2007R0423 — EN — 27.07.2010 — 010.001

This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents

►B COUNCIL REGULATION (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran (OJ L 103, 20.4.2007, p.1)

Amended by:





Corrected by:









▼B

COUNCIL REGULATION (EC) No 423/2007

of 19 April 2007

concerning restrictive measures against Iran







THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Articles 60 and 301 thereof, Having regard to Council Common Position 2007/140/CFSP of 27 February 2007 concerning restrictive measures against Iran ( 1 ), Having regard to the proposal from the Commission, Whereas: (1) On 23 December 2006, the United Nations Security Council adopted Resolution 1737 (2006) (UNSCR 1737 (2006)) deciding that Iran should without further delay suspend all enrichment-related and reprocessing activities, as well as work on all heavy water-related projects, and take certain steps required by the International Atomic Energy Agency (IAEA) Board of Governors, which the United Nations Security Council deems essential to build confidence in the exclusively peaceful purpose of Iran's nuclear programme. In order to persuade Iran to comply with this mandatory decision, the United Nations Security Council decided that all Member States of the United Nations should apply a number of restrictive measures. (2) In line with UNSCR 1737 (2006), Common Position 2007/140/CFSP provides for certain restrictive measures against Iran. These measures include restrictions on exports and imports of goods and technology which could contribute to Iran's enrichment-related, reprocessing, or heavy water-related activities, or to the development of nuclear weapon delivery systems, a ban on the provision of related services, a ban on investment related to such goods and technology, a ban on procurement of relevant goods and technology from Iran, as well as the freezing of funds and economic resources of persons, entities and bodies engaged in, directly associated with or providing support for such activities or development. (3) These measures fall within the scope of the Treaty establishing the European Community and, therefore, notably with a view to ensuring their uniform application by economic operators in all Member States, Community legislation is necessary in order to implement them as far as the Community is concerned. (4) This Regulation derogates from existing Community legislation that provides for general rules on exports to, and imports from, third countries, and in particular from Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community regime for the control of exports of dual-use items and technology ( 2 ), in so far as this Regulation covers the same goods and technology. (5) For reasons of expediency, the Commission should be empowered to publish the list of banned goods and technology and any amendments to it that will be adopted by the Sanctions Committee or the United Nations Security Council, and to amend the lists of persons, entities and bodies whose funds and economic resources should be frozen on the basis of decisions reached by the United Nations Security Council or by the Sanctions Committee. (6) As regards the procedure for establishing and amending the list referred to in Article 7(2) of this Regulation, the Council should exercise the corresponding implementing powers itself in view of the objectives of UNSCR 1737 (2006), notably to constrain Iran's development of sensitive technologies in support of its nuclear and missile programmes, and the proliferation-sensitive nature of the activities undertaken by the persons and entities supporting these programmes. (7) Member States should determine the penalties applicable to infringements of the provisions of this Regulation. The penalties provided for should be proportionate, effective and dissuasive. (8) In order to ensure that the measures provided for in this Regulation are effective, the latter should enter into force on the day of its publication, Whereas: HAS ADOPTED THIS REGULATION:







Article 1

For the purposes of this Regulation only, the following definitions shall apply:

(a) ‘Sanctions Committee’ means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of UNSCR 1737 (2006);

(b) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services; including verbal forms of assistance;

(c) the term ‘goods’ includes items, materials and equipment;

(d) the term ‘technology’ includes software;

(e) ‘investment’ means acquisition or extension of a participation in enterprises, including the acquisition in full of such enterprises and the acquisition of shares and securities of a participating nature;

(f) ‘brokering services’ means activities of persons, entities and partnerships acting as intermediaries by buying, selling or arranging the transfer of goods and technology, or negotiating or arranging transactions that involve the transfer of goods or technology;

(g) ‘funds’ means financial assets and benefits of every kind, including but not limited to: (i) cash, cheques, claims on money, drafts, money orders and other payment instruments; (ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations; (iii) publicly- and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts; (iv) interest, dividends or other income on or value accruing from or generated by assets; (v) credit, right of set-off, guarantees, performance bonds or other financial commitments; (vi) letters of credit, bills of lading, bills of sale; and (vii) documents showing evidence of an interest in funds or financial resources;

(h) ‘freezing of funds’ means preventing any moving, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;

(i) ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but which may be used to obtain funds, goods or services;

(j) ‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;

(k) ‘territory of the Community’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace;

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(l) ‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

(m) ‘claim’ means any claim for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably any claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form;

(n) ‘person, entity or body in Iran’ means: (i) the State of Iran or any public authority thereof; (ii) any natural person in, or resident in, Iran; (iii) any legal person, entity or body having its registered office in Iran; (iv) any legal person, entity or body controlled directly or indirectly by one or more of the above mentioned persons or bodies.

▼B

Article 2

►M3 1. ◄ It shall be prohibited:

(a) to sell, supply, transfer or export, directly or indirectly, the following goods and technology, whether or not originating in the Community, to any natural or legal person, entity or body in, or for use in, Iran: (i) all goods and technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists. These goods and technology are listed in Annex I; (ii) other goods and technology determined by the Sanctions Committee or the United Nations Security Council as goods and technology which could contribute to Iran's enrichment-related, reprocessing, or heavy water-related activities, or to the development of nuclear weapon delivery systems. These goods and technology are also listed in Annex I; ▼M7 (iii) certain other goods and technology that could contribute to enrichment-related, reprocessing or heavy-water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding. These goods and technology are listed in Annex IA; ▼B

(b) to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibition referred to in point (a).

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2. Annex I shall not include goods and technology included in the Common Military List of the European Union ( 3 ).

▼B

Article 3

1. A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex II, whether or not originating in the Community, to any natural or legal person, entity or body in, or for use in, Iran.

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1a. For all exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items ( 4 ). The authorisation shall be valid throughout the Union.

▼B

2. Annex II shall include any goods and technology other than those included in Annex I, which could contribute to enrichment-related, reprocessing or heavy water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the International Atomic Energy Agency (IAEA) has expressed concerns or identified as outstanding.

3. Exporters shall supply the competent authorities with all relevant information required for their application for an export authorisation.

4. The competent authorities of the Member States, as indicated in the websites listed in Annex III, shall not grant any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex II, if they determine that the sale, supply, transfer or export thereof would contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran; or

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding.

5. Under the conditions set out in paragraph 4, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may annul, suspend, modify or revoke an export authorisation which they have already granted.

6. Where they refuse to grant an authorisation, or annul, suspend, substantially limit or revoke an authorisation in accordance with paragraph 4, the Member States shall notify the other Member States and the Commission thereof and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information of Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters ( 5 ).

7. Before a Member State grants an export authorisation which has been denied by another Member State or States, in accordance with paragraph 4, for an essentially identical transaction and for which the denial is still valid, it will first consult the Member State or States which issued the denial as provided for in paragraphs 5 and 6. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof, providing all relevant information to explain the decision.

Article 4

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It shall be prohibited to purchase, import or transport the goods and technology listed in Annexes I and IA from Iran, whether the item concerned originates in Iran or not.

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Article 4a

In order to prevent the transfer of goods and technology that are listed in Annexes I and IA, cargo aircraft and merchant vessels owned or operated by Iran Air Cargo and Islamic Republic of Iran Shipping Line shall be required to submit pre-arrival or pre-departure information, for all goods brought into or out of the Community, to the competent customs authorities of the Member State concerned.

The rules governing the obligation to provide pre-arrival and pre-departure information, in particular time limits to be respected and data to be required, shall be as laid down in the applicable provisions concerning entry and exit summary declarations as well as customs declarations in Regulation (EC) No 648/2005 of the European Parliament and of the Council of 13 April 2005 amending Council Regulation (EEC) No 2913/92 establishing the Community Customs Code ( 6 ) and in Commission Regulation (EC) No 1875/2006 of 18 December 2006 amending Regulation (EEC) No 2454/93 laying down provisions for the implementation of Regulation (EEC) No 2913/92 ( 7 ).

In addition, Iran Air Cargo and Islamic Republic of Iran Shipping Line and or their representatives shall declare whether the goods are covered by Regulation (EC) No 1334/2000 or by this Regulation and, if their export is subject to authorisation, specify the particulars of the export licence granted.

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Until 31 December 2010, the entry and exit summary declarations and the required additional elements referred to in this Article may be submitted in written form using commercial, port or transport information, provided that they contain the necessary particulars.

As from 1 January 2011, the required additional elements referred to in this Article shall be submitted either in written form or using the entry and exit summary declarations as appropriate.

▼B

Article 5

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1. It shall be prohibited:

(a) to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union, or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person, entity or body in, or for use in, Iran;

(b) to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annexed I and IA, or related to the provision, manufacture, maintenance and use of goods listed in Annexes I and IA, to any natural or legal person, entity or body in, or for use in, Iran;

(c) to provide investment to enterprises in Iran engaged in the manufacture of goods and technology listed in the Common Military List of the European Union or in Annexes I and IA;

(d) to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List of the European Union or in Annexes I and IA, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any natural or legal person, entity or body in, or for use in, Iran;

(e) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) to (d).

▼B

2. The provision of:

(a) technical assistance, or brokering services related to, goods and technology listed in Annex II and to the provision, manufacture, maintenance and use of these items, directly or indirectly to any person, entity or body in, or for use in Iran;

(b) investment to enterprises in Iran engaged in the manufacture of goods and technology as listed in Annex II;

(c) financing or financial assistance related to goods and technologies referred to in Annex II, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of these items, or for any provision of related technical assistance, directly or indirectly, to any person, entity or body in, or for use in Iran;

shall be subject to an authorisation of the competent authority of the Member State concerned.

3. The competent authorities of the Member States, as indicated in the websites listed in Annex III, shall not grant any authorisation for the transactions referred to in paragraph 2, if they determine that the action were to contribute to one of the following activities:

(a) Iran's enrichment-related, reprocessing or heavy water-related activities;

(b) the development of nuclear weapon delivery systems by Iran; or

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding.

Article 6

The competent authorities of the Member States, as indicated in the websites listed in Annex III, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to goods and technology, assistance, investment or brokering services referred to in Articles 2 or 5(1), where the Sanctions Committee has determined in advance and on a case-by-case basis that the transaction would clearly contribute neither to the development of technologies in support of Iran's proliferation sensitive nuclear activities, nor to the development of nuclear weapon development delivery systems, including where such goods and technology, assistance, investment or brokering services are for food, agricultural, medical or other humanitarian purposes, provided that:

(a) the contract for delivery of the goods or technology, or for the provision of assistance, includes appropriate end-user guarantees, and

(b) Iran has undertaken not to use the goods or technology concerned, or if applicable, the assistance concerned, in proliferation sensitive nuclear activities or for development of nuclear weapon delivery systems.

Article 7

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1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex IV shall be frozen. Annex IV shall include the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of United Nations Security Council Resolution 1737 (2006) and paragraph 7 of United Nations Security Council Resolution 1803 (2008).

▼B

2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex V shall be frozen. Annex V shall include natural and legal persons, entities and bodies, not covered by Annex IV, who, in accordance with Article 5(1)(b) of Common Position 2007/140/CFSP, have been identified as:

(a) being engaged in, directly associated with, or providing support for, Iran's proliferation-sensitive nuclear activities, or

(b) being engaged in, directly associated with, or providing support for, Iran's development of nuclear weapon delivery systems, or

(c) acting on behalf of or at the direction of a person, entity or body referred to under (a) or (b), or

(d) being a legal person, entity or body owned or controlled by a person, entity or body referred to under (a) or (b), including through illicit means.

3. No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes IV and V.

4. The participation, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to circumvent the measures referred to in paragraphs 1, 2 and 3 shall be prohibited.

Article 8

By way of derogation from Article 7, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:

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(a) the funds or economic resources are the subject of a judicial, administrative or arbitral lien established before the date on which the person, entity or body referred to in Article 7 has been designated by the Sanctions Committee, the Security Council or by the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;

▼B

(b) the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

(c) the lien or judgment is not for the benefit of a person, entity or body listed in Annex IV or V;

(d) recognising that the lien or judgment is not contrary to public policy in the Member State concerned; and

(e) if Article 7(1) applies, the Sanctions Committee has been notified by the Member State of the lien or judgment.

Article 9

By way of derogation from Article 7 and provided payment by a person, entity or body listed in Annex IV or V is due under a contract, agreement or obligation that was concluded by, or arose for the person, entity or body concerned, before the date on which that person, entity or body has been designated by the Sanctions Committee, the Security Council or by the Council, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, if the following conditions are met:

(a) the competent authority concerned has determined that: (i) the funds or economic resources shall be used for a payment by a person, entity or body listed in Annex IV or V; (ii) the contract, agreement or obligation will not contribute to the manufacture, sale, purchase, transfer, export, import, transport or use of goods and technology listed in Annexes I and II; and (iii) the payment is not in breach of Article 7(3);

(b) if Article 7(1) applies, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within ten working days of notification; and

(c) if Article 7(2) applies, the Member State concerned has notified that determination of its competent authority and its intention to grant an authorisation to the other Member States and to the Commission at least two weeks prior to the authorisation.

Article 10

1. By way of derogation from Article 7, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, if the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources are: (i) necessary to satisfy the basic needs of persons listed in Annex IV or V, and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; (ii) intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or (iii) intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources; and

(b) if the authorisation concerns a person, entity or body listed in Annex IV, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within five working days of notification.

2. By way of derogation from Article 7, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses, provided that

(a) if the authorisation concerns a person, entity or body listed in Annex IV, the Sanctions Committee has been notified of this determination by the Member State concerned and that the determination has been approved by that Committee, and

(b) if the authorisation concerns a person, entity or body listed in Annex V, the competent authority has notified the grounds on which it considers that a specific authorisation should be granted to the other competent authorities of the Member States and to the Commission at least two weeks before the authorisation.

3. The relevant Member State shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1 and 2.

Article 11

1. Article 7(3) shall not prevent financial or credit institutions in the Community from crediting frozen accounts where they receive funds transferred by third parties to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.

2. Article 7(3) shall not apply to the addition to frozen accounts of:

(a) interest or other earnings on those accounts; or

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(b) payments due under contracts, agreements or obligations that were concluded or arose before the date on which the person, entity or body referred to in Article 7 has been designated by the Sanctions Committee, the Security Council or by the Council;

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provided that any such interest, other earnings and payments are frozen in accordance with Article 7(1) or 7(2).

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Article 11a

1. Credit and financial institutions which come within the scope of Article 18 shall, in their activities with credit and financial institutions referred to in paragraph 2, and in order to prevent such activities contributing to proliferation-sensitive nuclear activities or to the development of nuclear weapon delivery systems:

(a) exercise continuous vigilance over account activity, particularly through their programmes on customer due diligence and under their obligations relating to money laundering and financing of terrorism;

(b) require that in payment instructions all information fields which relate to the originator and beneficiary of the transaction in question be completed and if that information is not supplied, refuse the transaction;

(c) maintain all records of transactions for a period of five years and make them available to national authorities on request;

(d) if they suspect or have reasonable grounds to suspect that funds are related to proliferation financing, promptly report their suspicions to the financial intelligence unit (FIU) or to another competent authority designated by the Member State concerned, as indicated on the websites listed in Annex III, without prejudice to Articles 5 and 7. The FIU or such other competent authority will serve as a national centre for receiving and analysing suspicious transaction reports regarding potential proliferation financing. The FIU or such other competent authority shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement information that it requires to properly undertake this function, including the analysis of suspicious transaction reports.

2. The measures set out in paragraph 1 shall apply to credit and financial institutions in their activities with:

(a) credit and financial institutions domiciled in Iran, in particular with Bank Saderat;

(b) branches and subsidiaries, where they come within the scope of Article 18, of credit and financial institutions domiciled in Iran, as listed in Annex VI;

(c) branches and subsidiaries, where they do not come within the scope of Article 18, of credit and financial institutions domiciled in Iran, as listed in Annex VI;

(d) credit and financial institutions that are neither domiciled in Iran nor come within the scope of Article 18 but are controlled by persons and entities domiciled in Iran, as listed in Annex VI.

Article 11b

1. Bank Saderat branches and subsidiaries that come within the scope of Article 18 shall notify the competent authority of the Member State where they are established, as indicated on the websites listed in Annex III, of all transfers of funds carried out or received by them, the names of the parties, the amount and the date of the transaction, within five working days after carrying out or receiving the transfer of funds concerned. If the information is available, the notification must specify the nature of the transaction and, where appropriate, the nature of the goods covered by the transaction and must, in particular, state whether the goods are covered by Regulation (EC) No 1334/2000 or by this Regulation and, if their export is subject to authorisation, indicate the number of the licence granted.

2. Subject to, and in accordance with, the information-sharing arrangements, the other notified competent authorities shall without delay transmit these data, as necessary, in order to prevent any transaction that could contribute to proliferation-sensitive nuclear activities or to the development of nuclear weapons delivery systems, to the competent authorities of other Member States where the counterparts to such transactions are established.

▼B

Article 12

1. The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

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2. The prohibitions set out in Article 5(1)(d) and Article 7(3) shall not give rise to liability of any kind on the part of the natural or legal persons or entities concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.

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3. The disclosure in good faith, as provided for in Articles 11a and 11b, by an institution or by a person covered by this Regulation or an employee or director of such an institution, of the information referred to in Articles 11a and 11b shall not involve the institution or person or its directors or employees in liability of any kind.

Article 12a

1. No claim for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, made by:

(a) designated persons, entities or bodies listed in Annexes IV, V and VI;

(b) any other person, entity or body in Iran, including the Iranian government;

(c) any person, entity or body acting through or on behalf of one of these persons or entities

in connection with any contract or transaction the performance of which would have been affected, directly or indirectly, wholly or in part, by the measures imposed by this Regulation shall be satisfied.

2. The performance of a contract or transaction shall be regarded as having been affected by the measures imposed by this Regulation where the existence or content of the claim results directly or indirectly from those measures.

3. In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.

▼B

Article 13

1. Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

(a) supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 7, to the competent authorities of the Member States, as indicated in the websites listed in Annex III, where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;

(b) cooperate with the competent authorities, as indicated in the websites listed in Annex III, in any verification of this information.

2. Any additional information directly received by the Commission shall be made available to the Member State concerned.

3. Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 14

The Commission and Member States shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violations and enforcement problems and judgments handed down by national courts.

Article 15

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1. The Commission shall:

(a) amend Annex I on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee;

(b) amend Annex IA and Annex II on the basis of information supplied by Member States;

(c) amend Annex III on the basis of information supplied by Member States;

(d) amend Annex IV on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee;

(e) amend Annex VI on the basis of decisions taken in respect of Annexes III and IV to Council Common Position 2007/140/CFSP.

▼B

2. The Council, acting by qualified majority, shall establish, review and amend the list of persons, entities and bodies referred to in Article 7(2) and in full accordance with the determinations made by the Council in respect of Annex II to Common Position 2007/140/CFSP. The list in Annex V shall be reviewed in regular intervals and at least every 12 months.

3. The Council shall state individual and specific reasons for decisions taken pursuant to paragraph 2 and make them known to the persons, entities and bodies concerned.

Article 16

1. Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive.

2. Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 17

1. Member States shall designate the competent authorities referred to in this Regulation and identify them in or through the websites as listed in Annex III.

2. Member States shall notify the Commission of their competent authorities without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 18

This Regulation shall apply:

(a) within the territory of the Community;

(b) on board any aircraft or any vessel under the jurisdiction of a Member State;

(c) to any person inside or outside the territory of the Community who is a national of a Member State;

(d) to any legal person, entity or body which is incorporated or constituted under the law of a Member State;

(e) to any legal person, entity or body in respect of any business done in whole or in part within the Community.

Article 19

This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

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ANNEX I

Goods and technology referred to in Articles 2, 4 and 5(1)

INTRODUCTORY NOTES

Where possible, the items in this Annex are defined by reference to the list of dual-use items set out in Annex I to Council Regulation (EC) No 1334/2000, as amended by Council Regulation (EC) No 1183/2007 ( 8 ).

The descriptions of the items in this Annex are often, but not always, identical or similar to descriptions of the items set out in the list of dual-use items. Each description is based as much as possible on that of the first dual-use item referred to. Where there are differences between the two descriptions, the description of the goods or technology found in this Annex shall be decisive. For the sake of clarity, an asterisk indicates that a description is based on the description of the dual-use item referred to, but contains different values for the technical parameters used or omits or adds specific elements.

If only part of the scope of the dual-use item referred to is covered by an entry in this Annex, the reference number taken from the list of dual-use items is preceded by ‘ex’.

For the definitions of terms between ‘double quotation marks’ please refer to Regulation (EC) No 1183/2007.

This Annex does not include goods and technology (including software) included in the Common Military List of the European Union ( 9 ). In accordance with Article 1(1)(c) of Common Position 2007/140/CFSP ( 10 ), the Member States of the European Union will prohibit the direct or indirect supply, sale or transfer of such goods and technology to Iran.

General Notes

1. For control or prohibition of goods which are designed or modified for military use, see the relevant list(s) of controls or prohibitions on military goods maintained by individual Member States. References in this Annex that state ‘See also Military Goods Controls’ refer to the same lists.

2. The object of the prohibitions contained in this Annex should not be defeated by the export of any non-prohibited goods (including plant) containing one or more prohibited components when the prohibited component or components are the principal element of the goods and can feasibly be removed or used for other purposes. N.B.: In judging whether the prohibited component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the prohibited component or components as the principal element of the goods being procured.

3. Goods specified in this Annex include both new and used goods.

Nuclear Technology Note (NTN)

(To be read in conjunction with Section I.0.B.)

The sale, supply, transfer or export of ‘technology’ directly associated with any goods whose sale, supply, transfer or export is prohibited in Section I.0.A is prohibited according to the provisions of Category I.0.

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of goods under prohibition remains under prohibition even when applicable to non-prohibited goods.

The approval of goods for export granted in accordance with Article 6 of Regulation (EC) No 423/2007, also authorizes the export to the same end-user of the minimum ‘technology’ required for the installation, operation, maintenance and repair of the goods.

Prohibitions on ‘technology’ transfer do not apply to information ‘in the public domain’ or to ‘basic scientific research’.

General Technology Note (GTN)

(To be read in conjunction with Sections I.1B, I.2B, I.3B, I.4B, I.5B, I.6B, I.7B and I.9B.)

The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods whose sale, supply, transfer or export is prohibited in Categories I.1 to I.9, is prohibited according to the provisions of Categories I.1 to I.9.

‘Technology’‘required’ for the ‘development’, ‘production’ or ‘use’ of goods under prohibition remains under prohibition even when applicable to non-prohibited goods.

Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not prohibited or whose export has been authorised in accordance with Regulation (EC) No 423/2007.

Prohibitions on ‘technology’ transfer do not apply to information ‘in the public domain’, to ‘basic scientific research’ or to the minimum necessary information for patent applications.

General Software Note (GSN)

(This note overrides any prohibition within sections I.0B, I.1B, I.2B, I.3B, I.4B, I.5B, I.6B, I.7B and I.9B.)

Categories I.0 to I.9 of this list do not prohibit ‘software’ which is either:

a. Generally available to the public by being: 1. Sold from stock at retail selling points, without restriction, by means of: a. Over-the-counter transactions; b. Mail order transactions; c. Electronic transactions; or d. Telephone order transactions; and 2. Designed for installation by the user without further substantial support by the supplier; or

b. ‘In the public domain’.

I.0

NUCLEAR MATERIAL, FACILITIES AND EQUIPMENT







I.0A Goods No Relevant item(s) from Annex to Regulation (EC) No 1183/2007 Description I.0A.001 0A001 ‘Nuclear reactors’ and specially designed or prepared equipment and components therefor, as follows: a. ‘Nuclear reactors’ capable of operation so as to maintain a controlled self-sustaining fission chain reaction; b. Metal vessels, or major shop-fabricated parts therefor, specially designed or prepared to contain the core of a ‘nuclear reactor’, including the reactor vessel head for a reactor pressure vessel; c. Manipulative equipment specially designed or prepared for inserting or removing fuel in a ‘nuclear reactor’; d. Control rods specially designed or prepared for the control of the fission process in a ‘nuclear reactor’, support or suspension structures therefor, rod drive mechanisms and rod guide tubes; e. Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a ‘nuclear reactor’ at an operating pressure in excess of 5,1 MPa; f. Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a ‘nuclear reactor’; g. Coolant pumps specially designed or prepared for circulating the primary coolant of ‘nuclear reactors’; h. ‘Nuclear reactor internals’ specially designed or prepared for use in a ‘nuclear reactor’, including support columns for the core, fuel channels, thermal shields, baffles, core grid plates, and diffuser plates; Note: In I.0A.001.h. ‘nuclear reactor internals’ means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation. i. Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a ‘nuclear reactor’; j. Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a ‘nuclear reactor’. I.0A.002 ex 0B001* (0B001.a, 0B001.b.1-13, 0B001.c, 0B001.d 0B001.e 0B001.f 0B001.g 0B001.h 0B001.i and 0B001.j) Plant for the separation of isotopes of ‘natural uranium’, ‘depleted uranium’ and ‘special fissile materials’, and specially designed or prepared equipment and components therefor, as follows: a. Plant specially designed for separating isotopes of ‘natural uranium’, ‘depleted uranium’, and ‘special fissile materials’, as follows: 1. Gas centrifuge separation plant; 2. Gaseous diffusion separation plant; 3. Aerodynamic separation plant; 4. Chemical exchange separation plant; 5. Ion-exchange separation plant; 6. Atomic vapour ‘laser’ isotope separation (AVLIS) plant; 7. Molecular ‘laser’ isotope separation (MLIS) plant; 8. Plasma separation plant; 9. Electro magnetic separation plant; b.* Gas centrifuges and assemblies and components, specially designed or prepared for gas centrifuge separation process, as follows: Note: In I.0A.002.b. ‘high strength-to-density ratio material’ means any of the following: a. Maraging steel capable of an ultimate tensile strength of 2 050 MPa or more; b. Aluminium alloys capable of an ultimate tensile strength of 460 MPa or more; or c. ‘Fibrous or filamentary materials’ with a ‘specific modulus’ of more than 3,18 × 106 m and a ‘specific tensile strength’ greater than 76,2 × 103 m; 1. Gas centrifuges; 2. Complete rotor assemblies; 3. Rotor tube cylinders with a wall thickness of 12 mm or less, a diameter of between 75 mm and 400 mm, made from ‘high strength-to-density ratio materials’; 4. Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 mm and 400 mm and designed to give local support to a rotor tube or to join a number together, made from ‘high strength-to-density ratio materials’; 5. Baffles of between 75 mm and 400 mm diameter for mounting inside a rotor tube, made from ‘high strength-to-density ratio materials’; 6. Top or bottom caps of between 75 mm and 400 mm diameter to fit the ends of a rotor tube, made from ‘high strength-to-density ratio materials’; 7. Magnetic suspension bearings consisting of an annular magnet suspended within a housing made of or protected by ‘materials resistant to corrosion by UF6’ containing a damping medium and having the magnet coupling with a pole piece or second magnet fitted to the top cap of the rotor; 8. Specially prepared bearings comprising a pivot-cup assembly mounted on a damper; 9. Molecular pumps comprised of cylinders having internally machined or extruded helical grooves and internally machined bores; 10. Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum in the frequency range of 600 to 2 000 Hz and a power range of 50 to 1 000 Volt-Amps; 11. Centrifuge housing/recipients to contain the rotor tube assembly of a gas centrifuge, consisting of a rigid cylinder of wall thickness up to 30 mm with precision machined ends and made of or protected by ‘materials resistant to corrosion by UF6’; 12. Scoops consisting of tubes of up to 12 mm internal diameter for the extraction of UF6 gas from within a centrifuge rotor tube by a Pitot tube action, made of or protected by ‘materials resistant to corrosion by UF6’; 13. Frequency changers (converters or inverters) specially designed or prepared to supply motor stators for gas centrifuge enrichment, having all of the following characteristics, and specially designed components therefor: a. Multiphase output of 600 to 2 000 Hz; b. Frequency control better than 0,1 %; c. Harmonic distortion of less than 2 %; and d. An efficiency greater than 80 %; c. Equipment and components, specially designed or prepared for gaseous diffusion separation process, as follows: 1. Gaseous diffusion barriers made of porous metallic, polymer or ceramic ‘materials resistant to corrosion by UF6’ with a pore size of 10 to 100 nm, a thickness of 5 mm or less, and, for tubular forms, a diameter of 25 mm or less; 2. Gaseous diffuser housings made of or protected by ‘materials resistant to corrosion by UF6’; 3. Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 1 m3/min or more of UF6, and discharge pressure up to 666,7 kPa, made of or protected by ‘materials resistant to corrosion by UF6’; 4. Rotary shaft seals for compressors or blowers specified in I.0A.002.c.3. and designed for a buffer gas in-leakage rate of less than 1 000 cm3/min.; 5. Heat exchangers made of aluminium, copper, nickel, or alloys containing more than 60 per cent nickel, or combinations of these metals as clad tubes, designed to operate at sub-atmospheric pressure with a leak rate that limits the pressure rise to less than 10 Pa per hour under a pressure differential of 100 kPa; 6. Bellow valves made of or protected by ‘materials resistant to corrosion by UF6’, with a diameter of 40 mm to 1 500 mm; d. Equipment and components, specially designed or prepared for aerodynamic separation process, as follows: 1. Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF6, and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams; 2. Tangential inlet flow-driven cylindrical or conical tubes, (vortex tubes), made of or protected by ‘materials resistant to corrosion by UF6’ with a diameter of between 0,5 cm and 4 cm and a length to diameter ratio of 20:1 or less and with one or more tangential inlets; 3. Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 2 m3/min or more, made of or protected by ‘materials resistant to corrosion by UF6’, and rotary shaft seals therefor; 4. Heat exchangers made of or protected by ‘materials resistant to corrosion by UF6’; 5. Aerodynamic separation element housings, made of or protected by ‘materials resistant to corrosion by UF6’ to contain vortex tubes or separation nozzles; 6. Bellows valves made of or protected by ‘materials resistant to corrosion by UF6’, with a diameter of 40 to 1 500 mm; 7. Process systems for separating UF6 from carrier gas (hydrogen or helium) to 1 ppm UF6 content or less, including: a. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (– 120 °C) or less; b. Cryogenic refrigeration units capable of temperatures of 153 K (– 120 °C) or less; c. Separation nozzle or vortex tube units for the separation of UF6 from carrier gas; d. UF6 cold traps capable of temperatures of 253 K (– 20 °C) or less; e. Equipment and components, specially designed or prepared for chemical exchange separation process, as follows: 1. Fast-exchange liquid-liquid pulse columns with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass); 2. Fast-exchange liquid-liquid centrifugal contactors with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass); 3. Electrochemical reduction cells resistant to concentrated hydrochloric acid solutions, for reduction of uranium from one valence state to another; 4. Electrochemical reduction cells feed equipment to take U+4 from the organic stream and, for those parts in contact with the process stream, made of or protected by suitable materials (e.g. glass, fluorocarbon polymers, polyphenyl sulphate, polyether sulfone and resin-impregnated graphite); 5. Feed preparation systems for producing high purity uranium chloride solution consisting of dissolution, solvent extraction and/or ion exchange equipment for purification and electrolytic cells for reducing the uranium U+6 or U+4 to U+3; 6. Uranium oxidation systems for oxidation of U+3 to U+4; f. Equipment and components, specially designed or prepared for ion-exchange separation process, as follows: 1. Fast reacting ion-exchange resins, pellicular or porous macro-reticulated resins in which the active chemical exchange groups are limited to a coating on the surface of an inactive porous support structure, and other composite structures in any suitable form, including particles or fibres, with diameters of 0,2 mm or less, resistant to concentrated hydrochloric acid and designed to have an exchange rate half time of less than 10 seconds and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C); 2. ion-exchange columns (cylindrical) with a diameter greater than 1 000 mm, made of or protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C) and pressures above 0,7 MPa; 3. ion-exchange reflux systems (chemical or electrochemical oxidation or reduction systems) for regeneration of the chemical reducing or oxidizing agents used in ion-exchange enrichment cascades; g. Equipment and components, specially designed or prepared for atomic vapour ‘laser’ isotope separation process (AVLIS), as follows: 1. High power strip or scanning electron beam guns with a delivered power of more than 2,5 kW/cm for use in uranium vaporization systems; 2. Liquid uranium metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles; N.B.: See also I.2A.002. 3. Product and tails collector systems made of or lined with materials resistant to the heat and corrosion of uranium metal vapour or liquid, such as yttria-coated graphite or tantalum; 4. Separator module housings (cylindrical or rectangular vessels) for containing the uranium metal vapour source, the electron beam gun and the product and tails collectors; 5. ‘Lasers’ or ‘laser’ systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time; N.B.: See also I.6A.001 and I.6A.008. h. Equipment and components, specially designed or prepared for molecular ‘laser’ isotope separation process (MLIS) or chemical reaction by isotope selective laser activation (CRISLA), as follows: 1. Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150 K (– 123 °C) or less and made from ‘materials resistant to corrosion by UF6’; 2. Uranium pentafluoride (UF5) product collectors consisting of filter, impact, or cyclone type collectors or combinations thereof, and made of ‘materials resistant to corrosion by UF5/UF6’; 3. Compressors made of or protected by ‘materials resistant to corrosion by UF6’, and rotary shaft seals therefor; 4. Equipment for fluorinating UF5 (solid) to UF6 (gas); 5. Process systems for separating UF6 from carrier gas (e.g. nitrogen or argon) including: a. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (– 120 °C) or less; b. Cryogenic refrigeration units capable of temperatures of 153 K (– 120 °C) or less; c. UF6 cold traps capable of temperatures of 253 K (– 20 °C) or less; 6. ‘Lasers’ or ‘laser’ systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time; N.B.: See also I.6A.001 and I.6A.008. i. Equipment and components, specially designed or prepared for plasma separation process, as follows: 1. Microwave power sources and antennae for producing or accelerating ions, with an output frequency greater than 30 GHz and mean power output greater than 50 kW; 2. radio-frequency ion excitation coils for frequencies of more than 100 kHz and capable of handling more than 40 kW mean power; 3. Uranium plasma generation systems; 4. Liquid metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles; N.B.: See also I.2A.002. 5. Product and tails collectors made of or protected by materials resistant to the heat and corrosion of uranium vapour such as yttria-coated graphite or tantalum; 6. Separator module housings (cylindrical) for containing the uranium plasma source, radio-frequency drive coil and the product and tails collectors and made of a suitable non-magnetic material (e.g. stainless steel); j. Equipment and components, specially designed or prepared for electromagnetic separation process, as follows: 1. Ion sources, single or multiple, consisting of a vapour source, ioniser, and beam accelerator made of suitable non-magnetic materials (e.g. graphite, stainless steel, or copper) and capable of providing a total ion beam current of 50 mA or greater; 2. Ion collector plates for collection of enriched or depleted uranium ion beams, consisting of two or more slits and pockets and made of suitable non-magnetic materials (e.g. graphite or stainless steel); 3. Vacuum housings for uranium electromagnetic separators made of non-magnetic materials (e.g. stainless steel) and designed to operate at pressures of 0,1 Pa or lower; 4. Magnet pole pieces with a diameter greater than 2 m; 5. High voltage power supplies for ion sources, having all of the following characteristics: a. Capable of continuous operation; b. Output voltage of 20 000 V or greater; c. Output current of 1 A or greater; and d. Voltage regulation of better than 0,01 % over a period of 8 hours; N.B.: See also I.3A.006. 6. Magnet power supplies (high power, direct current) having all of the following characteristics: a. Capable of continuous operation with a current output of 500 A or greater at a voltage of 100 V or greater; and b. Current or voltage regulation better than 0,01 % over a period of 8 hours. N.B.: See also I.3A.005. I.0A.003 0B002 Specially designed or prepared auxiliary systems, equipment and components, as follows, for isotope separation plant specified in I.0A.002, made of or protected by ‘materials resistant to corrosion by UF6’: a. Feed autoclaves, ovens or systems used for passing UF6 to the enrichment process; b. Desublimers or cold traps, used to remove UF6 from the enrichment process for subsequent transfer upon heating; c. Product and tails stations for transferring UF6 into containers; d. Liquefaction or solidification stations used to remove UF6 from the enrichment process by compressing, cooling and converting UF6 to a liquid or solid form; e. Piping systems and header systems specially designed for handling UF6 within gaseous diffusion, centrifuge or aerodynamic cascades; f. 1. Vacuum manifolds or vacuum headers having a suction capacity of 5 m3/minute or more; or 2. Vacuum pumps specially designed for use in UF6 bearing atmospheres; g. UF6 mass spectrometers/ion sources specially designed or prepared for taking on-line samples of feed, product or tails from UF6 gas streams and having all of the following characteristics: 1. Unit resolution for mass of more than 320 amu; 2. Ion sources constructed of or lined with nichrome or monel, or nickel plated; 3. Electron bombardment ionisation sources; and 4. Collector system suitable for isotopic analysis. I.0A.004 0B003 Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows: a. Systems for the conversion of uranium ore concentrates to UO3; b. Systems for the conversion of UO3 to UF6; c. Systems for the conversion of UO3 to UO2; d. Systems for the conversion of UO2 to UF4; e. Systems for the conversion of UF4 to UF6; f. Systems for the conversion of UF4 to uranium metal; g. Systems for the conversion of UF6 to UO2; h. Systems for the conversion of UF6 to UF4; i. Systems for the conversion of UO2 to UCl4. I.0A.005 0B004 Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows: a. Plant for the production of heavy water, deuterium or deuterium compounds, as follows: 1. Water-hydrogen sulphide exchange plants; 2. Ammonia-hydrogen exchange plants; b. Equipment and components, as follows: 1. Water-hydrogen sulphide exchange towers fabricated from fine carbon steel (e.g. ASTM A516) with diameters of 6 m to 9 m, capable of operating at pressures greater than or equal to 2 MPa and with a corrosion allowance of 6 mm or greater; 2. Single stage, low head (i.e. 0,2 MPa) centrifugal blowers or compressors for hydrogen sulphide gas circulation (i.e. gas containing more than 70 % H2S) with a throughput capacity greater than or equal to 56 m3/second when operating at pressures greater than or equal to 1,8 MPa suction and having seals designed for wet H2S service; 3. Ammonia-hydrogen exchange towers greater than or equal to 35 m in height with diameters of 1,5 m to 2,5 m capable of operating at pressures greater than 15 MPa; 4. Tower internals, including stage contactors, and stage pumps, including those which are submersible, for heavy water production utilizing the ammonia-hydrogen exchange process; 5. Ammonia crackers with operating pressures greater than or equal to 3 MPa for heavy water production utilizing the ammonia-hydrogen exchange process; 6. Infrared absorption analysers capable of on-line hydrogen/deuterium ratio analysis where deuterium concentrations are equal to or greater than 90 %; 7. Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing the ammonia-hydrogen exchange process; 8. Complete heavy water upgrade systems, or columns therefor, for the upgrade of heavy water to reactor-grade deuterium concentration. I.0A.006 0B005 Plant specially designed for the fabrication of ‘nuclear reactor’ fuel elements and specially designed or prepared equipment therefor. Note: A plant for the fabrication of ‘nuclear reactor’ fuel elements includes equipment which: a. Normally comes into direct contact with or directly processes or controls the production flow of nuclear materials; b. Seals the nuclear materials within the cladding; c. Checks the integrity of the cladding or the seal; or d. Checks the finish treatment of the sealed fuel. I.0A.007 0B006 Plant for the reprocessing of irradiated ‘nuclear reactor’ fuel elements, and specially designed or prepared equipment and components therefor: Note: I.0A.007 includes: a. Plant for the reprocessing of irradiated ‘nuclear reactor’ fuel elements including equipment and components which normally come into direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams; b. Fuel element chopping or shredding machines, i.e. remotely operated equipment to cut, chop, shred or shear irradiated ‘nuclear reactor’ fuel assemblies, bundles or rods; c. Dissolvers, critically safe tanks (e.g. small diameter, annular or slab tanks) specially designed or prepared for the dissolution of irradiated ‘nuclear reactor’ fuel, which are capable of withstanding hot, highly corrosive liquids, and which can be remotely loaded and maintained; d. Counter-current solvent extractors and ion-exchange processing equipment specially designed or prepared for use in a plant for the reprocessing of irradiated ‘natural uranium’, ‘depleted uranium’ or ‘special fissile materials’; e. Holding or storage vessels specially designed to be critically safe and resistant to the corrosive effects of nitric acid; Note: Holding or storage vessels may have the following features: 1. Walls or internal structures with a boron equivalent (calculated for all constituent elements as defined in the note to I.0A.012) of at least two per cent; 2. A maximum diameter of 175 mm for cylindrical vessels; or 3. A maximum width of 75 mm for either a slab or annular vessel. f. Process control instrumentation specially designed or prepared for monitoring or controlling the reprocessing of irradiated ‘natural uranium’, ‘depleted uranium’ or ‘special fissile materials’. I.0A.008 0B007 Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows: a. Systems for the conversion of plutonium nitrate to oxide; b. Systems for plutonium metal production. I.0A.009 0C001 ‘Natural uranium’ or ‘depleted uranium’ or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing. Note: I.0A.009 does not prohibit the following: a. Four grammes or less of ‘natural uranium’ or ‘depleted uranium’ when contained in a sensing component in instruments; b. ‘Depleted uranium’ specially fabricated for the following civil non-nuclear applications: 1. Shielding; 2. Packaging; 3. Ballasts having a mass not greater than 100 kg; 4. Counter-weights having a mass not greater than 100 kg; c. Alloys containing less than 5 % thorium; d. Ceramic products containing thorium, which have been manufactured for non-nuclear use. I.0A.010 0C002 ‘Special fissile materials’. Note: I.0A.010 does not prohibit four ‘effective grammes’ or less when contained in a sensing component in instruments. I.0A.011 0C003 Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000. I.0A.012 0C004 Graphite, nuclear grade, having a purity level of less than 5 parts per million ‘boron equivalent’ and with a density greater than 1,5 g/cm3. N.B.: See also I.1A.028. Note 1: I.0A.012 does not prohibit the following: a. Manufactures of graphite having a mass less than 1 kg, other than those specially designed or prepared for use in a nuclear reactor; b. Graphite powder. Note 2: In I.0A.012, ‘boron equivalent’ (BE) is defined as the sum of BEz for impurities (excluding BEcarbon since carbon is not considered an impurity) including boron, where: BEz (ppm) = CF × concentration of element Z in ppm; where CF is the conversion factor = and σB and σZ are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and AB and AZ are the atomic masses of naturally occurring boron and element Z respectively. I.0A.013 0C005 Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9 weight per cent or more and a mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard and a high degree of particle size uniformity.







I.0B Technology, including software No Relevant item(s) from Annex to Regulation (EC) No 1183/2007 Description I.0B.001 0D001 ‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of goods specified in Section I.0A. I.0B.002 0E001 ‘Technology’ according to the Nuclear Technology Note for the ‘development’, ‘production’ or ‘use’ of goods specified in Section I.0A.

I.1

MATERIALS, CHEMICALS, ‘MICROORGANISMS’ AND ‘TOXINS’







I.1A Goods No Relevant item(s) from Annex to Regulation (EC) No 1183/2007 Description I.1A.001 1A102 Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in I.9A.001 or sounding rockets specified in I.9A.005. N.B.: See also Military Goods Controls for components for rockets and missiles. I.1A.002 1A202 Composite structures in the form of tubes and having both of the following characteristics: N.B.: See also I.9A.011. a. An inside diameter of between 75 mm and 400 mm; and b. Made with any of the ‘fibrous or filamentary materials’ specified in I.1A.024 or I.1A.034.a. or with carbon prepreg materials specified in I.1A.034.c. I.1A.003 1A225 Platinized catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water. I.1A.004 1A226 Specialized packings which may be used in separating heavy water from ordinary water, having both of the following characteristics: a. Made of phosphor bronze mesh chemically treated to improve wettability; and b. Designed to be used in vacuum distillation towers. I.1A.005 1A227 High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor: a. A ‘cold area’ greater than 0,09 m2; b. A density greater than 3 g/cm3; and c. A thickness of 100 mm or greater. Technical Notes: In I.1A.005 the term ‘cold area’ means the viewing area of the window exposed to the lowest level of radiation in the design application. I.1A.006 ex 1B001* (1B001.a, ex 1B001.b and 1B001.c) Equipment for the production of fibres, prepregs, preforms or ‘composites’ specified in I.1A.024, as follows, and specially designed components and accessories therefor: N.B.: See also I.1A.007 and I.1A.014. a. Filament winding machines of which the motions for positioning, wrapping and winding fibres are coordinated and programmed in three or more axes, specially designed for the manufacture of ‘composite’ structures or laminates from ‘fibrous or filamentary materials’; b.* Tape-laying machines of which the motions for positioning and laying tape or sheets are coordinated and programmed in two or more axes, specially designed for the manufacture of ‘composite’ airframe or ‘missile’ structures; Note: In I.1A.006.b., ‘missile’ means complete rocket systems and unmanned aerial vehicle systems. c. Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, for weaving, interlacing or braiding fibres to manufacture ‘composite’ structures; Technical Notes: For the purposes of I.1A.006.c. the technique of interlacing includes knitting. Note: I.1A.006.c. does not prohibit textile machinery not modified for the above end-uses. I.1A.007 1B101 and ex 1B001.d Equipment, other than that specified in I.1A.006, for the ‘production’ of structural composites as follows; and specially designed components and accessories therefor: Note: Components and accessories specified in I.1A.007 include moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof. a. Filament winding machines of which the motions for positioning, wrapping and winding fibres can be coordinated and programmed in three or more axes, designed to fabricate composite structures or laminates from fibrous or filamentary materials, and coordinating and programming controls; b. Tape-laying machines of which the motions for positioning and laying tape and sheets can be coordinated and programmed in two or more axes, designed for the manufacture of composite airframe and ‘missile’ structures; c. Equipment designed or modified for the ‘production’ of ‘fibrous or filamentary materials’ as follows: 1. Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon or polycarbosilane) including special provision to strain the fibre during heating; 2. Equipment for the vapour deposition of elements or compounds on heated filament substrates; 3. Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide); d. Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms specified in entry I.9A.026. Note: I.1A.007.d. includes rollers, tension stretchers, coating equipment, cutting equipment and clicker dies. I.1A.008 1B102 Metal powder ‘production equipment’ and components as follows: N.B.: See also I.1A.009.b. a. Metal powder ‘production equipment’ usable for the ‘production’, in a controlled environment, of spherical or atomised materials specified in I.1A.025.a., I.1A.025.b., I.1A.029.a.1., I.1A.029.a.2. or in the Military Goods Controls. b. Specially designed components for ‘production equipment’ specified in I.1A.008.a. Note: I.1A.008 includes: a. Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment; b. Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment; c. Equipment usable for the ‘production’ of spherical aluminium powders by powdering a melt in an inert medium (e.g. nitrogen). I.1A.009 1B115 Equipment, other than that specified in I.1A.008, for the production of propellant and propellant constituents, as follows, and specially designed components therefor: a. ‘Production equipment’ for the ‘production’, handling or acceptance testing of liquid propellants or propellant constituents specified in I.1A.025.a., I.1A.025.b., I.1A.029 or in the Military Goods Controls; b. ‘Production equipment’ for the ‘production’, handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents specified in I.1A.025.a., I.1A.025.b., I.1A.029 or in the Military Goods Controls. Note: I.1A.009.b. does not prohibit batch mixers, continuous mixers or fluid energy mills. For the prohibition of batch mixers, continuous mixers and fluid energy mills see I.1A.011, I.1A.012 and I.1A.013. Note 1: For equipment specially designed for the production of military goods, see the Military Goods Controls. Note 2: I.1A.009 does not prohibit equipment for the ‘production’, handling and acceptance testing of boron carbide I.1A.010 1B116 Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300 °C) to 3 173 K (2 900 °C) temperature range at pressures of 130 Pa to 20 kPa. I.1A.011 1B117 Batch mixers with provision for mixing under vacuum in the range of zero to 13,326 kPa and with temperature control capability of the mixing chamber and having all of the following, and specially designed components therefor: a. A total volumetric capacity of 110 litres or more; and b. At least one mixing/kneading shaft mounted off centre. I.1A.012 1B118 Continuous mixers with provision for mixing under vacuum in the range of zero to 13,326 kPa and with a temperature control capability of the mixing chamber having any of the following, and specially designed components therefor: a. Two or more mixing/kneading shafts; or b. A single rotating shaft which oscillates and having kneading teeth/pins on the shaft as well as inside the casing of the mixing chamber. I.1A.013 1B119 Fluid energy mills usable for grinding or milling substances specified in I.1A.025.a., I.1A.025.b., I.1A.029 or in the Military Goods Controls, and specially designed components therefore. I.1A.014 1B201 Filament winding machines, other than those specified in I.1A.006 or I.1A.007, and related equipment, as follows: a. Filament winding machines having all of the following characteristics: 1. Having motions for positioning, wrapping, and winding fibres coordinated and programmed in two or more axes; 2. Specially designed to fabricate composite structures or laminates from ‘fibrous or filamentary materials’; and 3. Capable of winding cylindrical rotors of diameter between 75 and 400 mm and lengths of 600 mm or greater; b. Coordinating and programming controls for the filament winding machines specified in I.1A.014.a.; c. Precision mandrels for the filament winding machines specified in I.1A.014.a. I.1A.015 1B225 Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour. I.1A.016 1B226 Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater. Note: I.1A.016 includes separators: a. Capable of enriching stable isotopes; b. With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field. I.1A.017 1B227 Ammonia synthesis converters or ammonia synthesis units, in which the synthesis gas (nitrogen and hydrogen) is withdrawn from an ammonia/hydrogen high-pressure exchange column and the synthesized ammonia is returned to said column I.1A.018 1B228 Hydrogen-cryogenic distillation columns having all of the following characteristics: a. Designed for operation with internal temperatures of 35 K (– 238 °C) or less; b. Designed for operation at an internal pressure of 0,5 to 5 MPa; c. Constructed of either: 1. Stainless steel of the 300 series with low sulphur content and with an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; or 2. Equivalent materials which are both cryogenic and H2-compatible; and d. With internal diameters of 1 m or greater and effective lengths of 5 m or greater. I.1A.019 1B229 Water-hydrogen sulphide exchange tray columns and ‘internal contactors’, as follows: N.B.: For columns which are specially designed or prepared for the production of heavy water see I.0A.005. a. Water-hydrogen sulphide exchange tray columns, having all of the following characteristics: 1. Can operate at pressures of 2 MPa or greater; 2. Constructed of carbon steel having an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; and 3. With a diameter of 1,8 m or greater; b. ‘Internal contactors’ for the water hydrogen sulphide exchange tray columns specified in I.1A.019.a. Technical Notes: ‘Internal contactors’ of the columns are segmented trays which have an effective assembled diameter of 1,8 m or greater, are designed to facilitate countercurrent contacting and are constructed of stainless steels with a carbon content of 0,03 % or less. These may be sieve trays, valve trays, bubble cap trays, or turbogrid trays I.1A.020 1B230 Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics: a. Airtight (i.e., hermetically sealed); b. A capacity greater than 8,5 m3/h; and c. Either of the following characteristics: 1. For concentrated potassium amide solutions (1 % or greater), an operating pressure of 1,5 to 60 MPa; or 2. For dilute potassium amide solutions (less than 1 %), an operating pressure of 20 to 60 MPa. I.1A.021 1B231 Tritium facilities or plants, and equipment therefor, as follows: a. Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium; b. Equipment for tritium facilities or plants, as follows: 1. Hydrogen or helium refrigeration units capable of cooling to 23 K (– 250 °C) or less, with heat removal capacity greater than 150 W; 2. Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium. I.1A.022 1B232 Turboexpanders or turboexpander-compressor sets having both of the following characteristics: a. Designed for operation with an outlet temperature of 35 K (– 238 °C) or less; and b. Designed for a throughput of hydrogen gas of 1 000 kg/h or greater. I.1A.023 1B233 Lithium isotope separation facilities or plants, and equipment therefor, as follows: a. Facilities or plants for the separation of lithium isotopes; b. Equipment for the separation of lithium isotopes, as follows: 1. Packed liquid-liquid exchange columns specially designed for lithium amalgams; 2. Mercury or lithium amalgam pumps; 3. Lithium amalgam electrolysis cells; 4. Evaporators for concentrated lithium hydroxide solution. I.1A.024 1C010.b ‘Fibrous or filamentary materials’ which may be used in organic ‘matrix’, metallic ‘matrix’ or carbon ‘matrix’‘composite’ structures or laminates, as follows: N.B.: See also I.1A.034 and I.9A.026. b. Carbon ‘fibrous or filamentary materials’, having all of the following: 1. A ‘specific modulus’ exceeding 12,7 × 106 m; and 2. A ‘specific tensile strength’ exceeding 23,5 × 104 m; Note: I.1A.024.b. does not prohibit fabric made from ‘fibrous or filamentary materials’ for the repair of ‘civil aircraft’ structures or laminates, in which the size of individual sheets does not exceed 100 cm × 100 cm. Technical Notes: Properties for materials described in I.1A.024.b. should be determined using SACMA recommended methods SRM 12 to 17, or national equivalent tow tests, such as Japanese Industrial Standard JIS-R-7601, Paragraph 6.6.2., and based on lot average. I.1A.025 1C011.a and 1C011.b Metals and compounds, as follows: N.B.: See also Military Goods Controls and I.1A.029. a. Metals in particle sizes of less than 60 μm whether spherical, atomised, spheroidal, flaked or ground, manufactured from material consisting of 99 % or more of zirconium, magnesium and alloys of these; Technical Notes: The natural content of hafnium in the zirconium (typically 2 % to 7 %) is counted with the zirconium. Note: The metals or alloys listed in I.1A.025.a. are prohibited whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium. b. Boron or boron carbide of 85 % purity or higher and a particle size of 60 μm or less; Note: The metals or alloys listed in I.1A.025.b. are prohibited whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium. I.1A.027 1C102 Resaturated pyrolized carbon-carbon materials designed for space launch vehicles specified in I.9A.001 or sounding rockets specified in I.9A.005. N.B.: See also Military Goods Controls for materials for rockets and missiles. I.1A.028 ex 1C107* (1C107.a, ex 1C107.b, ex 1C107.c and ex 1C107.d) Graphite and ceramic materials as follows: a. Fine grain graphites with a bulk density of 1,72 g/cm3 or greater, measured at 288 K (15 °C), and having a grain size of 100 μm or less, usable for rocket nozzles and re-entry vehicle nose tips, which can be machined to any of the following products: 1. Cylinders having a diameter of 120 mm or greater and a length of 50 mm or greater; 2. Tubes having an inner diameter of 65 mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater; or 3. Blocks having a size of 120 mm × 120 mm × 50 mm or greater; N.B.: See also I.0A.012. b.* Pyrolytic or fibrous reinforced graphites, usable for rocket nozzles and reentry vehicle nose tips usable in ‘missiles’; N.B.: See also I.0A.012. c.* Ceramic composite materials (dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz) for use in radomes usable in ‘missiles’; d.* Bulk machinable silicon-carbide reinforced unfired ceramic, usable for nose tips usable for ‘missiles’. I.1A.029 ex 1C111* (1C111.a.1-3, 1C111.a.4, 1C111.b.1-4 and 1C111.c) Propellants and constituent chemicals for propellants, other than those specified in I.1A.025, as follows: a. Propulsive substances: 1. Spherical aluminium powder, other than that specified in the Military Goods Controls, with particles of uniform diameter of less than 200 μm and an aluminium content of 97 % by weight or more, if at least 10 % of the total weight is made up of particles of less than 63 μm, according to ISO 2591:1988 or national equivalents; Technical Notes: A particle size of 63 μm (ISO R-565) corresponds to 250 mesh (Tyler) or 230 mesh (ASTM standard E-11). 2. Metal fuels, other than that specified in the Military Goods Controls, in particle sizes of less than 60 μm, whether spherical, atomized, spheroidal, flaked or ground, consisting 97 % by weight or more of any of the following: a. Zirconium; b. Beryllium; c. Magnesium; or d. Alloys of the metals specified by (a) to (c) above; Technical Notes: The natural content of hafnium in the zirconium (typically 2 % to 7 %) is counted with the zirconium. 3. Oxidiser substances usable in liquid propellant rocket engines as follows: a. Dinitrogen trioxide; b. Nitrogen dioxide/dinitrogen tetroxide; c. Dinitrogen pentoxide; d. Mixed Oxides of Nitrogen (MON); Technical Notes: Mixed Oxides of Nitrogen (MON) are solutions of Nitric Oxide (NO) in Dinitrogen Tetroxide/Nitrogen Dioxide (N2O4/NO2) that can be used in missile systems. There are a range of compositions that can be denoted as MONi or MONij, where i and j are integers representing the percentage of Nitric Oxide in the mixture (e.g., MON3 contains 3 % Nitric Oxide, MON25 25 % Nitric Oxide. An upper limit is MON40, 40 % by weight). N.B.: See Military Goods Controls for Inhibited Red Fuming Nitric Acid (IRFNA); N.B.: See Military Goods Controls and I.1A.049 for Compounds composed of fluorine and one or more of other halogens, oxygen or nitrogen; 4. Hydrazine derivatives as follows: a. trimethylhydrazine; b. tetramethylhydrazine; c. N, N diallylhydrazine; d. allylhydrazine; e. ethylene dihydrazine; f. monomethylhydrazine dinitrate; g. unsymmetrical dimethylhydrazine nitrate; h. hydrazinium azide; i. dimethylhydrazinium azide; N.B.: See Military Goods Controls for Hydrazinium nitrate; k. diimido oxalic acid dihydrazine; l. 2-hydroxyethylhydrazine nitrate (HEHN); N.B.: See Military Goods Controls for Hydrazinium perchlorate; n. hydrazinium diperchlorate; o. methylhydrazine nitrate (MHN); p. diethylhydrazine nitrate (DEHN); q. 1,4-dihydrazine nitrate (DHTN); b.* Polymeric substances: 1. Carboxy-terminated polybutadiene (CTPB); 2. Hydroxy-terminated polybutadiene (HTPB), other than that specified in the Military Goods Controls; 3. Polybutadiene-acrylic acid (PBAA); 4. Polybutadiene-acrylic acid-acrylonitrile (PBAN); c. Other propellant additives and agents: N.B.: See Military Goods Controls for carboranes, decaboranes, pentaboranes and derivatives thereof; 2. Triethylene glycol dinitrate (TEGDN); 3. 2-Nitrodiphenylamine (CAS 119-75-5); 4. Trimethylolethane trinitrate (TMETN) (CAS 3032-55-1); 5. Diethylene glycol dinitrate (DEGDN); 6. Ferrocene derivatives as follows: N.B.: See Military Goods Controls for catocene; b. Ethyl ferrocene; c. Propyl ferrocene (CAS 1273-89-8); N.B.: See Military Goods Controls for n-butyl ferrocene; e. Pentyl ferrocene (CAS 1274-00-6); f. Dicyclopentyl ferrocene; g. Dicyclohexyl ferrocene; h. Diethyl ferrocene; i. Dipropyl ferrocene; j. Dibutyl ferrocene; k. Dihexyl ferrocene; l. Acetyl ferrocenes; N.B.: See Military Goods Controls for ferrocene Carboxylic acids; N.B.: See Military Goods Controls for butacene; o. Other ferrocene derivatives usable as rocket propellant burning rate modifiers, other than those specified in the Military Goods Controls. Note: For propellants and constituent chemicals for propellants not specified in I.1A.029, see the Military Goods Controls. I.1A.030 1C116 Maraging steels (steels generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce age-hardening) having an ultimate tensile strength of 1 500 MPa or greater, measured at 293 K (20 °C), in the form of sheet, plate or tubing with a wall or plate thickness equal to or less than 5 mm. N.B.: See also I.1A.035. I.1A.031 ex 1C117* Tungsten, molybdenum and alloys of these metals in the form of uniform spherical or atomized particles of 500 micrometre diameter or less with a purity of 97 % or greater for fabrication of motor components, usable in ‘missiles’ (i.e., heat shields, nozzle substrates, nozzle throats and thrust vector control surfaces). I.1A.032 1C118 Titanium-stabilised duplex stainless steel (Ti-DSS) having all of the following: a. Having all of the following characteristics: 1. Containing 17,0-23,0 weight percent chromium and 4,5-7,0 weight percent nickel; 2. Having a titanium content of greater than 0,10 weight percent; and 3. A ferritic-austenitic microstructure (also referred to as a two-phase microstructure) of which at least 10 percent is austenite by volume (according to ASTM E-1181-87 or national equivalents); and b. Having any of the following forms: 1. Ingots or bars having a size of 100 mm or more in each dimension; 2. Sheets having a width of 600 mm or more and a thickness of 3 mm or less; or 3. Tubes having an outer diameter of 600 mm or more and a wall thickness of 3 mm or less. I.1A.033 1C202 Alloys as follows: a. Aluminium alloys having both of the following characteristics: 1. ‘Capable of’ an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); and 2. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm; b. Titanium alloys having both of the following characteristics: 1. ‘Capable of’ an ultimate tensile strength of 900 MPa or more at 293 K (20 °C); and 2. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm. Technical Notes: The phrase alloys ‘capable of’ encompasses alloys before or after heat treatment. I.1A.034 1C210 and ex 1C010.a ‘Fibrous or filamentary materials’ or prepregs, other than those specified in I.1A.024, as follows: a. Carbon or aramid ‘fibrous or filamentary materials’ having either of the following characteristics: 1. A ‘specific modulus’ of 12,7 × 106 m or greater; or 2. A ‘specific tensile strength’ of 235 × 103 m or greater; Note: I.1A.034.a. does not prohibit aramid ‘fibrous or filamentary materials’ having 0,25 percent or more by weight of an ester based fibre surface modifier; b. Glass ‘fibrous or filamentary materials’ having both of the following characteristics: 1. A ‘specific modulus’ of 3,18 × 106 m or greater; and 2. A ‘specific tensile strength’ of 76,2 × 103 m or greater; c. Thermoset resin impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm or less (prepregs), made from carbon or glass ‘fibrous or filamentary materials’ specified in I.1A.024 or I.1A.034.a or .b. Technical Notes: The resin forms the matrix of the composite. Note: In I.1A.034, ‘fibrous or filamentary materials’ is restricted to continuous ‘monofilaments’, ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’. I.1A.035 1C216 Maraging steel, other than that specified in I.1A.030, ‘capable of’ an ultimate tensile strength of 2 050 MPa or more, at 293 K (20 °C). Note: I.1A.035 does not prohibit forms in which all linear dimensions are 75 mm or less. Technical Notes: The phrase maraging steel ‘capable of’ encompasses maraging steel before or after heat treatment. I.1A.036 1C225 Boron enriched in the boron-10 (10B) isotope to greater than its natural isotopic abundance, as follows: elemental boron, compounds, mixtures containing boron, manufactures thereof, waste or scrap of any of the foregoing. Note: In I.1A.036 mixtures containing boron include boron loaded materials. Technical Notes: The natural isotopic abundance of boron-10 is approximately 18,5 weight per cent (20 atom per cent). I.1A.037 1C226 Tungsten, tungsten carbide, and alloys containing more than 90 % tungsten by weight, having both of the following characteristics: a. In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 mm and 300 mm; and b. A mass greater than 20 kg. Note: I.1A.037 does not prohibit manufactures specially designed as weights or gamma-ray collimators I.1A.038 1C227 Calcium having both of the following characteristics: a. Containing less than 1 000 parts per million by weight of metallic impurities other than magnesium; and b. Containing less than 10 parts per million by weight of boron. I.1A.039 1C228 Magnesium having both of the following characteristics: a. Containing less than 200 parts per million by weight of metallic impurities other than calcium; and b. Containing less than 10 parts per million by weight of boron. I.1A.040 1C229 Bismuth having both of the following characteristics: a. A purity of 99,99 % or greater by weight; and b. Containing less than 10 parts per million by weight of silver. I.1A.041 1C230 Beryllium metal, alloys containing more than 50 % beryllium by weight, beryllium compounds, manufactures thereof, and waste or scrap of any of the foregoing. Note: I.1A.041 does not prohibit the following: a. Metal windows for X-ray machines, or for bore-hole logging devices; b. Oxide shapes in fabricated or semi-fabricated forms specially designed for electronic component parts or as substrates for electronic circuits; c. Beryl (silicate of beryllium and aluminium) in the form of emeralds or aquamarines. I.1A.042 1C231 Hafnium metal, alloys containing more than 60 % hafnium by weight, hafnium compounds containing more than 60 % hafnium by weight, manufactures thereof, and waste or scrap of any of the foregoing. I.1A.043 1C232 Helium-3 (3He), mixtures containing helium-3, and products or devices containing any of the foregoing. Note: I.1A.043 does not prohibit a product or device containing less than 1 g of helium-3. I.1A.044 1C233 Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing. Note: I.1A.044 does not prohibit thermoluminescent dosimeters. Technical Notes: The natural isotopic abundance of lithium-6 is approximately 6,5 weight per cent (7,5 atom per cent). I.1A.045 1C234 Zirconium with a hafnium content of less than 1 part hafnium to 500 parts zirconium by weight, as follows: metal, alloys containing more than 50 % zirconium by weight, compounds, manufactures thereof, waste or scrap of any of the foregoing. Note: I.1A.045 does not prohibit zirconium in the form of foil having a thickness of 0,10 mm or less. I.1A.046 1C235 Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1 000, and products or devices containing any of the foregoing. Note: I.1A.046 does not prohibit a product or device containing less than 1,48 × 103 GBq (40 Ci) of tritium. I.1A.047 1C236 Alpha-emitting radionuclides having an alpha half-life of 10 days or greater but less than 200 years, in the following forms: a. Elemental; b. Compounds having a total alpha activity of 37 GBq/kg (1 Ci/kg) or greater; c. Mixtures having a total alpha activity of 37 GBq/kg (1 Ci/kg) or greater; d. Products or devices containing any of the foregoing. Note: I.1A.047 does not prohibit a product or device containing less than 3,7 GBq (100 millicuries) of alpha activity. I.1A.048 1C237 Radium-226 (226Ra), radium-226 alloys, radium-226 compounds, mixtures containing radium-226, manufactures therof, and products or devices containing any of the foregoing. Note: I.1A.048 does not prohibit the following: a. Medical applicators; b. A product or device containing less than 0,37 GBq (10 millicuries) of radium-226. I.1A.049 1C238 Chlorine trifluoride (ClF3). I.1A.050 1C239 high-explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2 % by weight thereof, with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8 000 m/s. I.1A.051 1C240 Nickel powder and porous nickel metal, other than those specified in I.0A.013, as follows: a. Nickel powder having both of the following characteristics: 1. A nickel purity content of 99,0 % or greater by weight; and 2. A mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard; b. Porous nickel metal produced from materials specified in I.1A.051.a. Note: I.1A.051 does not prohibit the following: a. Filamentary nickel powders; b. Single porous nickel sheets with an area of 1 000 cm2 per sheet or less. Technical Notes: I.1A.051.b. refers to porous metal formed by compacting and sintering the materials in I.1A.051.a. to form a metal material with fine pores interconnected throughout the structure.







I.1B Technology, including software No Relevant item(s) from Annex to Regulation (EC) No 1183/2007 Description I.1B.001 ex 1D001 ‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment specified in I.1A.006. I.1B.002 1D101 ‘Software’ specially designed or modified for the ‘use’ of goods specified in I.1A.007 to I.1A.009, or I.1A.011 to I.1A.013. I.1B.003 1D103 ‘Software’ specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures. I.1B.004 1D201 ‘Software’ specially designed for the ‘use’ of goods specified in I.1A.014. I.1B.005 1E001 ‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of equipment or materials specified in I.1A.006 to I.1A.051. I.1B.006 1E101 ‘Technology’ according to the General Technology Note for the ‘use’ of goods specified in I.1A.001, I.1A.006 to I.1A.013, I.1A.026, I.1A.028, I.1A.029 to I.1A.032, I.1B.002 or I.1B.003. I.1B.007 ex 1E102 ‘Technology’ according to the General Technology Note for the ‘development’ of ‘software’ specified in I.1B.001 to I.1B.003. I.1B.008 1E103 ‘Technology’ for the regulation of temperature, pressure or atmosphere in autoclaves or hydroclaves, when used for the ‘production’ of ‘composites’ or partially processed ‘composites’. I.1B.009 1E104 ‘Technology’ relating to the ‘production’ of pyrolytically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300 °C) to 3 173 K (2 900 °C) temperature range at pressures of 130 Pa to 20 kPa. Note: I.1B.009 includes ‘technology’ for the composition of precursor gases, flow-rates and process control schedules and parameters. I.1B.010 ex 1E201 ‘Technology’ according to the General Technology Note for the ‘use’ of goods specified in I.1A.002 to I.1A.005, I.1A.014 to I.1A.023, I.1A.024.b., I.1A.033 to I.1A.051, or I.1B.004. I.1B.011 1E202 ‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of goods specified in I.1A.002 to I.1A.005. I.1B.012 1E203 ‘Technology’ according to the General Technology Note for the ‘development’ of ‘software’ specified in I.1B.004.

I.2

MATERIALS PROCESSING







I.2A Goods No Relevant item(s) from Annex to Regulation (EC) No 1183/2007 Description I.2A.001 ex 2A001* Anti-friction bearings and bearing systems, as follows, and components therefor: Note: I.2A.001 does not prohibit balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse. Radial ball bearings having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or RBEC-9, or other national equivalents), or better and having all of the following characteristics: a. An inner ring bore diameter between 12 and 50 mm; b. An outer ring outside diameter between 25 and 100 mm; and c. A width between 10 and 20 mm. I.2A.002 2A225 Crucibles made of materials resistant to liquid actinide metals, as follows: a. Crucibles having both of the following characteristics: 1. A volume of between 150 cm3 and 8 000 cm3; and 2. Made of or coated with any of the following materials, having a purity of 98 % or greater by weight: a. Calcium fluoride (CaF2); b. Calcium zirconate (metazirconate) (CaZrO3); c. Cerium sulphide (Ce2S3); d. Erbium oxide (erbia) (Er2O3); e. Hafnium oxide (hafni