar Arrangement bodies for their valuable
contributions to the work of the Arrangement. The Plenary also expressed its
appreciation to the Wassenaar Arrangement Secretariat.

The next regular Wassenaar Arrangement Plenary meeting will take place in Vienna in
December 2014. Estonia will assume the Chair of the Plenary from 1 January 2014, and
has designated Ambassador Eve-Külli Kala to assume this role. In addition, from 1
January 2014, Romania will assume the Chair of the General Working Group, the
Republic of Korea will continue to chair the Experts’ Group, and the United States will
continue to provide the Chair for the Licensing and Enforcement Officers Meeting
(LEOM).

Vienna, 4 December 2013
2
SUMMARY OF CHANGES

LIST OF DUAL-USE GOODS & TECHNOLOGIES AND MUNITIONS LIST

as of 4 December 2013

The following table outlines the changes made to the 2012 List of Dual-Use Goods &
Technologies and Munitions List (WA-LIST (12) 1). The table should be used only as a
reference. The changes include all amendments approved by the WA Plenary as of
4 December 2013.

Category/Item Comments
GTN
- «and» replaced by «or» in the second paragraph

Category 1
1.A.4. - new Technical Note 2
- existing Technical Note renumbered 1
1.B.1.b. - local definition for 'tape-laying machines' (single quotes and new
Technical Note)
- «or sheets» deleted
1.B.1.g. - local definition for 'tow-placement machines' (single quotes and
new Technical Note)
- «or sheets» deleted
1.B.1., Technical Notes - new Technical Note 2 for 'filament band'
- existing Technical Note numbered 1
1.C.8.a.3. - 'glass transition temperature (Tg)' added
1.C.8., Technical Notes - new Technical Note 2
- existing Technical Note numbered 1 and amended
1.C.10.b., Technical Note - deleted
1.C.10.c., Note a. - single quotes replaced by double quotes around "specific
modulus" (global definition) – editorial correction
1.C.10.a., b. and c. - new Technical Notes 1 and 2 placed at the end of 1.C.10.c.
1.C.10.e.2.a. - comma added after «resin or pitch» – editorial correction
Annex – List of - in para. 32.d. - square brackets replaced by parenthesis around
"Explosives" (bis-dinitrotriazole) – editorial correction
- para. 34 deleted
- new paras 44-48

Category 2
2.B. Technical Note 5.f. - amended
2.B.6.b.1.b. - amended, including new sub-paras a. and b. under paragraph 1
- new Technical Note for 'full operating range'
2.B.6.b.1.c.2.b. - amended, including addition of «at any point within a measuring
range»
2.B.6.b.2. - "angular position deviation" replaced by angular position
"accuracy"
- definition for "angular position deviation" deleted
2.D.2., Notes 1 and 3 - «machine tools» replaced by «items»
Page 1 of 5
Category/Item Comments
Category 3
3.A.1.a., Note 2 - addition of "Three dimensional integrated circuits" and new
definition
3.A.1.a.5.a.1. - parameter changed from 500 million to 1 billion words per second
3.A.1.b. - new Technical Note for peak saturated power output
3.A.1.b.2. - entry rewritten
3.A.1.b.2., Note 2 - reference corrected to read 3.A.1.b.2.h. (instead of f.)
- «average output power» replaced by «peak saturated power output»
3.A.1.b.3. - entry rewritten
- new Note 2
- existing Note renumbered 1 and «average output power»
replaced by «peak saturated power output»
3.A.1.b.4. - entry rewritten
3.A.1.b.4., Note 2 - «average output power» replaced by «peak saturated power output»
3.A.1.e.2. - Nota Bene added referring to the Munitions List
3.A.1.h., Note 3 - comma added after 'modules' – editorial correction
3.A.2. - «and accessories therefor» deleted
3.A.2.a. - «oscilloscopes» added
- «specially designed test tape therefor» deleted
3.A.2.a.1., 2., 3. and 4. - entries deleted
3.A.2.a.6. - entry amended, including para. a.
- new Technical Note
3.A.2.a.7. - new entry for real-time oscilloscopes, including a new Note
3.A.2.d.1. - «pulses» replaced by «pulse-modulated signals»
3.A.2.d., Technical Notes - Technical Note 2 amended
at the end of the entry
3.C.5. - «semiconductor» added before "substrates"
3.E.2.b. - parameter changed from two to four

Category 4
4.A.3.b. - parameter changed from 3.0 to 8.0 Weighted TeraFLOPS
4.A.5. - new entry for "intrusion software" and new definition
4.D.1.b.1. - parameter changed from 0.25 to 0.60 Weighted TeraFLOPS
4.D.4. - new entry for "intrusion software" and new definition
4.E.1.b.1. - parameter changed from 0.25 to 0.60 Weighted TeraFLOPS
4.E.1.c. - new entry for "intrusion software" and new definition

Category 5 – Part 1
5.A.1.b.1.d. - comma added after «light-emitting diodes (LEDs)» - editorial
correction
5.A.1.b.5.b. - "frequency switching time" replaced by 'channel switching time'
- new Technical Note for 'channel switching time'
5.A.1.b.5.d. - single quote before «signals» deleted – editorial correction
5.A.1.j. - new entry, including a Note and Technical Note
5.E.1.d. - entry rewritten – consequential change as a result of changes to
Category 3 (3.A.1.b.2.)
Page 2 of 5
Category/Item Comments
Category 5 – Part 2
Note 3 – Cryptography - entry amended including addition of «or 'executable software'»
Note, para. b. after «component» in the chapeau and in paras. 1 to 4
- new Technical Note for 'executable software'
- new decontrol Note
Technical Note after Note 4 - Technical Note referring to parity bits has been moved to below
5.A.2.a.1.a.
5.A.2., Nota Bene - N.B. referring to GNSS receiving equipment has been amended
as a result of changes made to Category 7 (7.D.5. and 7.E.1.)
5.A.2.a.1., Technical Notes - Technical Note 3 now included as a Note under the definition for
"Cryptography"
5.A.2.a.1., Note - deleted
5.A.2.a.1.a. - addition of Technical Note referring to parity bits (moved from
below Note 4)
5.A.2.a.9. - «or perform» added after «to use»
5.A.2., Decontrol Note - new para. k

Category 6
6.A.1.a.1.c. - new Note 3
6.A.1.a.1.e. - addition to the end of the chapeau for acoustic arrays
6.A.1.a.2.a.3. - new sub-paras d. and e.
6.A.1.a.2.b. - new sub-para. 8
6.A.1.a.2.e. - new sub-para. 3
6.A.1.a.2.g. - new entry, including a Note and Technical Notes
6.A.5., Note 2 - single quotes placed around 'non-repetitive pulsed' – editorial
correction
- addition of a Technical Note which had previously been a Note
under 6.A.5.d.6.
6.A.5.a.6.b. - new Note 2, including a Technical Note
- existing Note numbered 1
6.A.5.b.4. - new paras. a. and b.
- existing paras. a. and b. renumbered 1 and 2
6.A.5.b.5. - new para. a.
- existing para. a. relettered b. and amended to include «equal to or
exceeding 1 ps»
- existing para. b. relettered c.
6.A.5.b.6. - new para. a.
- existing para. a. relettered b. and amended to include «equal to or
exceeding 1 ps»
- existing paras. b. and c. releterred c. and d.
6.A.5.d.6. - Note changed to a Technical Note and moved under Note 2 to
6.A.5.
6.A.7.a.; 6.A.7.b.1. and 2.; - capital G in µGal and mGal – editorial correction
6.B.7.
6.A.7.b.2. - local definition for 'time-to-steady-state registration' (single
quotes and a new Technical Note)
6.A.8.k.2. - «compressed» added before pulse width
- new decontrol Note
6.A.8.l.1., Note - «or harbour» deleted before radar
- local definition for 'marine radar' (single quotes)
Page 3 of 5
Category/Item Comments
Category 6 cont.
6.A.8.l., Note - Note is amended to refer to 6.A.8.l. instead of 6.A.8.l.4.
- «marine traffic control» replaced by 'vessel traffic services' (local
definition)
6.A.8. - new Technical Notes 1 and 2 for 'marine radar' and 'vessel traffic
service'

Category 7
7.A.2.a.1.b. Note and - global definition for "spinning mass gyros" (double quotes)
7.A.2.a.2.b. Note - local definition for 'spinning mass gyros' deleted (Technical Note)
7.A.2.a.2.a. - parameter changed from 40 to 4 degrees per hour
7.A.2.a.2.b. - parameter changed from 0.2 to 0.1 degree per square root hour
7.A.3. - entry entirely rewritten
7.D.3.c. - entry deleted
- definition for "expert systems" also deleted
7.D.4. - reference in chapeau expanded to 7.E.4.a.1. to 6.
7.D.5. - new entry
7.E.1. - list of references expanded to include 7.D.5.
- new Note
7.E.4.b.6. - entry deleted, including Nota Bene

Category 8
8.A.2.i.2. - «or by using a dedicated computer» deleted from entry
- Technical Note amended
8.A.2.q. - new Nota Bene

Category 9
9.A.1.a. - new Note 2
- existing Note numbered 1
9.A.10.a. - comma added after «intermetallic reinforced materials» –
editorial correction

Sensitive List
3.D.1. and 3.E.1. - reference to 3.B. deleted – editorial correction
4.D.1. and 4.E.1. - parameter changed from 0.5 to 1.0 Weighted TeraFLOPS
6.A.2.a.3., Note 6.a. - spelling of aluminium modified – editorial change
7.D.3.c. - entry deleted
7.D.4.a. to d. and g. - new entry

Very Sensitive List
- no change

Munitions List
ML1.a., Note - new para. d.
ML1.b.2. - new decontrol Note
ML3., Note 2 - amended and expanded into paras. a. to d.
ML7.c.2. - hyphen added before «aminoethyl alkyl» - editorial issue
- «O» added before «-2-di-isopropylaminoethyl»- editorial issue
ML7.i.1. - comma added after ML7.b. and addition of «and» - editorial
ML8. - entry largely rewritten
Page 4 of 5
Category/Item Comments
ML cont.
ML12, Note 1.b. - parenthetical example added after «energy storage»
- new Nota Bene
ML17.a. - new Nota Bene
ML22.a. - para. a. amended to replace "use" with other terms
- paras. b.3. and b.4. deleted and new Nota Benes added
- Note 1 amended to replace "use" with other terms
- «and» replaced by «or» in Note 2.a.

Definitions
"Angular position deviation" - definition deleted
"Cryptography" - new Note added to definition
"Expert systems" - definition deleted
"Frequency switching - reference to Cat 5P1 deleted
time"
"Intrusion software" - new definition
"Measurement uncertainty" - reference to VDI/VDE 2617 deleted
"Space-qualified" - reference to Cat 7 included in the definition
"Spinning mass gyros" - new definition
"Three dimensional - new definition
integrated circuit"

Acronyms and
Abbreviations
YAG - spelling of aluminium modified

SOUs and Validity Notes
6.A.5.d.1.d.1.d. - Validity Note deleted
ML8.c.11.b. - new Validity Note

Page 5 of 5
WA-LIST (13) 1
04-12-2013

THE WASSENAAR ARRANGEMENT

ON

EXPORT CONTROLS FOR CONVENTIONAL ARMS

AND

DUAL-USE GOODS AND TECHNOLOGIES

LIST OF DUAL-USE GOODS
AND TECHNOLOGIES

AND

MUNITIONS LIST
TABLE OF CONTENTS

Page

LIST OF DUAL-USE GOODS AND TECHNOLOGIES

- General Technology and General Software Notes...................................................... 3
- Category 1 Special Materials and Related Equipment.............................................. 4
- Category 2 Materials Processing................................................................................ 24
- Category 3 Electronics............................................................................................... 50
- Category 4 Computers................................................................................................ 72
- Category 5 - Part 1 Telecommunications................................................................... 77
- Category 5 - Part 2 "Information Security"................................................................ 86
- Category 6 Sensors and “Lasers”............................................................................... 92
- Category 7 Navigation and Avionics......................................................................... 128
- Category 8 Marine..................................................................................................... 136
- Category 9 Aerospace and Propulsion...................................................................... 144
- Sensitive List.............................................................................................................. 154
- Very Sensitive List..................................................................................................... 163

MUNITIONS LIST

- General Notes……………........................................................................................ 166
- Items 1 to 22.............................................................................................................. 166

DEFINITIONS OF TERMS USED IN THESE LISTS............................................. 198

ACRONYMS AND ABBREVIATIONS USED IN THESE LISTS.......................... 223

STATEMENTS OF UNDERSTANDING AND VALIDITY NOTES...................... 225

These Lists reflect the agreements recorded in Appendix 5 to the Initial Elements, dated 19 December
1995, and all subsequent amendments, including those approved by the Plenary Meeting (3-4
December 2013).

WA-LIST (13) 1
- 2 - 04-12-2013
____________________________________________________________________

DUAL-USE LIST
____________________________________________________________________

Note 1 Terms in "quotations" are defined terms. Refer to 'Definitions of Terms used in
these Lists' annexed to this List.
Note 2 In some instances chemicals are listed by name and CAS number. The list applies to
chemicals of the same structural formula (including hydrates) regardless of name or
CAS number. CAS numbers are shown to assist in identifying a particular chemical or
mixture, irrespective of nomenclature. CAS numbers cannot be used as unique
identifiers because some forms of the listed chemical have different CAS numbers, and
mixtures containing a listed chemical may also have different CAS numbers.

GENERAL TECHNOLOGY NOTE

The export of "technology" which is "required" for the "development", "production" or "use"
of items controlled in the Dual-Use List is controlled according to the provisions in each
Category. This "technology" remains under control even when applicable to any uncontrolled
item.

Controls do not apply to that "technology" which is the minimum necessary for the
installation, operation, maintenance (checking) or repair of those items which are not
controlled or whose export has been authorised.

Note This does not release such "technology" controlled in entries 1.E.2.e. & 1.E.2.f. and
8.E.2.a. & 8.E.2.b.

Controls do not apply to "technology" "in the public domain", to "basic scientific research" or
to the minimum necessary information for patent applications.

GENERAL SOFTWARE NOTE

The Lists do not control "software" which is any of the following:
1. Generally available to the public by being:
a. Sold from stock at retail selling points without restriction, by means of:
1. Over-the-counter transactions;
2. Mail order transactions;
3. Electronic transactions; or
4. Telephone call transactions; and

b. Designed for installation by the user without further substantial support by the
supplier;
Note Entry 1 of the General Software Note does not release "software" controlled by
Category 5 - Part 2 ("Information Security").

2. "In the public domain"; or

3. The minimum necessary "object code" for the installation, operation, maintenance
(checking) or repair of those items whose export has been authorised.
Note Entry 3 of the General Software Note does not release "software" controlled by
Category 5 - Part 2 ("Information Security").
WA-LIST (13) 1
04-12-2013 - 3 -