2007R0329 — EN — 29.05.2016 — 019.002

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Amended by:





Corrected by:









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COUNCIL REGULATION (EC) No 329/2007

of 27 March 2007

concerning restrictive measures against the Democratic People's Republic of Korea







Article 1

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

1. ‘Sanctions Committee’ means: the Committee of the UN Security Council which was established pursuant to paragraph 12 of UN Security Council Resolution 1718 (2006);

2. ‘North Korea’ means the Democratic People's Republic of Korea;

3. ‘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;

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

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

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6. ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, actual or potential, which are not funds but can be used to obtain funds, goods or services, including vessels, such as maritime vessels;

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7. ‘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;

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8. ‘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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9. ‘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;

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10. ‘investment services’ means the following services and activities: (a) reception and transmission of orders in relation to one or more financial instruments; (b) execution of orders on behalf of clients; (c) dealing on own account; (d) portfolio management; (e) investment advice; (f) underwriting of financial instruments and/or placing of financial instruments on a firm-commitment basis; (g) placing of financial instruments without a firm-commitment basis; (h) any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

11. ‘transfer of funds’ means: (a) any transaction carried out on behalf of a payer through a payment service provider by electronic means, with a view to making funds available to a payee at a payment service provider, irrespective of whether the payer and the payee are the same person; (b) any transaction by non-electronic means, such as in cash, cheques or accountancy orders, with a view to making funds available to a payee irrespective of whether the payer and the payee are the same person;

12. ‘payee’ means a natural or legal person that is the intended recipient of transferred funds;

13. ‘payer’ means a person that holds a payment account and allows a transfer of funds from that payment account, or, where there is no payment account, that gives a transfer-of-funds order;

14. ‘payment service provider’ means the categories of payment service provider referred to in Article 1(1) of Directive 2007/64/EC of the European Parliament and of the Council ( 1 ), natural or legal persons benefiting from a waiver pursuant to Article 26 of Directive 2007/64/EC and legal persons benefiting from a waiver pursuant to Article 9 of Directive 2009/110/EC of the European Parliament and of the Council ( 2 ), providing transfer-of-funds services.

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Article 2

1. It shall be prohibited:

(a) to sell, supply, transfer or export, directly or indirectly, the goods and technology, including software, listed in Annexes I, Ia and Ib, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in North Korea;

(b) to sell, supply, export or transfer aviation fuel as listed in Annex Ie to North Korea or transport to North Korea aviation fuel on board the flag vessels or aircraft of Member States, whether or not originating in the territories of Member States;

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

2. Annex I shall include all items, materials, equipment, goods and technology, including software, which are dual-use items or technology as defined in Council Regulation (EC) No 428/2009 ( 3 ).

Annex Ia shall include other items, materials, equipment, goods and technology which could contribute to North Korea's nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes.

Annex Ib shall include certain key components for the ballistic missile sector.

Annex Ie shall include the aviation fuel referred to in paragraph 1(b).

3. It shall be prohibited to purchase, import or transport the goods and technology listed in Annex I, Ia and Ib from North Korea, whether or not the item concerned originates in North Korea.

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4. It shall be prohibited to:

(a) import, purchase or transfer gold, titanium ore, vanadium ore and rare-earth minerals, as listed in Annex Ic, or coal, iron and iron ore, as listed in Annex Id, from North Korea, whether or not originating in North Korea;

(b) import, purchase or transfer from North Korea petroleum products, as listed in Annex If, whether or not originating in North Korea;

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

Annex Ic shall include gold, titanium ore, vanadium ore and rare-earth minerals referred to in point (a) of paragraph 4.

Annex Id shall include coal, iron and iron ore referred to in point (a) of paragraph 4.

Annex If shall include the petroleum products referred to in point (b) of paragraph 4.

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5. By way of derogation from paragraph 4(a), the relevant competent authority of the Member State, as identified on the websites listed in Annex II, may authorise:

(a) the purchase, import or transfer of coal provided that the competent authority of the Member State, as identified on the websites listed in Annex II, has determined on the basis of credible information that the shipment originated outside of North Korea and was transported through North Korea solely for export from the Port of Rajin (Rason), that the relevant Member State has notified the Sanctions Committee in advance of such transactions, and that the transactions are unrelated to generating revenue for North Korea's nuclear or ballistic missile programmes or other activities prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016) or by this Regulation; or

(b) transactions that are determined to be exclusively for livelihood purposes and unrelated to generating revenue for North Korea's nuclear or ballistic missile programmes or other activities prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016) or by this Regulation.

6. The prohibition referred to in paragraph 1(b) shall not apply with respect to the sale or supply of aviation fuel to civilian passenger aircraft outside North Korea exclusively for consumption during its flight to North Korea and its return to the airport of origin.

7. By way of derogation from paragraph 1(b), the relevant competent authority of the Member State, as identified on the websites listed in Annex II, may authorise the sale, supply or transfer of an item, provided that the Member State has obtained the advance approval of the Sanctions Committee on an exceptional case-by-case basis of the transfer to North Korea of such products for verified essential humanitarian needs and subject to specified arrangements for effective monitoring of delivery and use.

8. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 5 or 7.

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Article 2a

1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, to North Korea any item, except food or medicine, if the exporter knows or has reasonable grounds to believe that:

(a) the item is destined directly or indirectly for North Korea's armed forces; or

(b) the export of the item could support or enhance the operational capabilities of the armed forces of a State other than North Korea.

2. It shall be prohibited to purchase, import or transport from North Korea items referred to in paragraph 1 if the importer or transporter knows or has reasonable grounds to believe that the ground in point (a) or (b) of that paragraph exists.

3. By way of derogation from paragraph 1, the relevant competent authority of the Member State, as identified on the websites listed in Annex II, may authorise the sale, supply, transfer or export of an item to North Korea, or the purchase, import or transport of an item from North Korea, where:

(a) the item does not relate to the production, development, maintenance or use of military goods, or development or the maintenance of military personnel, and the competent authority has determined that the item would not directly contribute to the development of the operational capabilities of North Korea's armed forces or to exports that support or enhance the operational capabilities of armed forces of a State other than North Korea;

(b) the Sanctions Committee has determined on a case-by-case basis that a particular supply, sale or transfer would not be contrary to the objectives of UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016); or

(c) the competent authority of the Member State is satisfied that the activity is excusively for either humanitarian or livelihood purposes which will not be used by North Korean persons, entities or bodies to generate revenue, and is not related to any activity prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016), provided that the Member State notifies the Sanctions Committee in advance of such a determination and informs the Sanctions Committee of measures taken to prevent the diversion of the item for any prohibited purpose.

4. 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 one week prior to granting the authorisation.

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Article 3

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1. It shall be prohibited:

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(a) to provide, directly or indirectly, technical assistance and brokering services related to goods and technology listed in the EU Common List of Military Equipment or in Annexes I, Ia and Ib and to the provision, manufacture, maintenance and use of goods listed in the EU Common List of Military Equipment or in Annexes I, Ia, and Ib to any natural or legal person, entity or body in, or for use in, North Korea;

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(b) to provide, directly or indirectly, financing or financial assistance related to goods and technology listed in the EU Common List of Military Equipment or in Annexes I, Ia and Ib, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any natural or legal person, entity or body in, or for use in, North Korea;

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(c) to obtain, directly or indirectly, technical assistance related to goods and technology listed in the EU Common List of Military Equipment or in ►M9 Annexes I, Ia and Ib ◄ , and to the provision, manufacture, maintenance and use of goods listed in the EU Common List of Military Equipment or in ►M9 Annexes I, Ia and Ib ◄ from any natural or legal person, entity or body in, or for use in, North Korea;

(d) to obtain, directly or indirectly, financing or financial assistance related to goods and technology listed in the EU Common List of Military Equipment or in ►M9 Annexes I, Ia and Ib ◄ , 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 from any natural or legal person, entity or body in, or for use in, North Korea;

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

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2. The prohibitions set out in paragraph 1 shall not apply to non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection, intended solely for protective use of personnel of the EU and its Member States in North Korea.

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Article 3a

1. By way of derogation from Article 2(1) and Article 3(1), the relevant competent authority of a Member State, as indicated on the websites listed in Annex II, may authorise, under such terms and conditions as it deems appropriate, the direct or indirect supply, sale, transfer or export of the items and technology, including software, referred to in Article 2(1) or the assistance or brokering services referred to in Article 3(1), provided that the goods and technology, assistance or brokering services are for food, agricultural, medical or other humanitarian purposes.

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

3. By way of derogation from point (a) of Article 2(1) and points (a) and (b) of Article 3(1), the relevant competent authority of the Member State, as indicated on the websites listed in Annex II, may authorise the transactions referred to therein under such conditions as it deems appropriate and provided that the UN Security Council has approved the request.

4. The Member State concerned shall inform the other Member States and the Commission of any request for approval which it has submitted to the UN Security Council pursuant to paragraph 3.

Article 3b

1. In addition to the obligation to provide the competent customs authorities with the pre-arrival and pre-departure information as determined in the relevant provisions concerning entry and exit summary declarations as well as customs declarations in Regulation (EU) No 952/2013 of the European Parliament and of the Council ( 4 ), Commission Delegated Regulation (EU) 2015/2446 ( 5 ) and Commission Implementing Regulation (EU) 2015/2447 ( 6 ), the person who provides the information referred to in paragraph 2 of this Article shall declare whether the goods are covered by the EU Common List of Military Equipment or by this Regulation and, where their export is subject to authorisation, specify the goods and technology covered by the export licence granted.

2. The required additional elements referred to in this Article shall be submitted using a customs declaration or, in the absence of such a declaration, in any other written form, as appropriate.

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Article 4

1. It shall be prohibited to:

(a) sell, supply, transfer or export, directly or indirectly, luxury goods, as listed in Annex III, to North Korea;

(b) purchase, import or transfer from North Korea, directly or indirectly, luxury goods, as listed in Annex III, whether or not originating in North Korea;

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

2. By way of derogation from point (b) of paragraph 1, the prohibition referred to therein shall not apply to travellers' personal effects or to goods of a non-commercial nature for travellers' personal use contained in their luggage.

3. The prohibitions referred to in points (a) and (b) of paragraph 1 shall not apply to goods which are necessary for the official purposes of diplomatic or consular missions of Member States in North Korea or of international organisations enjoying immunities in accordance with international law, or to the personal effects of their staff.

4. The relevant competent authority of a Member State, as indicated on the websites listed in Annex II, may authorise, under such conditions as it deems appropriate, a transaction with regard to goods referred to in point 17 of Annex III, provided that the goods are for humanitarian purposes.

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Article 4a

1. It shall be prohibited:

(a) to sell, supply, transfer or export, directly or indirectly, gold, precious metals and diamonds, as listed in Annex VII, whether or not originating in the Union, to or for the Government of North Korea, its public bodies, corporations and agencies, the Central Bank of North Korea and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them;

(b) to purchase, import or transport, directly or indirectly, gold, precious metals and diamonds, as listed in Annex VII, whether or not originating in North Korea, from the Government of North Korea, its public bodies, corporations and agencies, the Central Bank of North Korea and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them;

(c) to provide, directly or indirectly, technical assistance or brokering services, financing or financial assistance, related to the goods referred to in points (a) and (b), to the Government of North Korea, its public bodies, corporations and agencies, the Central Bank of North Korea and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them.

2. Annex VII shall include gold, precious metals and diamonds subject to the prohibitions referred to in paragraph 1.

Article 4b

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, newly printed or unissued North Korean denominated banknotes and minted coinage, to or for the benefit of the Central Bank of North Korea.

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Article 5

1. Cargo within or transiting through the Union, including airports, seaports and free zones, as referred to in Articles 243 to 249 of Regulation (EU) No 952/2013, shall be liable for inspection for the purposes of ensuring that it does not contain items prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016) or by this Regulation where:

(a) the cargo originates from North Korea;

(b) the cargo is destined for North Korea;

(c) the cargo has been brokered or facilitated by North Korea or its nationals or individuals or entities acting on their behalf or at their direction, or entities owned or controlled by them;

(d) the cargo has been brokered or facilitated by persons, entities or bodies listed in Annex IV;

(e) the cargo is being transported on a North Korean flagged vessel or aircraft registered to North Korea, or on a stateless vessel or aircraft.

2. Where the cargo falls outside of the scope of paragraph 1, cargo within or transiting through the Union, including airports, seaports and free zones, shall be liable for inspection where there are reasonable grounds to believe that it may contain items the sale, supply, transfer or export of which is prohibited by this Regulation in the following circumstances:

(a) the cargo originates from North Korea;

(b) the cargo is destined for North Korea; or

(c) the cargo has been brokered or facilitated by North Korea or its nationals or individuals or entities acting on their behalf.

3. Paragraphs 1 and 2 shall be without prejudice to the inviolability and protection of diplomatic and consular bags provided for in the Vienna Convention on Diplomatic Relations 1961 and the Vienna Convention on Consular Relations 1963.

4. The provision of bunkering or ship-supply services, or any other servicing of vessels, to North Korean vessels is prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 3a(1), that provides reasonable grounds to believe that the vessels carry items whose supply, sale, transfer or export is prohibited by this Regulation, unless the provision of such services is necessary for humanitarian purposes.

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Article 5a

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1a. It shall be prohibited for credit and financial institutions falling within the scope of Article 16:

(a) to open a bank account with a credit or financial institution domiciled in North Korea or any credit or financial institution referred to in Article 11a(2);

(b) to establish a correspondent banking relationship with a credit or financial institution domiciled in North Korea or with any credit or financial institution referred to in Article 11a(2);

(c) to open representative offices in North Korea, or to establish a new branch or subsidiary, in North Korea;

(d) to establish a joint venture with or to take an ownership interest in a credit or financial institution domiciled in North Korea or any credit or financial institution referred to in Article 11a(2).

1b. By way of derogation from the prohibitions in points (b) and (d) of paragraph 1a, the relevant competent authority of the Member State, as identified on the websites listed in Annex II, may authorise transactions if they have been approved by the Sanctions Committee in advance.

1c. The Member State concerned shall inform the other Member States and the Commission of any authorisation under paragraph 1b.

1d. Credit and financial institutions falling within the scope of Article 16 shall:, at the latest on 31 May 2016:

(a) close any bank account with a credit or financial institution domiciled in North Korea or any credit or financial institution referred to in Article 11a(2);

(b) terminate any correspondent banking relationship with a credit or financial institution domiciled in North Korea or with any credit or financial institution referred to in Article 11a(2);

(c) close representative offices, branches, and subsidiaries in North Korea;

(d) terminate joint ventures with a credit or financial institution domiciled in North Korea or with any credit or financial institution referred to in Article 11a(2);

(e) relinquish any ownership interest in a credit or financial institution domiciled in North Korea or with any credit or financial institution referred to in Article 11a(2).

1e. The obligations in points (a) and (c) of paragraph 1d shall apply where the competent authority of the Member State, as identified on the websites listed in Annex II, has determined on the basis of credible information that the activities referred to in points (a) and (c) of paragraph 1d could contribute to North Korea's nuclear or ballistic missile programmes or other activities prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or by this Regulation, and this determination has been communicated to the credit and financial institution concerned.

Where a credit or financial institution falling within the scope of Article 16 suspects that any activity referred to in points (a) and (c) of paragraph 1d that they participate in could contribute to North Korea's nuclear or ballistic missile programmes or other activities prohibited by UN Security Council Resolutions 1718(2006), 1874(2009), 2087(2013), 2094(2013), 2270(2016) or by this Regulation, they shall promptly inform the competent authority of the Member State of the activity and the reasons they suspect it might contribute to such activities.

1f. By way of derogation from points (a) and (c) of paragraph 1d, the relevant competent authority of the Member State, as identified on the websites listed in Annex II, may authorise certain representative offices, subsidiaries or bank accounts to remain operational, provided that the Sanctions Committee has given advance approval on a case-by-case basis of the activities or transactions as being necessary for the delivery of humanitarian assistance or the activities of diplomatic missions in North Korea pursuant to the Vienna Convention on Diplomatic Relations or the activities of the United Nations or its specialised agencies or for any other purposes consistent with UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016).

1g. The Member State concerned shall inform the other Member States and the Commission of any authorisation under paragraph 1f.

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2. It shall be prohibited:

(a) to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of a credit or financial institution domiciled in North Korea or of any credit or financial institution referred to in Article 11a(2);

(b) to conclude agreements for, or on behalf of, a credit or financial institution domiciled in North Korea or for, or on behalf of, any credit or financial institution referred to in Article 11a(2) pertaining to the opening of a representative office or the establishment of a branch or subsidiary in the Union;

(c) to grant an authorisation for the taking up and pursuing the business of a credit institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of a credit or financial institution domiciled in North Korea or of any credit or financial institution referred to in Article 11a(2), if the representative office, branch or subsidiary was not operational before 19 February 2013;

(d) to acquire or to extend a participation, or to acquire any other ownership interest, in a credit or financial institution falling within the scope of Article 16 by any credit or financial institution referred to in Article 11a(2);

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(e) to operate or facilitate the operation of a representative office, branch or subsidiary of a credit or financial institution domiciled in North Korea or of any credit or financial institution referred to in Article 11a(2).

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Article 5b

1. It shall be prohibited, in the territory of the Union, to accept or approve investment in any commercial activity where such investment is made by:

(a) persons, entities or bodies of the Government of North Korea;

(b) the Workers Party of Korea;

(c) nationals of North Korea;

(d) legal persons, entities or bodies incorporated or constituted under the law of North Korea;

(e) persons, entities or bodies acting on their behalf or at their direction;

(f) legal persons, entities or bodies owned or controlled by them.

2. It shall be prohibited to:

(a) establish a joint venture with or take or extend an ownership interest, including by acquisition in full or the acquisition of shares and other securities of a participatory nature, in any legal person, entity or body referred to in points (a) to (f) of paragraph 1 engaged in North Korea's nuclear-related, ballistic-missile-related or other weapons-of-mass-destruction-related activities or programmes, or in activities in the sectors of mining, refining and chemical industries;

(b) grant financing or financial assistance to any legal person, entity or body referred to in points (d) to (f) of paragraph 1 or for the documented purpose of financing such legal persons, entities or bodies;

(c) provide investment services directly related to the activities referred to in points (a) and (b) of this paragraph.

Article 5c

1. Transfers of funds to and from North Korea shall be prohibited, unless they concern a transaction referred to in paragraph 3.

2. It shall be prohibited for credit and financial institutions falling within the scope of Article 16 to enter into, or continue to participate in, any transactions with:

(a) credit and financial institutions domiciled in North Korea;

(b) branches or subsidiaries falling within the scope of Article 16 of credit and financial institutions domiciled in North Korea, as listed in Annex VI;

(c) branches or subsidiaries falling outside the scope of Article 16 of credit and financial institutions domiciled in North Korea, as listed in Annex VI;

(d) credit and financial institutions that are neither domiciled in North Korea nor fall within the scope of Article 16, but are controlled by persons, entities or bodies domiciled in North Korea, as listed in Annex VI,

unless such transactions fall within the scope of paragraph 3 and have been authorised in accordance with point (a) of paragraph 4, or do not require authorisation in accordance with point (b) of paragraph 4.

3. The following transactions may be authorised in accordance with point (a) of paragraph 4:

(a) transactions regarding foodstuffs, healthcare or medical equipment or for agricultural or humanitarian purposes;

(b) transactions regarding personal remittances;

(c) transactions regarding the execution of the exemptions provided for in this Regulation;

(d) transactions in connection with a specific trade contract not prohibited by this Regulation;

(e) transactions regarding a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such transactions are intended to be used for official purposes of the diplomatic or consular mission or international organisation;

(f) transactions required exclusively for the implementation of projects funded by the Union or its Member States for development purposes directly addressing the needs of the civilian population or the promotion of denuclearisation;

(g) transactions regarding payments to satisfy claims against North Korea, its nationals or legal persons, entities or bodies incorporated or constituted under the law of North Korea, and transactions of a similar nature that do not contribute to activities prohibited by this Regulation, on a case-by-case basis and if the Member State concerned has notified the other Member States and the Commission at least 10 days in advance of granting an authorisation.

4. Transactions referred to in paragraph 3 involving transfers of funds to and from North Korea for amounts:

(a) above EUR 15 000 or equivalent shall require prior authorisation by the relevant competent authority of the Member State, as indicated on the websites listed in Annex II to this Regulation;

(b) equal to or below EUR 15 000 or equivalent shall not require prior authorisation.

5. No prior authorisation shall be required for any transaction or transfer of funds which is necessary for the official purposes of a diplomatic or consular mission of a Member State or international organisation enjoying immunities in North Korea in accordance with international law.

6. The Member States shall inform each other and the Commission of any authorisation granted pursuant to point (a) of paragraph 4.

7. For transactions falling within the scope of paragraph 3, credit and financial institutions referred to in Article 16 shall, in their activities with credit and financial institutions referred to in points (a) to (d) of paragraph 2:

(a) apply customer due diligence measures established pursuant to Articles 8 and 9 of Directive 2005/60/EC of the European Parliament and of the Council ( 7 );

(b) ensure compliance with anti-money-laundering and counter-terrorist-financing procedures established pursuant to Directive 2005/60/EC and Regulation (EC) No 1781/2006 of the European Parliament and of the Council ( 8 );

(c) require that information on payers accompanying transfers of funds is provided as required under Regulation (EC) No 1781/2006, as well as information on payees, such as the name of the payee and the payee's payment account number, and, where applicable, a unique transaction identifier, and refuse to process the transaction if any of this information is missing or incomplete;

(d) maintain records of the transactions in accordance with point (b) of Article 30 of Directive 2005/60/EC;

(e) where there are reasonable grounds to suspect that funds could contribute to North Korea's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes or activities (‘proliferation financing’), promptly inform the competent Financial Intelligence Unit (FIU), as defined by Directive 2005/60/EC, or any other competent authority designated by the Member State concerned, as indicated on the websites listed in Annex II, without prejudice to Article 3(1) or 6;

(f) promptly report any suspicious transactions, including attempted transactions;

(g) refrain from carrying out transactions which they reasonably suspect could be related to proliferation financing until they have completed the necessary action in accordance with point (e) and have complied with any instructions from the relevant FIU or competent authority.

For the purposes of this paragraph, the FIU, or any other competent authority serving as a national centre for receiving and analysing suspicious transactions, shall receive reports regarding potential proliferation financing and shall have access, directly or indirectly, on a timely basis to the financial, administrative and law-enforcement information that it requires in order to perform that function properly, including the analysis of suspicious transaction reports.

8. The requirement for prior authorisation in paragraph 3 shall apply regardless of whether the transfer of funds is executed in a single operation or in several operations which appear to be linked. For the purpose of this Regulation, ‘operations which appear to be linked’ includes:

(a) a series of consecutive transfers from or to the same credit or financial institution within the scope of paragraph 2, or from or to the same North Korean person, entity or body, which are made in connection with a single obligation to transfer funds, where each individual transfer falls below EUR 15 000 but which, in the aggregate, meet the criteria for authorisation;

(b) a chain of transfers involving different payment service providers, or natural or legal persons, which is related to a single obligation to make a transfer of funds.

9. It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in this Article.

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Article 6

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1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex IV shall be frozen. Annex IV shall include the persons, entities and bodies designated by the Sanctions Committee or the UN Security Council in accordance with paragraph 8(d) of UN Security Council Resolution 1718 (2006), and paragraph 8 of UN Security Council Resolution 2094 (2013).

2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex V shall be frozen. Annex V shall include persons, entities and bodies not listed in Annex IV, who, in accordance with point (b) of Article 15(1) of Decision 2013/183/CFSP, have been identified by the Council:

(a) as responsible for, including through supporting or promoting, North Korea’s nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes, or persons, entities or bodies acting on their behalf or at their direction, or persons, entities or bodies owned or controlled by them, including through illicit means;

(b) as providing financial services or the transfer to, through or from the territory of the Union, or involving nationals of Member States or entities organised under their laws, or persons or financial institutions in the territory of the Union, of any financial or other assets or resources that could contribute to North Korea’s nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes, or persons, entities or bodies acting on their behalf or at their direction, or persons, entities or bodies owned or controlled by them; or

(c) as involved in, including through the provision of financial services, the supply to or from North Korea of arms and related material of all types, or of items, materials, equipment, goods and technology which could contribute to North Korea’s nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes to North Korea. Annex V shall be reviewed at regular intervals and at least every 12 months.

2a. All funds and economic resources belonging to, owned, held or controlled by persons, entities or bodies in Annex Va shall be frozen. Annex Va shall include the persons, entities or bodies not covered by Annex IV or V who are working on behalf of or at the direction of a person, entity or body listed in Annex IV or V or persons assisting in the evasion of sanctions or violating the provisions of this Regulation, or of Decision 2013/183/CSFP.

Annex Va shall be reviewed at regular intervals and at least every 12 months.

3. Annexes IV, V and Va shall include where available information on listed natural persons for the purpose of identifying sufficiently the persons concerned.

Such information may include:

(a) surname and given names, including alias names and titles, if any;

(b) date and place of birth;

(c) nationality;

(d) passport and identity card numbers;

(e) fiscal and social security numbers;

(f) gender;

(g) address or other information on whereabouts;

(h) function or profession;

(i) date of designation.

Annexes IV, V and Va shall also include the grounds for listing, such as occupation.

Annexes IV, V and Va may also include information on identification purposes as set out in this paragraph on family members of the persons listed, provided that this information is necessary in a specific case for the sole purpose of verifying the identity of the listed natural person concerned.

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

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

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6. It shall be prohibited to provide funds or economic resources to persons, entities or bodies of the Government of North Korea, the Worker's Party of Korea, persons or entities acting on their behalf or at their direction, or entities owned or controlled by them, where it has been determined that such persons, entities or bodies are associated with North Korea's nuclear or ballistic missile programs or other activities prohibited by UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016).

7. The prohibition in paragraph 6 shall not apply where the funds, other financial assets and economic resources are required to carry out the activities of North Korea's missions to the United Nations and its specialised agencies and related organisations or other diplomatic and consular missions of North Korea, or where the competent authority of the Member State as identified on the websites listed in Annex II has obtained advance approval of the Sanctions Committee on case-by-case basis that the funds, financial assets or economic resources are required for the delivery of humanitarian assistance, denuclearisation or any other purpose consistent with the objectives of UN Security Council Resolution 2270 (2016).

Article 6a

It shall be prohibited to participate directly or indirectly in joint ventures or any other business arrangements with entities listed in Annex IV, as well as individuals or entities acting for or on their behalf or direction.

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Article 7

1. By way of derogation from Article 6, the competent authorities of the Member States, as indicated on the websites listed in Annex II, 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:

(a) necessary to satisfy the basic needs of natural or legal persons, entities or bodies listed in Annex IV, V or Va and 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;

(b) intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or

(c) intended exclusively for payment of fees or services charges for routine holding or maintenance of frozen funds or economic resources; and

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

2. By way of derogation from Article 6, the competent authorities of the Member States, as indicated on the websites listed in Annex II, may authorise the release of certain frozen funds or economic resources or the making available of certain frozen funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses, provided that:

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

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

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

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Article 8

1. By way of derogation from Article 6, the competent authorities of the Member States, as indicated on the websites listed in Annex II, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:

(a) the funds or economic resources are the subject of a judicial, administrative or arbitral decision established prior to the date on which the person, entity or body referred to in Article 6 was designated, or of a judicial, administrative or arbitral judgment rendered prior to that date;

(b) the funds or economic resources are to be used exclusively to satisfy claims secured by such a decision 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 decision or judgment is not for the benefit of a person, entity or body listed in Annex IV, V or Va;

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

(e) the decision or judgment in respect of persons, entities and bodies listed in Annex IV has been notified by the Member State concerned to the Sanctions Committee.

2. By way of derogation from Article 6, and provided that a payment by a person, entity or body listed in Annex V is due under a contract or agreement that was concluded by, or under an obligation for the person, entity or body concerned that arose before, the date on which that person, entity or body had been designated, the competent authorities of the Member States, as indicated on the websites listed in Annex II, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the competent authority concerned has determined that:

(a) the contract is not related to any item, operation, service or transaction referred to in point (a) of Article 2(1), Article 2(3) or Article 3; and

(b) the payment is not directly or indirectly received by a person, entity or body listed in Annex V.

3. The Member State concerned shall, at least 10 days prior to the granting of each authorisation pursuant to paragraph 2, notify the other Member States and the Commission of that determination and of its intention to grant an authorisation.

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Article 8a

1. By way of derogation from Article 6(4), the competent authorities of the Member States as indicated on the websites listed in Annex II, may authorise making certain funds or economic resources available to the Korea National Insurance Corporation (KNIC) where that is necessary for the payment of premiums under an insurance contract with a national of a Member State or a legal person, entity or body incorporated or constituted under the law of a Member State, provided that the payment:

(a) is exclusively for the purposes of activities which are not prohibited by this Regulation to be carried out in North Korea by a national of a Member State or a legal person, entity or body incorporated or constituted under the law of a Member State;

(b) is not directly or indirectly for the benefit of a person, entity or body listed in Annex IV, V or Va except KNIC.

2. A national of a Member State and legal persons, entities or bodies incorporated or constituted under the law of a Member State may receive payments by KNIC subject to prior authorisation by the competent authorities of the Member States as indicated on the websites listed in Annex II. Such authorisation may be granted provided that the payment:

(a) is due in accordance with a contract for insurance services mentioned in point (a) of paragraph 1, or in accordance with a contract for insurance services provided by KNIC in respect of damage caused within the territory of the Union by any party to such contract;

(b) is not directly or indirectly for the benefit of a person, entity or body listed in Annex IV, V or Va;

(c) will not contribute to an activity prohibited under this Regulation; and

(d) does not result in the release of funds or economic resources of KNIC located outside North Korea.

3. The authorisations set out in paragraphs 1 and 2 of this Article shall not be required where the payment to or by KNIC is necessary for the official purposes of a diplomatic or consular mission of a Member State in North Korea.

4. By way of derogation from Article 6(2), the competent authorities of the Member States, as indicated on the websites listed in Annex II, may authorise the release of certain frozen funds or economic resources of KNIC, under such conditions as they deem appropriate, after having determined that:

(a) the funds or economic resources shall be used exclusively for a payment by KNIC due under a contract concluded before 1 April 2016;

(b) the contract is not related, directly or indirectly, to an activity prohibited under this Regulation;

(c) the payment is not directly or indirectly for the benefit of a person, entity or body listed in Annex IV, V or Va.

The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this paragraph.

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Article 9

1. Article 6(4) shall not prevent financial or credit institutions in the Union from crediting frozen accounts where they receive funds transferred by third parties to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.

2. Article 6(4) 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 prior to the date on which the person, entity or body referred to in Article 6 was designated;

provided that any such interest, other earnings and payments are frozen in accordance with Article 6(1) or 6(2).

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Article 9a

It shall be prohibited:

(a) to sell or purchase public or public-guaranteed bonds issued after 19 February 2013, directly or indirectly, to or from any of the following: (i) North Korea or its Government, and its public bodies, corporations and agencies; (ii) the Central Bank of North Korea; (iii) a credit or financial institution domiciled in North Korea or any credit or financial institution referred to in Article 11a(2); (iv) a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii); (v) a legal person, entity or body owned or controlled by a person, entity or body referred to in (i), (ii) or (iii);

(b) to provide brokering services with regard to public or public-guaranteed bonds issued after 19 February 2013 to a person, entity or body referred to in point (a);

(c) to assist a person, entity or body referred to in point (a) in order to issue public or public-guaranteed bonds, by providing brokering services, advertising or any other service with regard to such bonds.

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Article 9b

1. It shall be prohibited to provide financing or financial assistance for trade with North Korea, including the granting of export credits, guarantees or insurance to persons or entities involved in such trade, where such financial support could contribute to:

(a) North Korea's nuclear or ballistic-missile programmes or other activities prohibited by this Regulation;

(b) the circumvention of the prohibition in point (a).

2. The prohibitions in paragraph 1 shall not apply with respect to contracts and agreements for the provision of financial support concluded prior to 29 May 2016.

3. The prohibitions in paragraph 1 shall not apply with respect to the provision of financial support for trade in food, agricultural, medical or other humanitarian purposes.

Article 9c

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 by this Regulation, including claims for indemnity or any other claim of that 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:

(a) designated persons, entities or bodies listed in Annex IV or V;

(b) any other North Korean person, entity or body, including the Government of North Korea and its public bodies, corporations and agencies; or

(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 by this Regulation where the existence or content of the claim results directly or indirectly from those measures.

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

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 10

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

(a) supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 6, to the competent authorities of the Member States, as indicated in the websites listed in Annex II, where they are resident or located, and shall transmit such information, directly or through the relevant Member States, to the Commission;

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

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

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

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Article 11

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

Article 11a

1. It shall be prohibited to provide access to ports in the territory of the Union to any vessel:

(a) that is owned, operated or crewed by North Korea;

(b) where there are reasonable grounds to believe that it is owned or controlled, directly or indirectly, by a person or entity listed in Annex IV;

(c) where there are reasonable grounds to believe that it contains items the supply, sale, transfer or export of which is prohibited by this Regulation;

(d) which has refused to be inspected after such an inspection has been authorised by the vessel's flag State or State of registration; or

(e) which is without nationality and has refused to be inspected in accordance with Article 5(1).

2. Paragraph 1 shall not apply:

(a) in the case of an emergency;

(b) in the case of a maritime vessel coming into port for inspection, or

(c) where the vessel is returning to its port of origin.

3. By way of derogation from the prohibition in paragraph 1, the relevant competent authority of the Member State, as indicated on the websites listed in Annex II, may authorise a maritime vessel to come into port if:

(a) the Sanctions Committee has determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of UN Security Council Resolution 2270 (2016); or

(b) the Member State has determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of this Regulation.

4. It shall be prohibited for any aircraft operated by North Korean carriers or originating from North Korea to take off from, land in or overfly the territory of the Union.

5. Paragraph 4 shall not apply:

(a) where the aircraft is landing for inspection;

(b) in the case of an emergency landing.

6. By way of derogation from paragraph 4, the relevant competent authority of the Member State, as indicated on the websites listed in Annex II, may authorise an aircraft to take off from, land in or overfly the territory of the Union if that competent authority has determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of this Regulation.

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Article 11b

1. It shall be prohibited to:

(a) lease or charter vessels or aircraft or provide crew services to North Korea, persons or entities listed in Annex IV, any other North Korean entities, any other persons or entities which have assisted in violating the provisions of UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016), or any person or entity acting on behalf of, or at the direction of, any such person or entity, and entities owned or controlled by them;

(b) own, lease, operate, insure or provide vessel classification services or associated services, to any vessel flagged to North Korea;

(c) register or maintain on the register, any vessel that is owned, operated or crewed by North Korea or North Korean nationals, or has been de-registered by another State pursuant to paragraph 19 of UN Security Council Resolution 2270 (2016).

2. By way of derogation from the prohibition in paragraph 1(a), the leasing, chartering or provision of crew services may be authorised by the competent authority of a Member State, as identified on the websites listed in Annex II, where the Member State has notified the Sanctions Committee in advance on a case-by-case basis and has provided to the Sanctions Committee information demonstrating that the activities are exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue, and information on measures taken to prevent such activities from contributing to violations of UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016).

3. By way of derogation from the prohibition in paragraph 1(b) and (c), the owning, leasing, operating, or providing vessel classification services or associated services to any vessel flagged to North Korea, or the registration, or maintenance on the register, of any vessel that is owned, operated or crewed by North Korea or North Korean nationals, may be authorised where the competent authority of the Member State as identified on the websites listed in Annex II has provided to the Sanctions Committee in advance on a case-by-case basis detailed information on the activities, including the names of such individuals and entities involved in them, information demonstrating that such activities are exclusively for livelihood purposes which will not be used by North Korean individuals or entities to generate revenue and information on measures taken to prevent such activities from contributing to violations of UN Security Council Resolutions 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013) or 2270 (2016).

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

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Article 12

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

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Article 13

1. The Commission shall be empowered to:

(a) amend Annex Ia on the basis of determinations made by either the Sanctions Committee or the UN Security Council and, where appropriate, add the reference numbers taken from the Combined Nomenclature as set out in Annex I to Regulation (EEC) No 2658/87;

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

(c) amend Annex III in order to refine or adapt the list of goods included therein, according to any definition or guidelines that may be promulgated by the Sanctions Committee or to add the reference numbers taken from the Combined Nomenclature as set out in Annex I to Regulation (EEC) No 2658/87, if necessary or appropriate;

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

(e) amend Annexes V and VI in accordance with decisions taken concerning Annexes II, III, IV and V to Common Position 2006/795/CFSP; and

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(f) amend Annexes Ic, Id and Ie on the basis of determinations made by either the Sanctions Committee or the UN Security Council, or decisions taken concerning these Annexes in Council Decision 2013/183/CFSP.

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2. The Commission shall process personal data in order to carry out the tasks incumbent on it under this Regulation and in accordance with the provisions of 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 ( 9 ).

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Article 13a

It shall be prohibited to participate knowingly and intentionally in activities the object or effect of which is to circumvent the prohibitions contained in this Regulation.

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Article 14

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 15

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

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

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Article 16

This Regulation shall apply:

(a) within the territory of the Union;

(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 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.

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Article 17

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

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

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ANNEX I

GOODS AND TECHNOLOGY REFERRED TO IN ARTICLES 2 AND 3

All goods and technology listed in Annex I to Regulation (EC) No 428/2009.

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ANNEX Ia

Goods and technology referred to in articles 2 and 3

Other items, materials, equipment, goods and technology which could contribute to North Korea's nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes

1. Unless otherwise stated, reference numbers used in the column entitled ‘Description’ refer to the descriptions of dual use items and technology set out in Annex I to Regulation (EC) No 428/2009 ( 10 ).

2. A reference number in the column entitled ‘Related item from Annex I to Regulation (EC) No 428/2009’ means that the characteristics of the item described in the column ‘Description’ lie outside the parameters set out in the description of the dual use entry referred to.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between ‘double quotation marks’ can be found in Annex I to Regulation (EC) No 428/2009.

GENERAL NOTES

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

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

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with Part C.)

1. The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of which is prohibited in Part A (Goods) below, is prohibited in accordance with the provisions of Part B.

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

3. Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not prohibited.

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

A. GOODS

NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT







I.A0. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A0.001 Hollow cathode lamps as follows: a. Iodine hollow cathode lamps with windows in pure silicon or quartz; b. Uranium hollow cathode lamps. I.A0.002 Faraday isolators in the wavelength range 500 nm – 650 nm. I.A0.003 Optical gratings in the wavelength range 500 nm – 650 nm. I.A0.004 Optical fibres in the wavelength range 500 nm – 650 nm coated with anti-reflecting layers in the wavelength range 500 nm – 650 nm and having a core diameter greater than 0,4 mm but not exceeding 2 mm. I.A0.005 Nuclear reactor vessel components and testing equipment, other than those specified in 0A001, as follows: a. Seals; b. Internal components; c. Sealing, testing and measurement equipment. 0A001 I.A0.006 Nuclear detection systems, other than those specified in 0A001.j. or 1A004.c., for detection, identification or quantification of radioactive materials or radiation of nuclear origin and specially designed components thereof. N.B: For personal equipment refer to I.A1.004 below. 0A001.j. 1A004.c. I.A0.007 Bellows-sealed valves other than those specified in 0B001.c.6., 2A226 or 2B350, made of aluminium alloy or stainless steel type 304, 304L or 316L. 0B001.c.6. 2A226 2B350 I.A0.008 Laser mirrors, other than those specified in 6A005.e., consisting of substrates having a thermal expansion coefficient of 10-6 K-1 or less at 20 °C (e.g. fused silica or sapphire). Note: This item does not cover optical systems specially designed for astronomical applications, except if the mirrors contain fused silica. 0B001.g.5. 6A005.e. I.A0.009 Laser lenses, other than those specified in 6A005.e.2, consisting of substrates having a thermal expansion coefficient of 10-6 K-1 or less at 20 °C (e.g. fused silica). 0B001.g. 6A005.e.2. I.A0.010 Pipes, piping, flanges, fittings made of, or lined with nickel, or nickel alloy containing more than 40 % nickel by weight, other than those specified in 2B350.h.1. 2B350 I.A0.011 Vacuum pumps other than those specified in 0B002.f.2. or 2B231, as follows: a. Turbo-molecular pumps having a flow-rate equal to or greater than 400 l/s; b. Roots type vacuum roughing pumps having a volumetric aspiration flow-rate greater than 200 m3/h; c. Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps. 0B002.f.2. 2B231 I.A0.012 Shielded enclosures for the manipulation, storage and handling of radioactive substances (hot cells). 0B006 I.A0.013 ‘Natural uranium’ or ‘depleted uranium’ or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, other than those specified in 0C001. 0C001 I.A0.014 Detonation chambers having a capacity of explosion absorption of more than 2,5 kg TNT equivalent.

SPECIAL MATERIALS AND RELATED EQUIPMENT







I.A1. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A1.001 Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) Chemical Abstract Number (CAS): [CAS 298-07-7] solvent in any quantity, with a purity greater than 90 %. I.A1.002 Fluorine gas CAS: [7782-41-4], with a purity of at least 95 %. I.A1.003 Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials: a. Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching; b. Fluorinated polyimides containing 10 % by weight or more of combined fluorine; c. Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine; d. Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®); e. Fluoro-elastomers (e.g. Viton ®, Tecnoflon ®); f. Polytetrafluoroethylene (PTFE). 1A001 I.A1.004 Personal equipment for detecting radiation of nuclear origin, other than that specified in 1A004.c., including personal dosimeters. 1A004.c. I.A1.005 Electrolytic cells for fluorine production, other than those specified in 1B225, with an output capacity greater than 100 g of fluorine per hour. 1B225 I.A1.006 Catalysts, other than those specified in 1A225 or 1B231, containing platinum, palladium or rhodium, usable for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water. 1A225 1B231 I.A1.007 Aluminium and its alloys, other than those specified in 1C002.b.4. or 1C202.a., in crude or semi-fabricated form having either of the following characteristics: a. ‘Capable of’ an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or b. Having a tensile strength of 415 MPa or more at 298 K (25 °C). Technical note: The phrase alloys ‘capable of’ encompasses alloys before or after heat treatment. 1C002.b.4. 1C202.a. I.A1.008 Magnetic metals, of all types and of whatever form, other than those specified in 1C003.a. having an ‘initial relative permeability’ of 120 000 or more and a thickness between 0,05 mm and 0,1 mm. Technical note: Measurement of ‘initial relative permeability’ must be performed on fully annealed materials. 1C003.a. I.A1.009 ‘Fibrous or filamentary materials’ or prepregs, other than those specified in 1C010.a., 1C010.b., 1C210.a. or 1C210.b., as follows: a. Aramid ‘fibrous or filamentary materials’ having either of the following characteristics: 1.A ‘specific modulus’ exceeding 10 × 106 m; or 2.A ‘specific tensile strength’ exceeding 17 × 104 m; b. Glass ‘fibrous or filamentary materials’ having either of the following characteristics: 1.A ‘specific modulus’ exceeding 3,18 × 106 m; or 2.A ‘specific tensile strength’ exceeding 76,2 × 103 m; c. Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm or less (once prepregs), made from glass ‘fibrous or filamentary materials’ other than those specified in I.A1.010.a. below; d. Carbon ‘fibrous or filamentary materials’; e. Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’, or ‘tapes’, made from carbon ‘fibrous or filamentary materials’; f. Polyacrylonitrile (PAN) continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’; g. Para-aramid ‘fibrous or filamentary materials’ (Kevlar® and other Kevlar®-like fibres). 1C010.a. 1C010.b. 1C210.a. 1C210.b. I.A1.010 Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or ‘carbon fibre preforms’, as follows: a. Made from ‘fibrous or filamentary materials’ specified in I.A1.009 above; b. Epoxy resin ‘matrix’ impregnated carbon ‘fibrous or filamentary materials’ (prepregs), specified in 1C010.a., 1C010.b. or 1C010.c., for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm; c. Prepregs specified in 1C010.a., 1C010.b. or 1C010.c., when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160 °C) and a cure temperature lower than the glass transition temperature. 1C010 1C210 I.A1.011 Reinforced silicon carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in ‘missiles’, other than those specified in 1C107. 1C107 I.A1.012 Not used. I.A1.013 Tantalum, tantalum carbide, tungsten, tungsten carbide and alloys thereof, other than those specified in 1C226, having both of the following characteristics: a. In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and b. A mass greater than 5 kg. 1C226 I.A1.014 ‘Elemental powders’ of cobalt, neodymium or samarium or alloys or mixtures thereof containing at least 20 % by weight of cobalt, neodymium or samarium, with a particle size less than 200 μm. Technical note: ‘Elemental powder’ means a high purity powder of one element. I.A1.015 Pure tributyl phosphate (TBP) [CAS No 126-73-8] or any mixture having a TBP content of more than 5 % by weight. I.A1.016 Maraging steel, other than those specified by 1C116 or 1C216. Technical notes: 1. The phrase maraging steel ‘capable of’ encompasses maraging steel before or after heat treatment. 2. Maraging steels are iron alloys generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy. 1C116 1C216 I.A1.017 Metals, metal powders and material as follows: a. Tungsten and tungsten alloys, other than those specified in 1C117, in the form of uniform spherical or atomized particles of 500 μm (micrometre) diameter or less with a tungsten content of 97 % by weight or more; b. Molybdenum and molybdenum alloys, other than those specified in 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a molybdenum content of 97 % by weight or more; c. Tungsten materials in the solid form, other than those specified in 1C226 having material compositions as follows: 1. Tungsten and alloys containing 97 % by weight or more of tungsten; 2. Copper infiltrated tungsten containing 80 % by weight or more of tungsten; or 3. Silver infiltrated tungsten containing 80 % by weight or more of tungsten. 1C117 1C226 I.A1.018 Soft magnetic alloys, other than those specified in 1C003, having a chemical composition as follows: a. Iron content between 30 % and 60 %; and b. Cobalt content between 40 % and 60 %. 1C003 I.A1.019 Not used. I.A1.020 Graphite, other than that specified in 0C004 or 1C107.a., designed or specified for use in Electrical Discharge Machining (EDM) machines. 0C004 1C107.a. ▼M9 I.A1.021 Steel alloys in sheet or plate form, having any of the following characteristics: (a) Steel alloys ‘capable of’ ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or (b) Nitrogen-stabilised duplex stainless steel. Note: the phrase alloys ‘capable of’ encompasses alloys before or after heat treatment. Technical note: ‘nitrogen-stabilised duplex stainless steel’ has a two-phase microstructure consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise the microstructure. 1C116 1C216 I.A1.022 Carbon-Carbon Composite material. 1A002.b.1 I.A1.023 Nickel alloys in crude or semi-fabricated form, containing 60 % by weight or more nickel. 1C002.c.1.a I.A1.024 Titanium alloys in sheet or plate form ‘capable of’ an ultimate tensile strength of 900 MPa or more at 293 K (20 °C). Note: the phrase alloys ‘capable of’ encompasses alloys before or after heat treatment. 1C002.b.3 ▼M12 I.A1.025 Titanium alloys, other than those specified in 1C002 and 1C202. 1C002 1C202 I.A1.026 Zirconium and zirconium alloys, other than those specified in 1C011, 1C111 and 1C234. 1C011 1C111 1C234 I.A1.027 Explosive materials other than those specified in 1C239, or materials or mixtures containing more than 2 % by weight of such explosive materials, with a crystalline density higher than 1,5 g/cm3 and with a detonation speed higher than 5 000 m/s. 1C239 ▼M5

MATERIALS PROCESSING







I.A2. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A2.001 Vibration test systems, equipment and components thereof, other than those specified in 2B116: a. Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0,1 g rms between 0,1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured ‘bare table’; b. Digital controllers, combined with specially designed vibration test ‘software’, with a ‘real-time control bandwidth’ greater than 5 kHz designed for use with vibration test systems specified in a.; Technical note: ‘Real-time control bandwidth’ is defined as the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals. c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured ‘bare table’, and usable in vibration test systems specified in a.; d. Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured ‘bare table’, and usable in vibration systems specified in a. Technical note: ‘bare table’ means a flat table, or surface, with no fixture or fittings. 2B116 ▼M12 I.A2.002 Machine tools, other than those specified in 2B001 or 2B201 and any combination thereof, for removing (or cutting) metals, ceramics, or ‘composites’ that, according to the manufacturer’s technical specification, can be equipped with electronic devices for ‘numerical control’, having positioning accuracies of equal to or less (better) than 30 μm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis. 2B001 2B201 ▼M5 I.A2.002a Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201 or I.A2.002 above. I.A2.003 Balancing machines and related equipment as follows: a. Balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics: 1. Not capable of balancing rotors/assemblies having a mass greater than 3 kg; 2. Capable of balancing rotors/assemblies at speeds greater than 12 500 rpm; 3. Capable of correcting unbalance in two planes or more; and 4. Capable of balancing to a residual specific unbalance of 0,2 g × mm per kg of rotor mass; b. ‘Indicator heads’ designed or modified for use with machines specified in a. above. Technical note: ‘Indicator heads’ are sometimes known as balancing instrumentation. 2B119 I.A2.004 Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, other than those specified in 2B225, having either of the following characteristics: a. A capability of penetrating a hot cell wall of 0,3 m or more (through the wall operation); or b. A capability of bridging over the top of a hot cell wall with a thickness of 0,3 m or more (over the wall operation). Technical note: Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of master/slave type or operated by joystick or keypad. 2B225 I.A2.005 Controlled atmosphere heat treatment furnaces or oxidation furnaces capable of operation at temperatures above 400 °C. Note: This item does not cover tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics. 2B226 2B227 I.A2.006 Not used. I.A2.007 ‘Pressure transducers’, other than those defined in 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics: a. Pressure sensing elements made of or protected by ‘Materials resistant to corrosion by uranium hexafluoride (UF6)’; and b. Having either of the following characteristics: 1. A full scale of less than 200 kPa and an ‘accuracy’ of better than ± 1 % of full scale; or 2. A full scale of 200 kPa or greater and an ‘accuracy’ of better than 2 kPa. Technical note: For the purposes of 2B230 ‘accuracy’ includes non-linearity, hysteresis and repeatability at ambient temperature. 2B230 I.A2.008 Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, plate columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Graphite or ‘carbon graphite’; e. Nickel or alloys with more than 40 % nickel by weight; f. Tantalum or tantalum alloys; g. Titanium or titanium alloys; h. Zirconium or zirconium alloys; or i. Stainless steel. Technical note: ‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight. 2B350.e. I.A2.009 Industrial equipment and components, other than those specified in 2B350.d., as follows: Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Graphite or ‘carbon graphite’; e. Nickel or alloys with more than 40 % nickel by weight; f. Tantalum or tantalum alloys; g. Titanium or titanium alloys; h. Zirconium or zirconium alloys; i. Silicon carbide; j. Titanium carbide; or k. Stainless steel. Note: This item does not cover vehicle radiators. Technical note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger. 2B350.d. I.A2.010 Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, or vacuum pumps and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Ceramics; c. Ferrosilicon; d. Fluoropolymers; e. Glass (including vitrified or enamelled coatings or glass lining); f. Graphite or ‘carbon graphite’; g. Nickel or alloys with more than 40 % nickel by weight; h. Tantalum or tantalum alloys; i. Titanium or titanium alloys; j. Zirconium or zirconium alloys; k. Niobium (columbium) or niobium alloys; l. Stainless steel; m. Aluminium alloys; or n. Rubber. Technical notes: The materials used for gaskets and seals and other implementations of sealing functions do not determine the status of control of the pump. The term ‘rubber’ encompasses all kinds of natural and synthetic rubbers. 2B350.i. I.A2.011 ‘Centrifugal separators’, other than those specified in 2B352.c., capable of continuous separation without the propagation of aerosols and manufactured from: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Nickel or alloys with more than 40 % nickel by weight; e. Tantalum or tantalum alloys; f. Titanium or titanium alloys; or g. Zirconium or zirconium alloys. Technical note: ‘Centrifugal separators’ include decanters. 2B352.c. I.A2.012 Sintered metal filters, other than those specified in 2B352.d., made of nickel or nickel alloy with more than 40 % nickel by weight. 2B352.d. I.A2.013 Spin-forming machines and flow-forming machines, other than those specified by 2B009, 2B109 or 2B209 and specially designed components therefor. Technical note: For the purpose of this item, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines. 2B009 2B109 2B209 I.A2.014 Equipment and reagents, other than those specified in 2B350 or 2B352, as follows: a. Fermenters capable of cultivation of pathogenic ‘micro-organisms’ or viruses, or capable of toxin production, without the propagation of aerosols, and having a total capacity of 10 l or more; b. Agitators for fermenters as mentioned in a.above; Technical Note: Fermenters include bioreactors, chemostats and continuous-flow systems. c. Laboratory equipment as follows: 1. Polymerase chain reaction (PCR)-equipment 2. Genetic sequencing equipment; 3. Genetic synthesizers; 4. Electroporation equipment; 5. Specific reagents associated with the equipment in I.A2.014.c. numbers 1. to 4. above; d. Filters, micro-filters, nano-filters or ultra-filters usable in industrial or laboratory biology for continuous filtering, except filters specially designed or modified for medical or clear water production purposes and to be used in the framework of EU or UN officially supported projects; e. Ultracentrifuges, rotors and adaptors for ultracentrifuges; f. Freeze drying equipment. 2B350 2B352 I.A2.015 Equipment, other than that specified in 2B005, 2B105 or 3B001.d., for the deposition of metallic overlays as follows, and specially designed components and accessories therefor: a. Chemical vapour deposition (CVD) production equipment; b. Physical vapour deposition (PVD) production equipment; c. Production equipment for deposition by means of inductive or resistance heating. 2B005 2B105 3B001.d. I.A2.016 Open tanks or containers, with or without agitators, with a total internal (geometric) volume greater than 0.5 m3 (500 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coatings or glass lining); d. Nickel or alloys with more than 40 % nickel by weight; e. Tantalum or tantalum alloys; f. Titanium or titanium alloys; g. Zirconium or zirconium alloys; h. Niobium (columbium) or niobium alloys; i. Stainless steel; j. Wood; or k. Rubber. Technical note: The term ‘rubber’ encompasses all kinds of natural and synthetic rubbers. 2B350 (1) Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established.

ELECTRONICS







I.A3. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A3.001 High voltage direct current power supplies, other than those specified in 0B001.j.5. or 3A227, having both of the following characteristics: a. Capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and b. Current or voltage stability better than 0,1 % over a time period of four hours. 0B001.j.5. 3A227 I.A3.002 Mass spectrometers, other than those specified in 0B002.g. or 3A233, capable of measuring ions of 200 atomic mass units or more and having a resolution of better than 2 parts in 200, as follows, and ion sources therefor: a. Inductively coupled plasma mass spectrometers (ICP/MS); b. Glow discharge mass spectrometers (GDMS); c. Thermal ionisation mass spectrometers (TIMS); d. Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with ‘materials resistant to corrosion by uranium hexafluoride UF6’; e. Molecular beam mass spectrometers having either of the following characteristics: 1. A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80 °C) or less; or 2. A source chamber constructed from, lined with or plated with materials resistant to UF6; f. Mass spectrometers equipped with a micro-fluorination ion source designed for actinides or actinide fluorides. 0B002.g. 3A233 I.A3.003 Frequency changers or generators, other than those specified by 0B001.b.13. or 3A225, having all of the following characteristics, and specially designed components and software therefor: a. Multiphase output capable of providing a power of 40 W or greater; b. Capable of operating in the frequency range between 600 and 2 000 Hz; and c. Frequency control better (less) than 0,1 %. Technical notes: 1. Frequency changers are also known as converters, inverters, generators, electronic test equipment, AC power supplies, variable speed motor drives or variable frequency drives. 2. The functionality specified in this item may be met by certain equipment marketed as: electronic test equipment, AC power supplies, variable speed motor drives or variable frequency drives. 0B001.b.13. 3A225 I.A3.004 Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material.

SENSORS AND LASERS







I.A6. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A6.001 Yttrium aluminium garnet (YAG) rods. I.A6.002 Optical equipment and components, other than those specified in 6A002 or 6A004.b. as follows: Infrared optics in the wavelength range 9 μm– 17 μm and components thereof, including cadmium telluride (CdTe) components. 6A002 6A004.b. I.A6.003 Wave front corrector systems, other than mirrors specified in 6A004.a., 6A005.e. or 6A005.f., for use with a laser beam having a diameter exceeding 4 mm, and specially designed components thereof, including control systems, phase front sensors and ‘deformable mirrors’ including bimorph mirrors. 6A004.a. 6A005.e. 6A005.f. I.A6.004 Argon ion ‘lasers’, other than those specified in 0B001.g.5., 6A005.a.6. and/or 6A205.a., having an average output power equal to or greater than 5 W. 0B001.g.5. 6A005.a.6. 6A205.a. I.A6.005 Semiconductor ‘lasers’, other than those specified in 0B001.g.5., 0B001.h.6. or 6A005.b., and components thereof, as follows: a. Individual semiconductor ‘lasers’ with an output power greater than 200 mW each, in quantities larger than 100; b. Semiconductor ‘laser’ arrays having an output power greater than 20 W. Notes: 1. Semiconductor ‘lasers’ are commonly called ‘laser’ diodes. 2. This item does not cover ‘laser’ diodes with a wavelength in the range 1,2 μm – 2,0 μm. 0B001.g.5. 0B001.h.6. 6A005.b. I.A6.006 Tunable semiconductor ‘lasers’ and tunable semiconductor ‘laser’ arrays, other than those specified in 0B001.h.6. or 6A005.b., of a wavelength between 9 μm and 17 μm, as well as array stacks of semiconductor ‘lasers’ containing at least one tunable semiconductor ‘laser’ array of such wavelength. Note: Semiconductor ‘lasers’ are commonly called ‘laser’ diodes. 0B001.h.6. 6A005.b. I.A6.007 Solid state ‘tunable’‘lasers’, other than those specified in 0B001.g.5., 0B001.h.6. or 6A005.c.1., and specially designed components thereof, as follows: a. Titanium-sapphire lasers, b. Alexandrite lasers. 0B001.g.5. 0B001.h.6. 6A005.c.1. I.A6.008 Neodymium-doped (other than glass) ‘lasers’, other than those specified in 6A005.c.2.b., having an output wavelength greater than 1,0 μm but not exceeding 1,1 μm and output energy exceeding 10 J per pulse. 6A005.c.2.b. I.A6.009 Components of acousto-optics, as follows: a. Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1 kHz; b. Recurrence frequency supplies; c. Pockels cells. 6A203.b.4. I.A6.010 Radiation-hardened cameras, or lenses thereof, other than those specified in 6A203.c., specially designed, or rated as radiation-hardened, to withstand a total radiation dose greater than 50 × 103 Gy (silicon) (5 × 106 rad (silicon)) without operational degradation. Technical note: The term Gy (silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation. 6A203.c. I.A6.011 Tunable pulsed dye laser amplifiers and oscillators, other than those specified in 0B001.g.5., 6A005 and or 6A205.c., having all of the following characteristics: a. Operating at wavelengths between 300 nm and 800 nm; b. An average output power greater than 10 W but not exceeding 30 W; c. A repetition rate greater than 1 kHz; and d. Pulse width less than 100 ns. Note: This item does not cover single mode oscillators. 0B001.g.5. 6A005 6A205.c. I.A6.012 Pulsed carbon dioxide ‘lasers’, other than those specified in, 0B001.h.6., 6A005.d. or 6A205.d., having all of the following characteristics: a. Operating at wavelengths between 9 μm and 11 μm; b. A repetition rate greater than 250 Hz; c. An average output power greater than 100 W but not exceeding 500 W; and d. Pulse width less than 200 ns. 0B001.h.6. 6A005.d. 6A205.d. ▼M12 I.A6.013 Lasers, other than those specified in 6A005 or 6A205. 6A005 6A205 ▼M5

NAVIGATION AND AVIONICS







I.A7. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A7.001 Inertial navigation systems and specially designed components thereof, as follows: a. Inertial navigation systems which are certified for use on ‘civil aircraft’ by civil authorities of a State participating in the Wassenaar Arrangement, and specially designed components thereof, as follows: 1. Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment designed for ‘aircraft’, land vehicle, vessels (surface or underwater) or ‘spacecraft’ for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof: a. Navigation error (free inertial) subsequent to normal alignment of 0,8 nautical mile per hour (nm/hr) ‘Circular Error Probable’ (CEP) or less (better); or b. Specified to function at linear acceleration levels exceeding 10 g; 2. Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with ‘Data-Based Referenced Navigation’ (‘DBRN’) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or ‘DBRN’ for a period of up to four minutes, of less (better) than 10 metres ‘Circular Error Probable’ (CEP); 3. Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components thereof: a. Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude; or b. Designed to have a non-operating shock level of at least 900 g at a duration of at least 1 msec. b. Theodolite systems incorporating inertial equipment specially designed for civil surveying purposes and designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude, and specially designed components thereof. c. Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in down-hole well services operations.v Note: The parameters of a.1. and a.2. are applicable with any of the following environmental conditions: 1. Input random vibration with an overall magnitude of 7,7 g rms in the first half hour and a total test duration of one and a half hours per axis in each of the three perpendicular axes, when the random vibration meets the following: a. A constant power spectral density (PSD) value of 0,04 g2/Hz over a frequency interval of 15 to 1 000 Hz; and b. The PSD attenuates with a frequency from 0,04 g2/Hz to 0,01 g2/Hz over a frequency interval from 1 000 to 2 000 Hz; 2. A roll and yaw rate equal to or greater than + 2,62 radian/s (150 deg/s); or 3. According to national standards equivalent to 1. or 2. above. Technical notes: 1. a.2. refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance. 2. ‘Circular Error Probable’ (CEP) – In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located. 7A001 7A003 7A101 7A103

AEROSPACE AND PROPULSION







I.A9. Goods No Description Related item from Annex I to Regulation (EC) No 428/2009 I.A9.001 Explosive bolts. I.A9.002 Internal combustion engines (i.e. axial piston or rotary piston type), designed or modified for propelling ‘aircrafts’ or ‘lighter-than-air-vehicles’ and specially designed components therefor. I.A9.003 Trucks, other than those specified in 9A115, having more than one motorised axle and a payload exceeding 5 tonnes. Note: This item includes flatbed trailers, semi trailers and other trailers. 9A115

B. SOFTWARE







No Description Related item from Annex I to Regulation (EC) No 428/2009 I.B.001 Software required for the development, production or use of the items in Part A. (Goods).

C. TECHNOLOGY







No Description Related item from Annex I to Regulation (EC) No 428/2009 I.C.001 Technology required for the development, production or use of the items in Part A. (Goods).

▼M9









ANNEX Ib







Goods referred to in the third subparagraph of Article 2(2) 7601 Unwrought aluminium 7602 Aluminium waste and scrap 7603 Aluminium powders and flakes 7604 Aluminium bars, rods and profiles 7605 Aluminium wire 7606 Aluminium plates, sheets and strip, of a thickness exceeding 0,2 mm 7608 Aluminium tubes and pipes 7609 Aluminium tube or pipe fittings (for example, couplings, elbows, sleeves) 7614 Stranded wire, cables, plaited bands and the like, of aluminium, not electrically insulated

▼M20









ANNEX