2012R0267 — EN — 21.04.2016 — 019.001

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

Amended by:





Corrected by:









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COUNCIL REGULATION (EU) No 267/2012

of 23 March 2012

concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010







THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof, Having regard to Council Decision 2012/35/CFSP of 23 January 2012 amending Decision 2010/413/CFSP concerning restrictive measures against Iran ( 1 ), Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the European Commission, Whereas: (1) On 25 October 2010, the Council adopted Regulation (EU) No 961/2010 on restrictive measures against Iran and repealing Regulation (EC) No 423/2007 ( 2 ), in order to give effect to Council Decision 2010/413/CFSP ( 3 ). (2) On 23 January 2012, the Council approved Decision 2012/35/CFSP providing for additional restrictive measures against the Islamic Republic of Iran ('Iran') as requested by the European Council on 9 December 2011. (3) Those restrictive measures comprise, in particular, additional restrictions on trade in dual-use goods and technology, as well as on key equipment and technology which could be used in the petrochemical industry, a ban on the import of Iranian crude oil, petroleum products and petrochemical products, as well as a prohibition of investment in the petrochemical industry. Moreover, trade in gold, precious metals and diamonds with the Government of Iran, as well as the delivery of newly printed banknotes and coinage to or for the benefit of the Central Bank of Iran, should be prohibited. (4) Certain technical amendments to existing measures have also become necessary. In particular, the definition of "brokering services" should be clarified. In cases where the purchase, sale, supply, transfer or export of goods and technology or of financial and technical services may be authorised by a competent authority no separate authorisation of related brokering services will be required. (5) The definition of "transfers of funds" should be broadened to non-electronic transfers so as to counter attempts at circumventing the restrictive measures. (6) The revised restrictive measures concerning dual-use goods should cover all goods and technology set out in Annex I to Council 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 ), with the exception of certain items in Part 2 of category 5 thereof in view of their use in public communication services in Iran. However, the prohibitions in Article 2 of this Regulation do not apply to the sale, supply, transfer or export of goods and technology newly listed in Annex I or II of this Regulation for which an authorisation has already been granted by the competent authorities of the Member States pursuant to Article 3 of Regulation (EU) No 961/2010 prior to the entry into force of this Regulation. (7) In order to ensure the effective implementation of the prohibition on the sale, supply, transfer or export to Iran of certain key equipment or technology which could be used in the key sectors of the oil, natural gas and petrochemical industries, lists of such key equipment and technology should be provided. (8) For the same reason, lists of items subject to trade restrictions on crude oil and petroleum products, petrochemical products, gold, precious metals and diamonds should also be provided. (9) In addition, to be effective, restrictions on investment in the Iranian oil and gas sector should cover certain key activities, such as bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids, and, for the same reason, should apply to joint ventures as well as other forms of associations and cooperation with Iran in the sector of the transmission of natural gas. (10) Effective restrictions on Iranian investment in the Union require that measures be taken to prohibit natural or legal persons, entities and bodies subject to the jurisdiction of the Member States from enabling or authorising such investment. (11) Decision 2012/35/CFSP also extends the freezing of assets to additional persons, entities or bodies providing support to the Government of Iran, including financial, logistical and material support, or associated with them. The Decision also extends the freezing measures to other members of the ►C1 Iranian Revolutionary Guard Corps ◄ (IRGC). (12) Decision 2012/35/CFSP also provides for the freezing of the assets of the Central Bank of Iran. However, in consideration of possible involvement of the Central Bank of Iran in the financing of foreign trade, derogations are deemed necessary as this targeted financial measure should not prevent trade operations, including contracts relating to foodstuffs, healthcare, medical equipment or for humanitarian purposes in accordance with the provisions of this Regulation. The exemptions in Articles 12 and 14 of this Regulation concerning contracts for the import, purchase or transport of Iranian crude oil, petroleum products and petrochemical products concluded before 23 January 2012 also apply to ancillary contracts, including transport, insurance or inspections contracts necessary for the execution of such contracts. Furthermore, Iranian crude oil, petroleum products and petrochemical products which are legally imported into a Member State pursuant to the exemptions in Articles 12 and 14 of this Regulation are to be considered as being in free circulation within the Union. (13) It is prohibited, pursuant to the obligation to freeze the assets of Islamic Republic of Iran Shipping Line (IRISL) and of entities owned or controlled by IRISL to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States. Moreover, the transfer of ownership of vessels owned, controlled or chartered by IRISL companies to other entities is also prohibited pursuant to the freezing of IRISL's assets. However, the obligation to freeze the funds and economic resources of IRISL and of entities owned or controlled by IRISL does not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them. (14) In consideration of Iran's attempts at circumventing the sanctions, it should be clarified that all funds and economic resources belonging to, owned, held or controlled by persons, entities or bodies listed in Annexes I or II to Decision 2010/413/CFSP are to be frozen without delay, including those of successor entities established to circumvent the measures set out in this Regulation. (15) It should also be clarified that submitting and forwarding the necessary documents to a bank for the purpose of their final transfer to a person, entity or body that is not listed, to trigger payments allowed under this Regulation, does not constitute making funds available within the meaning of this Regulation. (16) It should be clarified that funds or economic resources should be able to be released for the official purposes of diplomatic or consular missions or international organisations enjoying immunities in accordance with international law, in conformity with the provisions of this Regulation. (17) The application of targeted financial measures by providers of specialised financial messaging services should be further developed, in conformity with the provisions of this Regulation. It should be clarified that the assets of non-designated persons, entities or bodies held at designated credit and financial institutions should not remain frozen in application of the targeted financial measures and should be able to be released under the conditions provided for in this Regulation. In consideration of Iran's attempts at using its financial system for the purpose of circumventing the sanctions, it is necessary to require enhanced vigilance in relation to the activities of Iran's credit and financial institutions so as to prevent circumvention of this Regulation, including the freezing of the assets of the Central Bank of Iran. These enhanced vigilance requirements for credit and financial institutions should be complementary to existing obligations deriving from Regulation (EC) 1781/2006 of the European Parliament and of the Council of 15 November 2006 on information on the payer accompanying transfers of funds ( 5 ) and from the implementation of Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing ( 6 ). (18) Certain provisions regarding the controls of funds transfers should be reviewed in order to facilitate their application by competent authorities and operators and to prevent circumvention of the provisions of this Regulation, including the freezing of the assets of the Central Bank of Iran. (19) Furthermore, the restrictions on insurance should be adjusted, in particular with a view to clarifying that the insurance of diplomatic and consular missions within the Union is permitted, and to allow for the provision of third party liability insurance or environmental liability insurance. (20) Moreover, the requirement to submit pre-arrival and pre-departure information should be updated, since this obligation has become generally applicable to all goods entering or leaving the customs territory of the Union following the full implementation as from 1 January 2012 of the customs security measures laid down in the relevant provisions concerning entry and exit summary declarations in Regulation (EEC) No 2913/92 ( 7 ) and in Regulation (EEC) No 2454/93 ( 8 ). (21) Adjustments should also be made concerning the provision of bunkering and ship supply services, the liability of operators and the prohibition of the circumvention of the relevant restrictive measures. (22) The mechanisms for exchange of information between Member States and the Commission should be reviewed so as to ensure the effective implementation and uniform interpretation of this Regulation. (23) In consideration of its objectives, the ban on internal repression equipment should be provided for under Regulation (EU) No 359/2011 concerning restrictive measures directed against certain persons, entities and bodies in view of the situation in Iran ( 9 ), rather than under this Regulation. (24) For the sake of clarity, Regulation (EU) No 961/2010 should be repealed and replaced by this Regulation. (25) The restrictive measures provided for in this Regulation fall within the scope of the Treaty on the Functioning of the European Union and legislation at the level of the Union is therefore necessary in order to implement them, in particular with a view to ensuring their uniform application by economic operators in all Member States. (26) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and in particular the right to an effective remedy and to a fair trial, the right to property and the right to protection of personal data. This Regulation should be applied in accordance with those rights and principles. (27) This Regulation also respects the obligations of Member States under the Charter of the United Nations and the legally binding nature of Resolutions of the United Nations Security Council. Whereas: ▼C4 (27a) The power to amend the lists in Annexes VIII and IX to this Regulation should be exercised by the Council, in view of the specific threat to international peace and security posed by Iran’s nuclear programme, and to ensure consistency with the process for amending and reviewing Annexes I and II to Decision 2010/413/CFSP. ▼B (28) The procedure for the designation of persons subject to freezing measures under this Regulation should include providing designated natural or legal persons, entities or bodies with the grounds for listing, so as to give them an opportunity to submit observations. Where observations are submitted, or substantial new evidence is presented, the Council should review its decision in the light of those observations and inform the person, entity or body concerned accordingly. (29) For the implementation of this Regulation, and to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with the Regulation, should be made public. Any processing of personal data of natural persons under this Regulation should be in conformity with Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data ( 10 ) and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data ( 11 ). (30) In order to ensure that the measures provided for in this Regulation are effective, it should enter into force on the day of its publication, HAS ADOPTED THIS REGULATION:







CHAPTER I

DEFINITIONS

Article 1

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

(a) 'branch' of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;

(b) 'brokering services' means: (i) the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country, or (ii) the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country;

(c) 'claim' means any claim, whether asserted by legal proceedings or not, made before or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular: (i) a claim for performance of any obligation arising under or in connection with a contract or transaction; (ii) a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form; (iii) a claim for compensation in respect of a contract or transaction; (iv) a counterclaim; (v) a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given;

(d) '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;

(e) 'competent authorities' refers to the competent authorities of the Member States as identified on the websites listed in Annex X;

(f) 'credit institution' means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions ( 12 ), including its branches inside or outside the Union;

(g) 'customs territory of the Union' means the territory as defined in Article 3 of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code ( 13 ) and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Regulation (EEC) No 2913/92 ( 14 );

(h) '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;

(i) 'financial institution' means (i) an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change); (ii) an insurance company duly authorised in accordance with Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) ( 15 ), in so far as it carries out activities covered by that Directive; (iii) an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments ( 16 ); (iv) a collective investment undertaking marketing its units or shares; or (v) an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation ( 17 ), with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services; including its branches inside or outside the Union;

(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) 'freezing of funds' means preventing any move, 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;

(l) '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;

(m) 'goods' includes items, materials and equipment;

(n) 'insurance' means an undertaking or commitment whereby one or more natural or legal persons is or are obliged, in return for a payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;

(o) 'Iranian person, entity or body' 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, inside or outside Iran, owned or controlled directly or indirectly by one or more of the above mentioned persons or bodies;

(p) 'reinsurance' means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd's, the activity consisting in accepting risks, ceded by any member of Lloyd's, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd's;

(q) 'Sanctions Committee' means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of United Nations Security Council Resolution ("UNSCR") 1737 (2006);

(r) '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;

(s) 'territory of the Union' 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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(u) 'Joint Commission' means a joint commission consisting of representatives of Iran and of China, France, Germany, the Russian Federation, the United Kingdom and the United States with the High Representative of the Union for Foreign Affairs and Security Policy (‘High Representative’), that will be established to monitor the implementation of the Joint Comprehensive Plan of Action of 14 July 2015 (‘JCPOA’) and will carry out the functions provided for in the JCPOA, in accordance with point ix of the JCPOA's ‘Preamble and General Provisions’ and Annex IV to the JCPOA.

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CHAPTER II

EXPORT AND IMPORT RESTRICTIONS

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Article 2a

1. A prior authorisation shall be required:

(a) for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex I, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;

(b) for the provision of technical assistance or brokering services related to goods and technology listed in Annex I or related to the provision, manufacture, maintenance and use of goods and technology included in Annex I, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(c) for the provision of financing or financial assistance related to goods and technology listed Annex I, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving the following: (i) uranium mining, (ii) production or use of nuclear materials as listed in Part 1 of the Nuclear Suppliers Group list. This shall include the making of loans or credit to such a person, entity or body;

(e) for the purchase, import or transport from Iran of goods and technology listed in Annex I, whether or not originating in Iran.

2. Annex I shall list the items, including goods, technology and software, contained in the Nuclear Suppliers Group list.

3. The Member State concerned shall submit the proposed authorisation under points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis and shall not grant the authorisation until that approval has been received.

4. The Member State concerned shall also submit the proposed authorisations of activities referred to in points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis if the activities are related to any further goods and technology that, based on the determination by that Member State, could contribute to reprocessing- or enrichment-related or heavy water-related activities inconsistent with the JCPOA. The Member State shall not grant the authorisation until that approval has been received.

5. The competent authority concerned shall not grant the authorisation under point (e) of paragraph 1 until it has been approved by the Joint Commission.

6. The Member State concerned shall notify the other Member States, the Commission and the High Representative of authorisations granted under paragraphs (1) and (5), or any refusal by the UN Security Council to approve an authorisation in accordance with paragraphs (3) or (4).

Article 2b

1. Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of equipment referred to in paragraph 2(c), subparagraph 1 of Annex B to UNSCR 2231 (2015) for light water reactors.

2. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 2c

1. The competent authorities granting an authorisation in accordance with Article 2a(1)(a) and Article 2b shall ensure the following:

(a) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;

(b) the rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively;

(c) the notification of the UN Security Council within ten days of the supply, sale or transfer; and

(d) in the case of supplied goods and technology referred to in Annex I, the notification of the IAEA within ten days of the supply, sale or transfer.

2. For all exports for which an authorisation is required under Article 2a(1)(a), such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. The authorisation shall be valid throughout the Union.

3. Exporters shall supply the competent authorities with all relevant information, as set out in Article 14(1) of Regulation (EC) No 428/2009 and as specified by each competent authority, required for their application for an export authorisation.

Article 2d

1. Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:

(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;

(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or

(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.

2. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure the following:

(a) all activities are undertaken strictly in accordance with the JCPOA;

(b) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;

(c) rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.

3. The Member State concerned shall notify:

(a) the UN Security Council and the Joint Commission ten days in advance of such activities;

(b) the IAEA within ten days of the supply, sale or transfer, in case of supplied items, materials, equipment, goods and technology included in the Nuclear Suppliers Group list.

4. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 3a

1. A prior authorisation shall be required, on a case-by-case basis:

(a) 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 Union, to any Iranian person, entity or body or for use in Iran;

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

(c) for the provision of financing or financial assistance related to goods and technology listed Annex II, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex II.;

(e) for the purchase, import or transport from Iran of goods and technology listed in Annex II, whether or not originating in Iran.

2. Annex II shall list the goods and technology, other than those included in Annexes I and III, that could contribute to reprocessing- or enrichment-related or heavy water-related or other activities inconsistent with the JCPOA.

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

4. The competent authorities shall not grant any authorisation for the transactions referred to in paragraph 1(a) to (e), if they have reasonable grounds to determine that the actions concerned would contribute to reprocessing- or enrichment-related, heavy water-related or other nuclear related activities inconsistent with the JCPOA.

5. The competent authorities shall exchange information on requests for authorisation received under this Article. The system referred to in Article 19(4) of Regulation (EC) No 428/2009 shall be used for this purpose.

6. The competent authority granting an authorisation in accordance with paragraph 1(a) shall ensure that rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.

7. The Member State concerned shall notify the other Member States, the Commission and the High Representative of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.

Article 3b

1. For all exports for which an authorisation is required under Article 3a, 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. The authorisation shall be valid throughout the Union.

2. Under the conditions set out in Article 3a(4) and (5), the competent authorities may annul, suspend, modify or revoke an export authorisation which they have granted.

3. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with Article 3a(4), the Member State concerned shall notify the other Member States, the Commission and the High Representative 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 ( 18 ).

4. Before a competent authority of a Member State grants an authorisation in accordance with Article 3a for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States under Article 3a(4), it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

Article 3c

1. Article 3a does not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of goods and technology listed in Annex II for light water reactors.

2. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure that rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.

3. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 3d

1. Article 3a does not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:

(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;

(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or

(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.

2. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure the following:

(a) all activities are undertaken strictly in accordance with the JCPOA;

(b) rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.

3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.

Article 4a

1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annex III or any other item that the Member State determines could contribute to the development of nuclear weapon delivery systems, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran.

2. Annex III shall list the items, including goods and technology, contained in the Missile Technology Control Regime list.

Article 4b

It shall be prohibited:

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

(b) to provide financing or financial assistance related to the goods and technology listed in Annex III, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(c) to enter into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex III.

Article 4c

It shall be prohibited to purchase, import or transport from Iran, directly or indirectly, the goods and technology listed in Annex III whether the item concerned originates in Iran or not.

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Article 5

It shall be prohibited:

(a) to provide technical assistance, brokering services and other services related to the goods and technology listed in the Common Military List of the European Union (‘Common Military List’), and to the provision, manufacture, maintenance and use of goods and technology on that list, directly or indirectly to any Iranian person, entity or body or for use in Iran;

(b) to provide financing or financial assistance related to the goods and technology listed in the Common Military List, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran.

(c) to enter into any arrangement for the participation or increase in participation in any Iranian person, entity or body engaged in the manufacture of goods or technology listed in the Common Military List, be that independently or as part of a joint venture or other partnership. This shall include the making of loans or credit to such a person, entity or body.

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Article 10d

1. A prior authorisation shall be required for:

(a) the sale, supply, transfer or export of the software listed in Annex VIIA, to any Iranian person, entity or body or for use in Iran.

(b) the provision of technical assistance or brokering services related to the software listed in Annex VIIA or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;

(c) the provision of financing or financial assistance related to the software listed in Annex VIIA, 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 or brokering services to any Iranian person, entity or body, or for use in Iran.

2. The competent authorities shall not grant any authorisation under this Article if:

(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the software is or may be intended for use in connection with the following: (i) reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA; (ii) Iran's military or ballistic missile programme; or (iii) the direct or indirect benefit of the Iranian Revolutionary Guard Corps;

(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.

3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.

4. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.

5. Before a competent authority of a Member State grants an authorisation in accordance with this Article for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

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Article 15a

1. A prior authorisation shall be required for:

(a) the sale, supply, transfer or export of graphite and raw or semi-finished metals as listed in Annex VIIB, to any Iranian person, entity or body or for use in Iran;

(b) the provision of technical assistance or brokering services related to graphite and raw or semi-finished metals listed in Annex VIIB or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;

(c) the provision of financing or financial assistance related to graphite and raw or semi-finished metals listed in Annex VIIB, 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 or brokering services to any Iranian person, entity or body, or for use in Iran.

2. The competent authorities shall not grant any authorisation under this Article if:

(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the graphite and raw or semi-finished metals is or may be intended for use in connection with the following: (i) reprocessing- or enrichment-related, heavy water-related, or other nuclear related activities inconsistent with the JCPOA; (ii) Iran's military or ballistic missile programme; or (iii) the direct or indirect benefit of the Iranian Revolutionary Guard Corps;

(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.

3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.

4. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.

5. Before a competent authority of a Member State grants an authorisation in accordance with this Article for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

6. The provisions in paragraphs 1 to 3 shall not apply in relation to the goods listed in Annexes I, II and III or in relation to Annex I to Regulation (EC) No 428/2009.

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CHAPTER III

RESTRICTIONS ON FINANCING OF CERTAIN ENTREPRISES

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CHAPTER IV

FREEZING OF FUNDS AND ECONOMIC RESOURCES

Article 23

1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII includes the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of UNSCR 1737 (2006), paragraph 7 of UNSCR 1803 (2008) or paragraph 11, 12 or 19 of UNSCR 1929 (2010).

2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex IX shall be frozen. Annex IX shall include the natural and legal persons, entities and bodies who, in accordance with Article 20(1)(b) and (c) of Council Decision 2010/413/CFSP, have been identified as:

(a) being engaged in, directly associated with, or providing support for Iran's proliferation-sensitive nuclear activities or the development of nuclear weapon delivery systems by Iran, including through involvement in the procurement of prohibited goods and technology, or being owned or controlled by such a person, entity or body, including through illicit means, or acting on their behalf or at their direction;

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(b) being a natural or legal person, entity or body that has evaded or violated, or assisted a listed person, entity or body to evade or violate, the provisions of this Regulation, Council Decision 2010/413/CFSP or UNSCR 1737 (2006), UNSCR 1747 (2007), UNSCR 1803 (2008) and UNSCR 1929 (2010);

(c) being a member of the Islamic Revolutionary Guard Corps (IRGC) or a legal person, entity or body owned or controlled by the IRGC or by one or more of its members, or a natural or legal person, entity or body acting on their behalf, or a natural or legal person, entity or body providing insurance or other essential services to IRGC, or to entities owned or controlled by them or acting on their behalf;

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(d) being other persons, entities or bodies that provide support, such as material, logistical or financial support, to the Government of Iran and entities owned or controlled by them, or persons and entities associated with them;

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(e) being a legal person, entity or body owned or controlled by the Islamic Republic of Iran Shipping Lines (IRISL), or a natural or legal person, entity or body acting on its behalf, or a natural or legal person, entity or body providing insurance or other essential services to IRISL, or to entities owned or controlled by it or acting on its behalf.

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Pursuant to the obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL, it shall be prohibited to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States.

The obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL shall not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.

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 VIII and IX or.

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4. Without prejudice to the derogations provided for in Articles 24, 25, 26, 27, 28, 28a, 28b and 29, it shall be prohibited to supply specialised financial messaging services, which are used to exchange financial data, to the natural or legal persons, entities or bodies listed in Annexes VIII and IX.

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5. Annexes VIII and IX shall include the grounds for listing of listed persons, entities and bodies, as provided by the Security Council or by the Sanctions Committee.

6. Annexes VIII and IX shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned, as provided by the Security Council or by the Sanctions Committee. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, adress, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business. With regard to airlines and shipping companies, Annexes VIII and IX shall also include, where available, information necessary to identify each vessel or aircraft belonging to a listed company such as the original registration number or name. Annexes VIII and IX shall also include the date of designation.

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Article 23a

1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex XIII shall be frozen. Annex XIII includes the natural and legal persons, entities and bodies designated by the UN Security Council in accordance with paragraph 6(c) of Annex B to UNSCR 2231 (2015).

2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex XIV shall be frozen. Annex XIV shall include the natural and legal persons, entities and bodies who, in accordance with Article 20(1)(e) of Council Decision 2010/413/CFSP, have been identified as:

(a) being engaged in, directly associated with, or provided support for, Iran's proliferation-sensitive nuclear activities undertaken contrary to Iran's commitments in the JCPOA or the development of nuclear weapon delivery systems by Iran, including through the involvement in procurement of prohibited items, goods, equipment, materials and technology specified in the statement set out in Annex B to UNSCR 2231 (2015), Decision 2010/413/CFSP or the Annexes to this Regulation;

(b) assisting designated persons or entities in evading or acting inconsistently with the JCPOA, UNSCR 2231 (2015), Decision 2010/413/CFSP or this Regulation;

(c) acting on behalf or at the direction of designated persons or entities; or

(d) being a legal person, entity or body owned or controlled by designated persons or entities.

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 XIII and XIV.

4. Without prejudice to the derogations provided for in Articles 24, 25, 26, 27, 28, 28a, 28b or 29, it shall be prohibited to supply specialised financial messaging services, which are used to exchange financial data, to the natural or legal persons, entities or bodies listed in Annexes XIII and XIV.

5. Annexes XIII and XIV shall include the grounds for listing of listed natural or legal persons, entities or bodies.

6. Annexes XIII and XIV shall also include, where available, the information necessary to identify the natural or legal persons, entities or bodies concerned. With regard to natural persons, such information may include names, including aliases, date and place of birth, nationality, passport and identity card numbers, gender, address if known, and function or profession. With regard to legal persons, entities or bodies, such information may include names, place and date of registration, registration number and place of business. Annexes XIII and XIV shall also include the date of designation.

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Article 24

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources, provided that the following conditions are met:

(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 23 or Article 23a has been designated by the Sanctions Committee, the UN Security Council or the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;

(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 Annexes VIII, IX, XIII or XIV;

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

(e) where Article 23(1) or Article 23a(1) applies, the UN Security Council has been notified by the Member State of the lien or judgment.

Article 25

By way of derogation from Article 23 or Article 23a and provided that a payment by a person, entity or body listed in Annexes VIII, IX, XIII or XIV is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned, before the date on which that person, entity or body had been designated by the Sanctions Committee, the UN Security Council or by the Council, the competent authorities may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that 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 Annexes VIII, IX, XIII or XIV; (ii) the payment will not contribute to an activity prohibited under this Regulation. If the payment serves as consideration for a trade activity that has already been performed and the competent authority of another Member State had given prior confirmation that the activity was not prohibited at the time it was performed, it shall be deemed, prima facie, that the payment will not contribute to a prohibited activity; and (iii) the payment is not in breach of Article 23(3) or Article 23a(3); and

(b) where Article 23(1) or Article 23a(1) applies, the Member State concerned has notified the UN Security Council of that determination and its intention to grant an authorisation, and the UN Security Council has not objected to that course of action within ten working days of notification.

Article 26

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, provided that the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources concerned are: (i) necessary to satisfy the basic needs of natural or legal persons, entities or bodies listed in Annexes VIII, IX, XIII or XIV and their dependent family members of such natural persons, 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.

(b) where the authorisation concerns a person, entity or body listed in Annex XIII, the Member State concerned has notified the UN Security Council of the determination referred to in point (a) and its intention to grant an authorisation, and the UN Security Council has not objected to that course of action within five working days of notification.

Article 27

By way of derogation from Article 23(2) and (3) or Article 23a(2) and (3), the competent authorities may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources concerned are to be paid into or from an account of a diplomatic mission or consular post or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic mission or consular post or international organisation.

Article 28

By way of derogation from Article 23 or Article 23a, the competent authorities 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 concerned are necessary for extraordinary expenses provided that, where the authorisation concerns a person, entity or body listed in Annex XIII, the UN Security Council has been notified of that determination by the Member State concerned and the determination has been approved by the UN Security Council.

Article 28a

By way of derogation from Article 23(2) and (3) or Article 23a(2) and (3), the competent authorities 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, after having determined that the funds or economic resources concerned are necessary for activities directly related to equipment referred to in paragraph 2(c), subparagraph 1 of Annex B to UNSCR 2231 (2015) for light water reactors.

Article 28b

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, under such conditions as they deem appropriate, provided that the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources concerned are: (i) necessary for the civil nuclear cooperation projects described in Annex III of the JCPOA; (ii) necessary for activities directly related to the items specified in Articles 2a and 3a, or to any other activity required for the implementation of the JCPOA; and

(b) where the authorisation concerns a person, entity or body listed in Annex XIII, the UN Security Council has been notified of that determination by the Member State concerned and the determination has been approved by the UN Security Council.

Article 29

1. Article 23(3) or Article 23a(3) shall not prevent the crediting of the frozen accounts by financial or credit institutions that receive funds transferred by third parties to the account of a listed person, entity or body, provided that any additions to such accounts shall also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.

2. Provided that any such interest or other earnings and payments are frozen in accordance with Article 23(1) or (2) or Article 23a(1) or (2), Article 23(3) or Article 23a(3) shall not apply to the addition to frozen accounts of:

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

(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 23 or Article 23a has been designated by the Sanctions Committee, the UN Security Council or by the Council.

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CHAPTER V

RESTRICTIONS ON TRANSFERS OF FUNDS AND ON FINANCIAL SERVICES

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CHAPTER VI

RESTRICTIONS ON TRANSPORT

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Article 36

The person providing advance information as determined in the relevant provisions concerning summary declarations as well as customs declarations in Regulation (EEC) No 2913/92 and in Regulation (EEC) No 2454/93 shall also present any authorisations if required by this Regulation.

Article 37

1. The provision of bunkering or ship supply services, or any other servicing of vessels, to vessels owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the advance information referred to in Article 36, that provides reasonable grounds to determine that the vessels carry goods covered by the Common Military List or goods whose supply, sale, transfer or export is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.

2. The provision of engineering and maintenance services to cargo aircraft owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited, where the providers of the service have information, including from the competent customs authorities on the basis of the advance information referred to in Article 36, that provides reasonable grounds to determine that the cargo aircraft carry goods covered by the Common Military List or goods the supply, sale, transfer or export of which is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.

3. The prohibitions in paragraphs 1 and 2 of this Article shall apply until the cargo has been inspected and, where necessary, seized or disposed of, as the case may be.

Any seizure and disposal may, in accordance with national legislation or the decision of a competent authority, be carried out at the expense of the importer or be recovered from any other person or entity responsible for the attempted illicit supply, sale, transfer or export.

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CHAPTER VII

GENERAL AND FINAL PROVISIONS

Article 38

1. No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims 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, shall be satisfied, if they are made by:

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(a) designated persons, entities or bodies listed in Annexes VIII, IX, XIII and XIV;

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

(c) any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) and (b).

2. The performance of a contract or transaction shall be regarded as having been affected by the measures imposed under 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.

4. This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation.

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Article 40

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

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(a) supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 23 or 23a, to the competent authorities of the Member States where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;

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(b) cooperate with the competent authorities in any verification of this information.

2. Any additional information received directly 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.

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Article 41

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the measures in Article 2a, 2b, 2c, 2d, 3a, 3b, 3c, 3d, 4a, 4b, 5, 10d, 15a, 23, 23a and 37 of this Regulation.

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Article 42

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, 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.

2. The measures set out in the present Regulation shall not give rise to liability of any kind on the part of the natural or legal persons, entities or bodies concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.

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Article 44

1. The Commission and Member States shall inform each other of the measures taken under this Regulation and share any other relevant information at their disposal in connection with this Regulation at three-monthly intervals, in particular information

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(a) in respect of funds frozen under Articles 23 and 23a and authorisations granted under Articles 24, 25, 26, 27, 28, 28a and 28b;

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(b) in respect of violations and enforcement problems and judgments issued by national courts.

2. The Member States shall immediately inform each other and the Commission of any other relevant information at their disposal which might affect the effective implementation of this Regulation.

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Article 45

The Commission shall amend Annexes I, II, III, VIIA, VIIB and X on the basis of information supplied by Member States.

Article 46

1. Where the UN Security Council lists a natural or legal person, entity or body, the Council shall include such natural or legal person, entity or body in Annex VIII.

2. Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 23(2) and (3), it shall amend Annex IX accordingly.

3. Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 23a(2) and (3), it shall amend Annex XIV accordingly.

4. The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraphs 1 to 3, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.

5. Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.

6. Where the United Nations decides to delist a natural or legal person, entity or body, or to amend the identifying data of a listed natural or legal person, entity or body, the Council shall amend Annex VIII or XIII accordingly.

7. The lists in Annexes IX and XIV shall be reviewed in regular intervals and at least every 12 months.

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Article 47

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 48

1. Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex X. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex X.

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

3. Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex X.

Article 49

This Regulation shall apply:

(a) within the territory of the Union, including its airspace;

(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 Union who is a national of a Member State;

(d) to any legal person, entity or body, inside or outside the territory of the Union, 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 Union.

Article 50

Regulation (EU) No 961/2010 is hereby repealed. References to the repealed regulation shall be construed as references to this Regulation.

Article 51

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

List of the goods and technology referred to in Article 2a

This Annex comprises the following items listed in the Nuclear Suppliers Group list, as defined therein:

Note: Any item whose specific technical characteristics or specifications fall within categories specified by both Annex I and Annex III shall be considered to fall within Annex III only

NSG Part I

ANNEX A

TRIGGER LIST REFERRED TO IN GUIDELINES

GENERAL NOTES

1. The object of these controls should not be defeated by the transfer of component parts. Each government will take such actions as it can to achieve this aim and will continue to seek a workable definition for component parts, which could be used by all suppliers.

2. With reference to Paragraph 9(b)(2) of the Guidelines, same type should be understood as when the design, construction or operating processes are based on the same or similar physical or chemical processes as those identified in the Trigger List.

3. Suppliers recognize the close relationship for certain isotope separation processes between plants, equipment and technology for uranium enrichment and that for isotope separation of ‘other elements’ for research, medical and other non-nuclear industrial purposes. In that regard, suppliers should carefully review their legal measures, including export licensing regulations and information/technology classification and security practices, for isotope separation activities involving ‘other elements’ to ensure the implementation of appropriate protection measures as warranted. Suppliers recognize that, in particular cases, appropriate protection measures for isotope separation activities involving ‘other elements’ will be essentially the same as those for uranium enrichment. (See Introductory Note in Section 5 of the Trigger List.) In accordance with Paragraph 17(a) of the Guidelines, suppliers shall consult with other suppliers as appropriate, in order to promote uniform policies and procedures in the transfer and protection of plants, equipment and technology involving isotope separation of ‘other elements’. Suppliers should also exercise appropriate caution in cases involving the application of equipment and technology, derived from uranium enrichment processes, for other non-nuclear uses such as in the chemical industry.

TECHNOLOGY CONTROLS

The transfer of ‘technology’ directly associated with any item in the List will be subject to as great a degree of scrutiny and control as will the item itself, to the extent permitted by national legislation.

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

In addition to controls on ‘technology’ transfer for nuclear non-proliferation reasons, suppliers should promote protection of this technology for the design, construction, and operation of trigger list facilities in consideration of the risk of terrorist attacks, and should stress to recipients the necessity of doing so.

SOFTWARE CONTROLS

The transfer of ‘software’ directly associated with any item in the List will be subject to as great a degree of scrutiny and controls as will the item itself, to the extent permitted by national legislation.

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

DEFINITIONS

‘basic scientific research’ — Experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena and observable facts, not primarily directed towards a specific practical aim or objective.

‘development’ is related to all phases before ‘production’ such as: — design — design research — design analysis — design concepts — assembly and testing of prototypes — pilot production schemes — design data — process of transforming design data into a product — configuration design — integration design — layouts

‘in the public domain’ as it applies herein, means ‘technology’ or ‘software’ that has been made available without restrictions upon its further dissemination. (Copyright restrictions do not remove ‘technology’ or ‘software’ from being in the public domain.)

‘microprograms’ — A sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.

‘other elements’ — All elements other than hydrogen, uranium and plutonium.

‘production’ means all production phases such as: — construction — production engineering — manufacture — integration — assembly (mounting) — inspection — testing — quality assurance

‘program’ — A sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.

‘software’ means a collection of one or more ‘programs’ or ‘microprograms’ fixed in any tangible medium of expression.

‘technical assistance’ may take forms such as: instruction, skills, training, working knowledge, consulting services. Note: ‘Technical assistance’ may involve transfer of ‘technical data’.

‘technical data’ may take forms such as blueprints, plans, diagrams, models, formulae, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

‘technology’ means specific information required for the ‘development’, ‘production’, or ‘use’ of any item contained in the List. This information may take the form of ‘technical data’, or ‘technical assistance’.

‘use’ — Operation, installation (including on-site installation), maintenance (checking), repair, overhaul or refurbishing.

MATERIAL AND EQUIPMENT

1. Source and special fissionable material

As defined in Article XX of the Statute of the International Atomic Energy Agency:

1.1. ‘Source material’ The term ‘source material’ means uranium containing the mixture of isotopes occurring in nature; uranium depleted in the isotope 235; thorium; any of the foregoing in the form of metal, alloy, chemical compound, or concentrate; any other material containing one or more of the foregoing in such concentration as the Board of Governors shall from time to time determine; and such other material as the Board of Governors shall from time to time determine.

1.2. ‘Special fissionable material’ i) The term ‘special fissionable material’ means plutonium-239; uranium-233; ‘uranium enriched in the isotopes 235 or 233’; any material containing one or more of the foregoing; and such other fissionable material as the Board of Governors shall from time to time determine; but the term ‘special fissionable material’ does not include source material. ii) The term ‘uranium enriched in the isotopes 235 or 233’ means uranium containing the isotopes 235 or 233 or both in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is greater than the ratio of the isotope 235 to the isotope 238 occurring in nature. However, for the purposes of the Guidelines, items specified in subparagraph (a) below, and exports of source or special fissionable material to a given recipient country, within a period of 12 months, below the limits specified in subparagraph (b) below, shall not be included: (a) Plutonium with an isotopic concentration of plutonium-238 exceeding 80 %. Special fissionable material when used in gram quantities or less as a sensing component in instruments; and Source material which the Government is satisfied is to be used only in non- nuclear activities, such as the production of alloys or ceramics; (b)



Special fissionable material 50 effective grams; Natural uranium 500 kilograms; Depleted uranium 1 000 kilograms; and Thorium 1 000 kilograms.

2. Equipment and Non-nuclear Materials

The designation of items of equipment and non-nuclear materials adopted by the Government is as follows (quantities below the levels indicated in the Annex B being regarded as insignificant for practical purposes):

2.1. Nuclear reactors and especially designed or prepared equipment and components therefor (see Annex B, section 1.);

2.2. Non-nuclear materials for reactors (see Annex B, section 2.);

2.3. Plants for the reprocessing of irradiated fuel elements, and equipment especially designed or prepared therefor (see Annex B, section 3.);

2.4. Plants for the fabrication of nuclear reactor fuel elements, and equipment especially designed or prepared therefor (see Annex B, section 4.);

2.5. Plants for the separation of isotopes of natural uranium, depleted uranium or special fissionable material and equipment, other than analytical instruments, especially designed or prepared therefor (see Annex B, section 5.);

2.6. Plants for the production or concentration of heavy water, deuterium and deuterium compounds and equipment especially designed or prepared therefor (see Annex B, section 6.);

2.7. Plants for the conversion of uranium and plutonium for use in the fabrication of fuel elements and the separation of uranium isotopes as defined in sections 4 and 5 respectively, and equipment especially designed or prepared therefor (See Annex B, section 7.).

ANNEX B

CLARIFICATION OF ITEMS ON THE TRIGGER LIST

(as designated in Section 2 of MATERIAL AND EQUIPMENT of Annex A)

1. Nuclear reactors and especially designed or prepared equipment and components therefor

Various types of nuclear reactors may be characterized by the moderator used (e.g., graphite, heavy water, light water, none), the spectrum of neutrons therein (e.g., thermal, fast), the type of coolant used (e.g., water, liquid metal, molten salt, gas), or by their function or type (e.g., power reactors, research reactors, test reactors). It is intended that all of these types of nuclear reactors are within scope of this entry and all of its sub-entries where applicable. This entry does not control fusion reactors.

1.1. Complete nuclear reactors

Nuclear reactors capable of operation so as to maintain a controlled self-sustaining fission chain reaction.

A ‘nuclear reactor’ basically includes the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain or come in direct contact with or control the primary coolant of the reactor core.

The export of the whole set of major items within this boundary will take place only in accordance with the procedures of the Guidelines. Those individual items within this functionally defined boundary which will be exported only in accordance with the procedures of the Guidelines are listed in paragraphs 1.2. to 1.11. The Government reserves to itself the right to apply the procedures of the Guidelines to other items within the functionally defined boundary.

1.2. Nuclear reactor vessels

Metal vessels, or major shop-fabricated parts therefor, especially designed or prepared to contain the core of a nuclear reactor as defined in paragraph 1.1. above, as well as relevant reactor internals as defined in paragraph 1.8. below.

Item 1.2 covers nuclear reactor vessels regardless of pressure rating and includes reactor pressure vessels and calandrias. The reactor vessel head is covered by item 1.2. as a major shop-fabricated part of a reactor vessel.

1.3. Nuclear reactor fuel charging and discharging machines

Manipulative equipment especially designed or prepared for inserting or removing fuel in a nuclear reactor as defined in paragraph 1.1. above.

The items noted above are capable of on-load operation or at employing technically sophisticated positioning or alignment features to allow complex off-load fueling operations such as those in which direct viewing of or access to the fuel is not normally available.

1.4. Nuclear reactor control rods and equipment

Especially designed or prepared rods, support or suspension structures therefor, rod drive mechanisms or rod guide tubes to control the fission process in a nuclear reactor as defined in paragraph 1.1. above.

1.5. Nuclear reactor pressure tubes

Tubes which are especially designed or prepared to contain both fuel elements and the primary coolant in a reactor as defined in paragraph 1.1. above.

Pressure tubes are parts of fuel channels designed to operate at elevated pressure, sometimes in excess of 5 MPa.

1.6. Nuclear fuel cladding

Zirconium metal tubes or zirconium alloy tubes (or assemblies of tubes) especially designed or prepared for use as fuel cladding in a reactor as defined in paragraph 1.1. above, and in quantities exceeding 10 kg.

N.B.: For zirconium pressure tubes see 1.5. For calandria tubes see 1.8.

Zirconium metal tubes or zirconium alloy tubes for use in a nuclear reactor consist of zirconium in which the relation of hafnium to zirconium is typically less than 1:500 parts by weight.

1.7. Primary coolant pumps or circulators

Pumps or circulators especially designed or prepared for circulating the primary coolant for nuclear reactors as defined in paragraph 1.1. above.

Especially designed or prepared pumps or circulators include pumps for water-cooled reactors, circulators for gas-cooled reactors, and electromagnetic and mechanical pumps for liquid-metal-cooled reactors. This equipment may include pumps with elaborate sealed or multi-sealed systems to prevent leakage of primary coolant, canned-driven pumps, and pumps with inertial mass systems. This definition encompasses pumps certified to Section III, Division I, Subsection NB (Class 1 components) of the American Society of Mechanical Engineers (ASME) Code, or equivalent standards.

1.8. Nuclear reactor internals

‘Nuclear reactor internals’ especially designed or prepared for use in a nuclear reactor as defined in paragraph 1.1 above. This includes, for example, support columns for the core, fuel channels, calandria tubes, thermal shields, baffles, core grid plates, and diffuser plates.

‘Nuclear reactor internals’ are major structures within a reactor vessel which have 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.

1.9. Heat exchangers

(a) Steam generators especially designed or prepared for the primary, or intermediate, coolant circuit of a nuclear reactor as defined in paragraph 1.1 above.

(b) Other heat exchangers especially designed or prepared for use in the primary coolant circuit of a nuclear reactor as defined in paragraph 1.1 above.

Steam generators are especially designed or prepared to transfer the heat generated in the reactor to the feed water for steam generation. In the case of a fast reactor for which an intermediate coolant loop is also present, the steam generator is in the intermediate circuit.

In a gas-cooled reactor, a heat exchanger may be utilized to transfer heat to a secondary gas loop that drives a gas turbine.

The scope of control for this entry does not include heat exchangers for the supporting systems of the reactor, e.g., the emergency cooling system or the decay heat cooling system.

1.10. Neutron detectors

Especially designed or prepared neutron detectors for determining neutron flux levels within the core of a reactor as defined in paragraph 1.1. above.

The scope of this entry encompasses in-core and ex-core detectors which measure flux levels in a large range, typically from 104 neutrons per cm2 per second to 1010 neutrons per cm2 per second or more. Ex-core refers to those instruments outside the core of a reactor as defined in paragraph 1.1. above, but located within the biological shielding.

1.11. External thermal shields

‘External thermal shields’ especially designed or prepared for use in a nuclear reactor as defined in paragraph 1.1 for reduction of heat loss and also for containment vessel protection.

‘External thermal shields’ are major structures placed over the reactor vessel which reduce heat loss from the reactor and reduce temperature within the containment vessel.

2. Non-nuclear materials for reactors

2.1. Deuterium and heavy water

Deuterium, heavy water (deuterium oxide) and any other deuterium compound in which the ratio of deuterium to hydrogen atoms exceeds 1:5 000 for use in a nuclear reactor as defined in paragraph 1.1. above in quantities exceeding 200 kg of deuterium atoms for any one recipient country in any period of 12 months.

2.2. Nuclear grade graphite

Graphite having a purity level better than 5 parts per million boron equivalent and with a density greater than 1.50 g/cm for use in a nuclear reactor as defined in paragraph 1.1 above, in quantities exceeding 1 kilogram.

For the purpose of export control, the Government will determine whether or not the exports of graphite meeting the above specifications are for nuclear reactor use.

Boron equivalent (BE) may be determined experimentally or is calculated 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);

CF is the conversion factor: (σz × AB) divided by (σB × Az); 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.

3. Plants for the reprocessing of irradiated fuel elements, and equipment especially designed or prepared therefor

Reprocessing irradiated nuclear fuel separates plutonium and uranium from intensely radioactive fission products and other transuranic elements. Different technical processes can accomplish this separation. However, over the years Purex has become the most commonly used and accepted process. Purex involves the dissolution of irradiated nuclear fuel in nitric acid, followed by separation of the uranium, plutonium, and fission products by solvent extraction using a mixture of tributyl phosphate in an organic diluent.

Purex facilities have process functions similar to each other, including: irradiated fuel element chopping, fuel dissolution, solvent extraction, and process liquor storage. There may also be equipment for thermal denitration of uranium nitrate, conversion of plutonium nitrate to oxide or metal, and treatment of fission product waste liquor to a form suitable for long term storage or disposal. However, the specific type and configuration of the equipment performing these functions may differ between Purex facilities for several reasons, including the type and quantity of irradiated nuclear fuel to be reprocessed and the intended disposition of the recovered materials, and the safety and maintenance philosophy incorporated into the design of the facility.

A ‘plant for the reprocessing of irradiated fuel elements’, includes the equipment and components which normally come in direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams.

These processes, including the complete systems for plutonium conversion and plutonium metal production, may be identified by the measures taken to avoid criticality (e.g. by geometry), radiation exposure (e.g. by shielding), and toxicity hazards (e.g. by containment).

The export of the whole set of major items within this boundary will take place only in accordance with the procedures of the Guidelines.

The Government reserves to itself the right to apply the procedures of the Guidelines to other items within the functionally defined boundary as listed below.

Items of equipment that are considered to fall within the meaning of the phrase ‘and equipment especially designed or prepared’ for the reprocessing of irradiated fuel elements include:

3.1. Irradiated fuel element chopping machines

Remotely operated equipment especially designed or prepared for use in a reprocessing plant as identified above and intended to cut, chop or shear irradiated nuclear fuel assemblies, bundles or rods.

This equipment breaches the cladding of the fuel to expose the irradiated nuclear material to dissolution. Especially designed metal cutting shears are the most commonly employed, although advanced equipment, such as lasers, may be used.

3.2. Dissolvers

Critically safe tanks (e.g. small diameter, annular or slab tanks) especially designed or prepared for use in a reprocessing plant as identified above, intended for dissolution of irradiated nuclear fuel and which are capable of withstanding hot, highly corrosive liquid, and which can be remotely loaded and maintained.

Dissolvers normally receive the chopped-up spent fuel. In these critically safe vessels, the irradiated nuclear material is dissolved in nitric acid and the remaining hulls removed from the process stream.

3.3. Solvent extractors and solvent extraction equipment

Especially designed or prepared solvent extractors such as packed or pulse columns, mixer settlers or centrifugal contactors for use in a plant for the reprocessing of irradiated fuel. Solvent extractors must be resistant to the corrosive effect of nitric acid. Solvent extractors are normally fabricated to extremely high standards (including special welding and inspection and quality assurance and quality control techniques) out of low carbon stainless steels, titanium, zirconium, or other high quality materials.

Solvent extractors both receive the solution of irradiated fuel from the dissolvers and the organic solution which separates the uranium, plutonium, and fission products. Solvent extraction equipment is normally designed to meet strict operating parameters, such as long operating lifetimes with no maintenance requirements or adaptability to easy replacement, simplicity of operation and control, and flexibility for variations in process conditions.

3.4. Chemical holding or storage vessels

Especially designed or prepared holding or storage vessels for use in a plant for the reprocessing of irradiated fuel. The holding or storage vessels must be resistant to the corrosive effect of nitric acid. The holding or storage vessels are normally fabricated of materials such as low carbon stainless steels, titanium or zirconium, or other high quality materials. Holding or storage vessels may be designed for remote operation and maintenance and may have the following features for control of nuclear criticality:

(1) walls or internal structures with a boron equivalent of at least two per cent, or

(2) a maximum diameter of 175 mm (7 in) for cylindrical vessels, or

(3) a maximum width of 75 mm (3 in) for either a slab or annular vessel.

Three main process liquor streams result from the solvent extraction step. Holding or storage vessels are used in the further processing of all three streams, as follows:

(a) The pure uranium nitrate solution is concentrated by evaporation and passed to a denitration process where it is converted to uranium oxide. This oxide is re-used in the nuclear fuel cycle.

(b) The intensely radioactive fission products solution is normally concentrated by evaporation and stored as a liquor concentrate. This concentrate may be subsequently evaporated and converted to a form suitable for storage or disposal.

(c) The pure plutonium nitrate solution is concentrated and stored pending its transfer to further process steps. In particular, holding or storage vessels for plutonium solutions are designed to avoid criticality problems resulting from changes in concentration and form of this stream.

3.5. Neutron measurement systems for process control

Neutron measurement systems especially designed or prepared for integration and use with automated process control systems in a plant for the reprocessing of irradiated fuel elements.

These systems involve the capability of active and passive neutron measurement and discrimination in order to determine the fissile material quantity and composition. The complete system is composed of a neutron generator, a neutron detector, amplifiers, and signal processing electronics.

The scope of this entry does not include neutron detection and measurement instruments that are designed for nuclear material accountancy and safeguarding or any other application not related to integration and use with automated process control systems in a plant for the reprocessing of irradiated fuel elements.

4. Plants for the fabrication of nuclear reactor fuel elements, and equipment especially designed or prepared therefor

Nuclear fuel elements are manufactured from one or more of the source or special fissionable materials mentioned in MATERIAL AND EQUIPMENT of this annex. For oxide fuels, the most common type of fuel, equipment for pressing pellets, sintering, grinding and grading will be present. Mixed oxide fuels are handled in glove boxes (or equivalent containment) until they are sealed in the cladding. In all cases, the fuel is hermetically sealed inside a suitable cladding which is designed to be the primary envelope encasing the fuel so as to provide suitable performance and safety during reactor operation. Also, in all cases, precise control of processes, procedures and equipment to extremely high standards is necessary in order to ensure predictable and safe fuel performance.

Items of equipment that are considered to fall within the meaning of the phrase ‘and equipment especially designed or prepared’ for the fabrication of fuel elements include equipment which:

(a) normally comes in direct contact with, or directly processes, or controls, the production flow of nuclear material;

(b) seals the nuclear material within the cladding;

(c) checks the integrity of the cladding or the seal;

(d) checks the finish treatment of the sealed fuel; or

(e) is used for assembling reactor fuel elements.

Such equipment or systems of equipment may include, for example:

1) fully automatic pellet inspection stations especially designed or prepared for checking final dimensions and surface defects of the fuel pellets;

2) automatic welding machines especially designed or prepared for welding end caps onto the fuel pins (or rods);

3) automatic test and inspection stations especially designed or prepared for checking the integrity of completed fuel pins (or rods);

4) systems especially designed or prepared to manufacture nuclear fuel cladding.

Item 3 typically includes equipment for: a) x-ray examination of pin (or rod) end cap welds, b) helium leak detection from pressurized pins (or rods), and c) gamma-ray scanning of the pins (or rods) to check for correct loading of the fuel pellets inside.

5. Plants for the separation of isotopes of natural uranium, depleted uranium or special fissionable material and equipment, other than analytical instruments, especially designed or prepared therefor

Plants, equipment and technology for the separation of uranium isotopes have, in many instances, a close relationship to plants, equipment and technology for isotope separation of ‘other elements’. In particular cases, the controls under Section 5 also apply to plants and equipment that are intended for isotope separation of ‘other elements’. These controls of plants and equipment for isotope separation of ‘other elements’ are complementary to controls on plants and equipment especially designed or prepared for the processing, use or production of special fissionable material covered by the Trigger List. These complementary Section 5 controls for uses involving ‘other elements’ do not apply to the electromagnetic isotope separation process, which is addressed under Part 2 of the Guidelines.

Processes for which the controls in Section 5 equally apply whether the intended use is uranium isotope separation or isotope separation of ‘other elements’ are: gas centrifuge, gaseous diffusion, the plasma separation process, and aerodynamic processes.

For some processes, the relationship to uranium isotope separation depends on the element being separated. These processes are: laser-based processes (e.g. molecular laser isotope separation and atomic vapour laser isotope separation), chemical exchange, and ion exchange. Suppliers must therefore evaluate these processes on a case-by-case basis to apply Section 5 controls for uses involving ‘other elements’ accordingly.

Items of equipment that are considered to fall within the meaning of the phrase ‘equipment, other than analytical instruments, especially designed or prepared’ for the separation of isotopes of uranium include:

5.1. Gas centrifuges and assemblies and components especially designed or prepared for use in gas centrifuges

The gas centrifuge normally consists of a thin-walled cylinder(s) of between 75 mm and 650 mm diameter contained in a vacuum environment and spun at high peripheral speed of the order of 300 m/s or more with its central axis vertical. In order to achieve high speed the materials of construction for the rotating components have to be of a high strength to density ratio and the rotor assembly, and hence its individual components, have to be manufactured to very close tolerances in order to minimize the unbalance. In contrast to other centrifuges, the gas centrifuge for uranium enrichment is characterized by having within the rotor chamber a rotating disc-shaped baffle(s) and a stationary tube arrangement for feeding and extracting the UF6 gas and featuring at least three separate channels, of which two are connected to scoops extending from the rotor axis towards the periphery of the rotor chamber. Also contained within the vacuum environment are a number of critical items which do not rotate and which although they are especially designed are not difficult to fabricate nor are they fabricated out of unique materials. A centrifuge facility however requires a large number of these components, so that quantities can provide an important indication of end use.

5.1.1. Rotating components

(a) Complete rotor assemblies: Thin-walled cylinders, or a number of interconnected thin-walled cylinders, manufactured from one or more of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section. If interconnected, the cylinders are joined together by flexible bellows or rings as described in section 5.1.1.(c) following. The rotor is fitted with an internal baffle(s) and end caps, as described in section 5.1.1.(d) and (e) following, if in final form. However the complete assembly may be delivered only partly assembled.

(b) Rotor tubes: Especially designed or prepared thin-walled cylinders with thickness of 12 mm or less, a diameter of between 75 mm and 650 mm, and manufactured from one or more of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section.

(c) Rings or Bellows: Components especially designed or prepared to give localized support to the rotor tube or to join together a number of rotor tubes. The bellows is a short cylinder of wall thickness 3 mm or less, a diameter of between 75 mm and 650 mm, having a convolute, and manufactured from one of the high strength to density ratio materials described in the EXPLANATORY