The Wassenaar Arrangement - Dual-Use and Munitions Lists - July 1996

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## STATEMENTS OF UNDERSTANDING AND VALIDITY NOTES

MUNITIONS LIST

ML 10 (NF (95) WG2/2)

Absence of items from the Munitions List and absence of configuration for military use would mean that an aircraft not be considered military.

DUAL-USE LIST OF GOODS AND TECHNOLOGIES

General Technology Note (NF (95) CA WP 1)

Governments agree that the transfer of "technology" according to the General Technology Note, for "production" or "development" of items on this list shall be treated with vigilance in accordance with national policies and the aims of this regime.

General Technology Note (WG2 GTN TWG/WP1 Revised 2)

It is understood that Member Governments are expected to exercise controls on intangible "technology" as far as the scope of their legislation will allow.

General Software Note (NF (95) CA WP 1)

Governments agree that the transfer of "software", for "production" or "development" of items on this list shall be treated with vigilance in accordance with national policies and the aims of this regime.

Statement of Understanding - medical equipment (NF (96) DG PL/WP1)

Participating countries agree that equipment specially designed for medical end-use that incorporates an item controlled in the Dual-Use List is not controlled.

Category 2

2.B.1.

Validity Note.

> Governments agree to review machine tools (2.B.1.) within 6 months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account the appropriate exchange of information. 2.B.l. is valid for a period of 2 years as from its date o t entry into force and renewal of the present parameters will require unanimous consent.

2.B.2.

Validity Note.

> 2.B.2. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal for each successive one-year period will require unanimous consent.

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Category 2 cont.

2.E.3.f.

Validity Note.

> 2.E.3.f. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its extension for an additional one-year period will require unanimous consent.

Category 3

Validity Note

> 3.B.1.f.1. and 3.C.2.a. are valid for the period of two years from the date of entry into force of the List of Dual-Use Goods and Technologies, and renewal for a successive period will require the unanimous consent of participating countries.

> If at the end of the two year period there is no unanimous consent to renew it, the cut-offs in 3.B.l.f.l.a. and 3.B.l.f.l.b. will be replaced with 350 nm and 0.5 µm respectively and the cut-off in 3.C.2.a. will be replaced with 350 µm.

> This entry should be scheduled for a List Review, to take place no later than one year from the entry into force of the List of Dual-Use Goods and Technologies.

Category 4

4.A.3.b.

Validity Note

> Governments agree to review 4.A.3.b. six months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account, inter alia, relevant acquisition patterns and transfer data. Governments further agree to move the control level to a figure of 1,350 Mtops, or an appropriate higher figure based on technical review, one year after the entry into force of the Lists.

4.D.3.b.

Validity Note

> 4.D.3.b. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal for each successive one-year period will require unanimous consent.

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Category 5, Part 1

Statement of Understanding

Governments agree to control on a statutory basis or based on national regulations the items listed below. The means of control allow for simplified forms of licensing, the absence of licensing or the ability to monitor transfers of these items.

5.A.1.b.1.

5.A.1.b.3. to 6.

5.A.1.c.

5.A.1.d.1.a.

5.B.1. Equipment for the "production" or "use" of items mentioned above.

5.C.1.

5.D.1.a., 5.D.1.c.2. "Software" for the "production" or "use" of items mentioned above.

5.E.1.a. "Technology" for the "use" of items mentioned above.

Validity Note

> The control of the items mentioned in the Statement of Understanding above will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

5.D.1.c.1.

Validity Note

> The control of 5.D.1.c.1. will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

5.E.1.b.4., 5., 6., 8., and 9.

Validity Note

> The control of 5.E.1.b.4., 5., 6., 8. and 9. will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

Category 5, Part 2

Validity Note

> The control in 5.A.2.a.1. will remain in effect for a period of 2 years after the the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal in its present form will require unanimous consent.

> N.B. In the event of a normal List Review of Category 5 - Part 2 occurring prior to the expiration of this Validity Note, any result of the List Review will override this Validity Note.

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Category 9

9.E.3.a.1.

Validity Note

> The "technologies" controlled by 9.E.3.a.1. will remain in effect 2 years after the date of entry into force of the List of Dual-Use Goods and Technologies. unless the expiration date of the control period is extended.

9.E.2.

Statement of understanding

Note

> "Development" or "production" "technology" controlled by 9.E. for gas turbine engines remains controlled when used as "use" "technology" for repair, rebuild and overhaul. Excluded from control are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable line replaceable units, including replacement of whole engines or engine modules.

ANNEX 1

4.A.3.b.

Validity Note

> Governments agree to review 4.A.3.b. six months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account, appropriate exchange of information. Governments further agree to move the cut-off to a figure of 4,000 Mtops, or an appropriate figure based on technical review, one year after entry into force of the Lists.

N.B.1. The references in this document refer to the List of Dual-Use Goods and Technologies and the Munitions List, Vienna, 2nd and 3rd April, 1996.

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