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

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

(23)Annex XIII is inserted in accordance with Annex XII of this Regulation.

(22)Annex XII is inserted in accordance with Annex XI of this Regulation.

(21)Annex XI is inserted in accordance with Annex X of this Regulation.

(20)Annex X is inserted in accordance with Annex IX of this Regulation.

(19)Annex IX is inserted in accordance with Annex VIII of this Regulation.

(18)Annex VIII is inserted in accordance with Annex VII of this Regulation.

(17)Annex VII is inserted in accordance with Annex VI of this Regulation.

(16)Annex VI is amended in accordance with Annex V of this Regulation.

(15)Annex V is amended in accordance with Annex IV of this Regulation.

(14)Annex IV is replaced by Annex III of this Regulation.

(13)Annex III is amended in accordance with Annex II of this Regulation.

(12)Annex I is replaced by Annex I to this Regulation;

2.For the purposes of this Regulation, the Commission service listed in Annex I is designated as ‘controller’ for the Commission within the meaning of Article 3(8) of Regulation (EU) 2018/1725 in relation to the processing activities necessary to accomplish the tasks referred to in paragraph 1.’

1. The Commission shall process personal data in order to carry out its tasks under this Regulation. These tasks include the handling of information on deposits and information on authorisations granted by the competent authorities.

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent prohibitions in this Regulation including by acting as a substitute for natural or legal persons, entities or bodies referred to in Articles 5, 5a, 5b, 5e and 5f or by acting to their benefit by using the exceptions in Articles 5(6), 5a(2) 5b(2), 5e(2) or 5f(2).’

3. 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.

2.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.

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

(a)legal persons, entities or bodies listed in Annexes III, IV, V,VI, XII or XIII or referred to in point (b) or (c) of Article 5(1), in point(b) or (c) of Article 5(2), in point (c) or (d) of Article 5(3), in point (b) or (c) of Article 5(4) and in point (a), (b) or (c) of Article 5a ;

1.No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

(10)Articles 11 and 12 are replaced by the following:

The Commission shall be empowered to amend Annexes I, VII and IX on the basis of information supplied by Member States.’

3. Any information provided or received in accordance with this Article shall be used for the purposes for which it was provided or received, including ensuring the effectiveness of the measures in this Regulation.

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

(c)in respect of violation and enforcement problems and judgments handed down by national courts.

(a)in respect of authorisations granted under this Regulation;

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

(9)Articles 6 and 7 are replaced by the following:

(b)supply to the national competent authority of the Member State where they are located information on deposits exceeding EUR 100.000 held by Russian nationals or natural persons residing in Russia who have acquired the citizenship of a Member State or residence rights in a Member State through an investor citizenship scheme or an investor residence scheme respectively.’

(a)supply to the national competent authority of the Member State where they are located or to the Commission by no later than [3 months of entry into force], a list of deposits exceeding EUR 100.000 held by Russian nationals or natural persons residing in Russia, or by legal persons, entities or bodies established in Russia. They shall provide updates regarding the amounts of such deposits every 12 months.

1. Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, credit institutions shall:

2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State.

1. It shall be prohibited to sell euro denominated transferable securities issued after [45 days after entry into force] or units in collective investment undertakings providing exposure to such securities, to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.

2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State.

1. It shall be prohibited for EU central securities depositories to provide any services as defined in the Annex of Regulation (EU) No 909/2014 for transferable securities issued after [45 days after entry into force] to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.

2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation.

(b)necessary for civil society activities that directly promote democracy, human rights or the rule of law in Russia.

(a)necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or

1. By way of derogation from Article 5b(1), the competent authorities may authorise the acceptance of such a deposit, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit is:

2, The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1(a), (b) and (d) within two weeks of the authorisation.

(d)necessary for official purposes of a diplomatic mission or consular post or international organisation.

(c)necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the 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; or

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

(a)necessary to satisfy the basic needs of natural or legal persons, entities or bodies referred to in Article 5b(1) and their dependent family members, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

1. By way of derogation from Article 5b(1), the competent authorities may authorise the acceptance of such a deposit, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit is:

3. Paragraph 1 shall not apply to deposits which are necessary for non-prohibited cross-border trade in goods and services between the Union and Russia.

2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State,

1. It shall be prohibited to accept any deposits from Russian nationals or natural persons residing in Russia, or legal persons, entities or bodies established in Russia, if the total value of deposits of the natural or legal person, entity or body per credit institution exceeds EUR 100 000.

The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.’

(c)at the time of its conclusion the contract was not in breach of the prohibitions of this Regulation in force at that time.

(b)before [entry into force] a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract; and

(ii) have not been modified on or after that date; and

(i) were agreed before [entry into force]; and

(a)all the terms and conditions of such drawdown or disbursements:

7. The prohibition in paragraph 6 shall not apply to drawdown or disbursements made under a contract concluded before [entry into force] provided that the following conditions are met:

(b)loans that have a specific and documented objective to provide emergency funding to meet solvency and liquidity criteria for legal persons established in the Union, whose proprietary rights are owned for more than 50 % by any entity referred to in Annex III.

(a)loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of goods and non-financial services between the Union and any third State, including the expenditure for goods and services from another third State that is necessary for executing the export or import contracts; or

The prohibition shall not apply to:

(ii) any new loans or credit to any legal person, entity or body referred to in paragraph 1, 2, 3 or 4 after [date of entry into force].

(i) new loans or credit with a maturity exceeding 30 days to any legal person, entity or body referred to in paragraph 1 or 3, after 12 September 2014 to [date of entry into force]; or

6. It shall be prohibited to directly or indirectly make or be part of any arrangement to make

5. It shall be prohibited to list and provide services as of [45 days after entry into force] on trading venues registered or recognised in the Union for the transferable securities of any legal person, entity or body established in Russia and with over 50% public ownership.

(c)a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

(b)a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed Annex XIII; or

(a)a legal person, entity or body established in Russia, which is publicly controlled or with over 50% public ownership and in which an entity referred to in point (a) or (b) of paragraph 2 has the right to participate in profits or has other substantial economic relationship, as listed in Annex XIII; or

4. It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments, issued after [45 days after entry into force] by:

(d)a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a), (b) or (c) of this paragraph.

(c)a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in point (a) or (b) of this paragraph; or

(b)a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and having estimated total assets of over RUB 1 trillion and whose estimated revenues originate for at least 50 % from the sale or transportation of crude oil or petroleum products, as listed in Annex VI;

(a)a legal person, entity or body established in Russia predominantly engaged and with major activities in the conception, production, sales or export of military equipment or services, as listed in Annex V, except legal persons, entities or bodies active in the space or the nuclear energy sectors;

3.It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 30 days, issued after 12 September 2014 to [45 days after entry into force] or any transferable securities and money market instruments issued after [45 days after entry into force ] by:

(c)a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

(b)a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XII; or

(a)any major credit institution, or other institution with over 50 % public ownership or control as of [date of entry into force] or any other credit institution having a significant role in supporting the activities of Russia, its government or Central Bank and established in Russia, as listed in Annex XII; or

2. It shall be prohibited to directly or indirectly, purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments issued after [45 days after entry into force] by:

(c) a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (b) of this paragraph or listed in Annex III.

(b) a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex III; or

(a) a major credit institution, or other major institution having an explicit mandate to promote competitiveness of the Russian economy, its diversification and encouragement of investment, established in Russia with over 50 % public ownership or control as of 1 August 2014, as listed in Annex III; or

1.It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 90 days, issued after 1 August 2014 to 12 September 2014, or with a maturity exceeding 30 days, issued after 12 September 2014 to [45 days after entry into force] or any transferable securities and money market instruments issued after [45 days after entry into force ] by:

(7)Article 5 is replaced by the following:

(6)In paragraph 2 of Article 4, “EU” is replaced by “Union”.’

5.With regard to goods listed in Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution [until 30 days after entry into force] of contracts concluded before [date of entry into force], or ancillary contracts necessary for the execution of such contracts.’

(b)to provide financing or financial assistance related to goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of these goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

(a)to provide technical assistance, brokering services or other services related to goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

3.It shall be prohibited to provide any one or combination of the following activities: overhaul, repair, inspection, replacement, modification or defect rectification of an aircraft or component, with the exception of pre-flight inspection, in relation to the goods and technology listed in Annex XI, directly or indirectly, to any natural or legal person, entity or body in Russia or for use in Russia.

2. It shall be prohibited to provide insurance and reinsurance, directly or indirectly, in relation to goods and technology listed in Annex XI to any person, entity or body in Russia or for use in Russia.

1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology suited for use in aviation or space industry, as listed in Annex XI, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

In duly justified cases of emergency, the sale, supply, transfer or export may proceed without prior authorisation, provided that the exporter notifies the competent authority within five working days after the sale, supply, transfer or export has taken place, providing detail about the relevant justification for the sale, supply, transfer or export without prior authorisation.

4.By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of goods and technology listed in Annex X or the provision of related technical or financial assistance, after having determined that such goods or technology or the provision of related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.

3. The prohibitions in paragraphs 1 and 2 shall not apply to the execution until [90 days after entry into force] of contracts concluded before [date of entry into force], or ancillary contracts necessary for the execution of such contracts.

(b)to provide financing or financial assistance related to goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of these goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any person, entity or body in Russia or for use in Russia.

(a)to provide technical assistance, brokering services or other services related to goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

2. It shall be prohibited:

1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology suited for use in oil refining, as listed in Annex X, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

(4)In paragraph 2 of Article 3, “Article 11 of Regulation (EC) No 428/2009” is replaced with “Article 14 of Regulation (EU) No 2021/821”.’

c. to the provision of public financing or financial assistance for trade in food, and for agricultural, medical or humanitarian purposes.’

b. to the provision of public financing or financial assistance up to the total value of EUR 10 000 000 per project to small and medium-sized enterprises (SMEs) established in the Union; or

a. to binding financing or financial assistance commitments established prior to [date of entry into force of this Regulation];

2. The prohibition in paragraph 1 shall not apply:

1. It shall be prohibited to provide public financing or financial assistance for trade with, or investment in, Russia.

4. The Commission, in consultation with the Member States shall, where appropriate, exchange information with partner countries, with a view to supporting the effectiveness of export control measures under this Regulation and the consistent application of export control measures applied by partner countries.

3. Before a Member State grants an authorisation in accordance with Articles 2, 2a and 2b for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States, it shall first consult the Member State or States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof, providing all relevant information to explain the decision.

Member States and the Commission shall ensure that classified information provided or exchanged under this Article is not downgraded or declassified without the prior written consent of the originator.

Member States and the Commission shall ensure the protection of confidential information acquired in application of this Article in accordance with Union and the respective national law.

2. Information received as a result of the application of this Article shall be used only for the purpose for which it was requested, including the exchanges mentioned in paragraph 4.

1.The competent authorities shall exchange information on authorisations granted and denials issued pursuant to Articles 2, 2a and 2b with the other Member States and the Commission without delay. The exchange of information shall be carried out using the electronic system provided pursuant to Article 23(6) of Regulation (EU) 2021/821.

2.All authorisations referred to in Articles 2, 2a and 2b shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX.

1.The notification to the competent authority referred to in Articles 2(3) and 2a(3) shall be submitted by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX.

3. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraph 1 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

2.All authorisations required under this Article shall be granted by the competent authorities of the Member State in accordance with the rules and procedures laid down in Regulation (EU) No 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.

b. that such goods or technology or the related technical or financial assistance are due under contracts concluded before [date of entry into force of this Regulation], or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before [1 May 2022].

a. that such goods or technology or the related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment; or

1.With regard to the entities identified in Annex IV, by way of derogation from paragraphs 1 and 2 of Articles 2 and 2a and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may only authorise the sale, supply, transfer or export of dual-use goods and technology and goods and technology listed in Annex VII, or the provision of related technical or financial assistance after having determined:

8. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

(ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or space industry.

(i) the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use; or

7.When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that

6. All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) No 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.

5. By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are due under contracts concluded before [date of entry into force of this Regulation ], or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before [1 May 2022].

(g)intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.

(f)intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country; or

(e)intended for civilian telecommunications networks, including the provision of internet services;

(c)intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, notably in the field of research and development;

(a)intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

4. By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are:

With the exception of points (f) and (g) above, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

(g)personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

(f)ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government; or

(c)temporary export of items for use by news media;

(a)humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment or as a response to natural disasters;

3. The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for:

(b)to provide financing or financial assistance related to goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of these goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

(a)to provide technical assistance, brokering services or other services related to goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;

2. It shall be prohibited:

1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology which might contribute to Russia’s military and technological enhancement, or the development of the defence and security sector, as listed in Annex VII, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

8. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

(ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or space industry.

(i) the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use; or

7.When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:

6. All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) No 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.

5. By way of derogation from paragraphs 1 and 2, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the sale, supply, transfer or export of dual-use goods and technology or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are due under contracts concluded before [date of entry into force of this Regulation], or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before [1 May 2022].

(g)intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.

(f)intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country;

(e)intended for civilian telecommunications networks, including the provision of internet services;

(c)intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, notably in the field of research and development;

(a)intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

4. By way of derogation from paragraphs 1 and 2, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the sale, supply, transfer or export of dual-use goods and technology or the provision of related technical or financial assistance, for non-military use and for a non-military end user, after having determined that such goods or technology or the related technical or financial assistance are:

With the exception of points (f) and (g) above, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

(g)personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

(f)ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government; or

(c)temporary export of items for use by news media;

(a)humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment or as a response to natural disasters;

3.Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of dual-use goods and technology or to the related provision of technical and financial assistance, for non-military use and for a non-military end user, intended for:

(b)to provide financing or financial assistance related to goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of these goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

(a)to provide technical assistance, brokering services or other services related to goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;

1.It shall be prohibited to sell, supply, transfer or export, directly or indirectly, dual-use goods and technology, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

(q)‘consumer communication devices’ means devices used by private individuals such as personal computers and peripherals (including hard drives and printers), mobile telephones, smart televisions, memory devices (USB drives), and consumer software for all of these items.’

(p)‘partner country’ means a country applying a set of export control measures substantially equivalent to those set out in this Regulation, as identified in Annex VIII;

(o)‘financing or financial assistance’ means any action, irrespective of the particular means chosen, whereby the person, entity or body concerned, conditionally or unconditionally, disburses or commits to disburse its own funds or economic resources, including but not limited to grants, loans, guarantees, suretyships, bonds, letters of credit, supplier credits, buyer credits, import or export advances and all types of insurance and reinsurance, including export credit insurance. Payment as well as terms and conditions of payment of the agreed price for a good or a service, made in line with normal business practice, do not constitute financing or financial assistance;

(n)‘trading venue’, as defined in Article 4(1)(24) of Directive 2014/65/EU, means a regulated market, a multilateral trading facility (MTF) or an organised trading facility (OTF);

(m)‘investor residence schemes' (or ‘golden visas’) means the procedures put in place by a Member State, which allow third-country nationals to obtain a residence permit in a Member State in exchange for pre-determined payments and investments;

(l)‘investor citizenship schemes' (or ‘golden passports’) means the procedures put in place by a Member State, which allow third-country nationals to acquire its nationality in exchange for pre-determined payments and investments;

(iii) its principal is only repayable at par under a particular guarantee or agreement provided by the credit institution or a third party;

(ii) its principal is not repayable at par;

(i) its existence can only be proven by a financial instrument as defined in Article 4(1)(15) of Directive 2014/65/EU of the European Parliament and of the Council, unless it is a savings product which is evidenced by a certificate of deposit made out to a named person and which exists in a Member State on 2 July 2014;

(k)‘deposit’ means a credit balance which results from funds left in an account or from temporary situations deriving from normal banking transactions and which a credit institution is required to repay under the legal and contractual conditions applicable, including a fixed-term deposit and a savings deposit, but excluding a credit balance where:

(j)‘central securities depository’ means a legal person as defined in point 1 of Article 2(1) of Regulation (EU) No 909/2014;

(i)‘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.

(h)‘credit institution’ means an undertaking the business of which is to take deposits or other repayable funds from the public and to grant credit for its own account;

(g) ‘money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment;

(iii) any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities;

(ii) bonds or other forms of securitised debt, including depositary receipts in respect of such securities,

(i) shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares,

(f) ‘transferable securities’ means the following classes of securities which are negotiable on the capital market, with the exception of instruments of payment:

(viii) any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

(vii) placing of financial instruments without a firm commitment basis,

(vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis,

(ii) execution of orders on behalf of clients,

(i) reception and transmission of orders in relation to one or more financial instruments,

(e)‘investment services’ means the following services and activities:

(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;

(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

(c)‘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;

(b)‘competent authorities’ means the competent authorities of the Member States as identified on the websites listed in Annex I;

(a)‘dual-use goods and technology’ means the items listed in Annex I to Regulation (EU) 2021/821;

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

(1)Article 1 is replaced by the following:

Regulation (EU) 833/2014 is amended as follows:

(12)Regulation (EU) No 833/2014 should therefore be amended accordingly.

(11)The Commission will monitor the application of these measures. To ensure the effectiveness of export controls on EU goods and technology which might contribute to Russia’s technological enhancement of its defence and security sector, the Commission will act in coordination with Member States, and as the case may be with partner countries, with a view, in justified and documented cases, to adapting the list of those goods and technology as appropriate.

(10)In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission.

(9)These measures fall within the scope of the Treaty and, therefore, in particular with a view to ensuring their uniform application in all Member States, regulatory action at the level of the Union is necessary.

(8)Council Decision (CFSP) 2022/XXX further expands the existing financial restrictions, in particular those on access by certain Russian entities to the capital markets. It also prohibits the listing and provision of services in relation to shares of Russian state-owned entities on EU trading venues. In addition, it introduces new measures which significantly limit the financial inflows from Russia to the Union, by prohibiting the acceptance of deposits exceeding certain values from Russian nationals or residents, the holding of accounts of Russian clients by the EU Central Securities Depositories as well as the selling of euro-denominated securities to Russian clients.

(7)Further, it introduces an export ban covering goods and technology suited for use in aviation and space industry as well as prohibits the provision of insurance and reinsurance and maintenance services in relation to those goods and technology. It also prohibits the provision of technical assistance and other related services as well as financing and financial assistance in relation to the goods and technology subject to this prohibition.

(6)Council Decision (CFSP) 2022/XXX also prohibits the sale, supply, transfer or export to Russia of specific goods and technologies for use in oil refining, together with restrictions on the provision of related services.

(5)Council Decision (CFSP) 2022/XXX imposes further restrictions on exports of dual-use goods and technology and on the provision of related services, as well as restrictions on exports of certain goods and technology which might contribute to Russia’s technological enhancement of its defence and security sector. It also introduces restrictions on the provision of related services. Limited exemptions to such restrictions are envisioned for legitimate and pre-determined purposes. Further, the Decision prohibits the provision of public financing or financial assistance for trade with, or investment in Russia, subject to certain exceptions.

(4)In view of [TRIGGER on DATE], on [DATE] the Council adopted Decision (CFSP)2022/XXX amending Decision 2014/512/CFSP and imposing further restrictive measures in various sectors, particularly defence, energy, aviation and finance.

(3)On 24 January 2022, recalling the European Council Conclusions from December 2021, the Council reiterated that any further military aggression by Russia against Ukraine would have massive consequences and severe costs.

(2)Regulation (EU) No 833/2014 gives effect to certain measures provided for in Council Decision 2014/512/CFSP and prohibits the sale, supply, transfer or export of dual-use goods and technology to any person, entity or body in Russia or for use in Russia, if those items are for military use or for military end-users. It also bans the sale of such goods and technology to specified legal persons in Russia and prohibits the provision of technical assistance and other related services as well as financing and financial assistance related to such good and technology. In addition, it requires operators to obtain a prior authorisation for the sale, supply, transfer or export of certain technologies for the oil industry in Russia and prohibits the provision of associated services necessary for deep-water oil exploration and production, arctic oil exploration and production or shale oil projects in Russia, including its Exclusive Economic Zone and Continental Shelf. It also prohibits the provision of technical assistance related to the goods and technology listed in the Common Military List of the European Union or related to the provision, manufacture, maintenance and use of such goods. It also imposes restrictions on access to the capital market for certain Russian financial institutions.

(1)On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine.

Having regard to the joint proposal of the High Representative of the Union for Foreign Affairs and Security Policy and of the European Commission,

Having regard to Decision (CFSP) 2022/XXX of XX February 2022 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,

THE COUNCIL OF THE EUROPEAN UNION,

amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

(9)The High Representative for Foreign Affairs and Security Policy and the Commission should therefore propose to amend Regulation (EU) No 833/2014 accordingly.

(8)These amendments fall within the scope of the Treaty and, therefore, notably with a view to ensuring their uniform application in all Member States, regulatory action at the level of the Union is necessary.

(7)Council Decision (CFSP) 2022/XXX expands the existing financial restrictions, in particular those on access by certain Russian entities to the capital markets.. It also prohibits the listing and provision of services in relation to shares of Russian state-owned entities on EU trading venues. In addition, it introduces new measures which significantly limit the financial inflows from Russia to the Union, by prohibiting the acceptance of deposits exceeding certain values from Russian nationals or residents, the holding of accounts of Russian clients by the EU Central Securities Depositories as well as the selling of euro-denominated securities to Russian persons.

(6)Further, it introduces an export ban covering goods and technology suited for use in aviation or space industry as well as prohibits the provision of insurance and reinsurance and maintenance services in relation to those goods and technology. It also prohibits the provision of technical assistance and other related services as well as financing and financial assistance in relation to the goods and technology subject to this prohibition.

(5)Council Decision (CFSP) 2022/XXX also prohibits the sale, supply, transfer or export to Russia of specific goods and technologies for use in oil refining, together with restrictions on the provision of related services.

(4)Council Decision (CFSP) 2022/XXX imposes further restrictions on exports of dual-use goods and technology and on the provision of related services, as well as restrictions on exports of certain goods and technology which might contribute to Russia’s technological enhancement of its defence and security sector. Subject to certain exceptions, it prohibits the provision of public financing or financial assistance for trade with, or investment in Russia.

(3)Council Decision (CFSP) 2022/XXX amends Council Decision 2014/512/CFSP and introduces further targeted economic sanctions following the [description of the event triggering the adoption of sanctions].

(2)Council Regulation (EU) No 833/2014 gives effect to certain measures provided for in Council Decision 2014/512/CFSP.

(1)Council Regulation (EU) No 833/2014 prohibits the sale, supply, transfer or export of dual-use goods and technology to any person, entity or body in Russia or for use in Russia, if those items are for military use or for military end-users. It also bans the sale of such goods and technology to specified legal persons in Russia and prohibits the provision of technical assistance and other related services as well as financing and financial assistance related to such good and technology. In addition, it requires operators to obtain a prior authorisation for the sale, supply, transfer or export of certain technologies for the oil industry in Russia and prohibits the provision of associated services necessary for deep water oil exploration and production, arctic oil exploration and production or shale oil projects in Russia, including its Exclusive Economic Zone and Continental Shelf. Furthermore, it prohibits the provision of technical assistance related to the goods and technology listed in the Common Military List of the European Union or related to the provision, manufacture, maintenance and use of such goods. Finally, it imposes restrictions on access to the EU capital market for certain Russian financial institutions, Russia, its government and its Central Bank.

amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

EUROPEAN COMMISSION Brussels, 24.2.2022 JOIN(2022) 21 final/3 Downgraded on 9.9.2022 Joint Proposal for a ANNEXES to the Council Regulation amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine



ANNEX I ‘ANNEX I Websites for information on the competent authorities and address for notification to the European Commission BELGIUM https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions BULGARIA https://www.mfa.bg/en/101 CZECH REPUBLIC www.financnianalytickyurad.cz/mezinarodni-sankce.html DENMARK http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/ GERMANY http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html ESTONIA http://www.vm.ee/est/kat_622/ IRELAND http://www.dfa.ie/home/index.aspx?id=28519

GREECE http://www.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html SPAIN http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunidadesRiesgos/Paginas/SancionesInternacionales.aspx FRANCE http://www.diplomatie.gouv.fr/fr/autorites-sanctions/ CROATIA http://www.mvep.hr/sankcije ITALY https://www.esteri.it/mae/it/politica_estera/politica_europea/misure_deroghe CYPRUS http://www.mfa.gov.cy/mfa/mfa2016.nsf/mfa35_en/mfa35_en?OpenDocument LATVIA http://www.mfa.gov.lv/en/security/4539 LITHUANIA http://www.urm.lt/sanctions LUXEMBOURG https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/mesures-restrictives.html HUNGARY http://www.kormany.hu/download/9/2a/f0000/EU%20szankci%C3%B3s%20t%C3%A1j%C3%A9koztat%C3%B3_20170214_final.pdf

MALTA https://foreignaffairs.gov.mt/en/Government/SMB/Pages/Sanctions-Monitoring-Board.aspx NETHERLANDS https://www.rijksoverheid.nl/onderwerpen/internationale-sancties AUSTRIA http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version= POLAND https://www.gov.pl/web/dyplomacja PORTUGAL http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restritivas/medidas-restritivas.aspx ROMANIA http://www.mae.ro/node/1548 SLOVENIA http://www.mzz.gov.si/si/omejevalni_ukrepi SLOVAKIA https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu FINLAND http://formin.finland.fi/kvyhteistyo/pakotteet SWEDEN http://www.ud.se/sanktioner

Address for notifications to the European Commission: European Commission Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA) Rue de Spa 2 B-1049 Brussels, Belgium E-mail: relex-sanctions@ec.europa.eu‘ ANNEX II The title of Annex III to Regulation (EU) No 833/2014 is replaced by the following: ‘ANNEX III List of legal persons, entities and bodies referred to in Article 5(1)(a)’ ANNEX III ‘ANNEX IV List of natural or legal persons, entities or bodies, referred to in Article 2(6), 2a(6) and 2b(1) JSC Sirius OJSC Stankoinstrument OAO JSC Chemcomposite

JSC Kalashnikov JSC Tula Arms Plant NPK Technologii Maschinostrojenija OAO Wysokototschnye Kompleksi OAO Almaz Antey OAO NPO Bazalt Admiralty Shipyard JSC Aleksandrov Scientific Research Technological Institute NITI Argut OOO Communication center of the Ministry of Defense Federal Research Center Boreskov Institute of Catalysis Federal State Budgetary Enterprise of the Administration of the President of Russia Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the President of Russia Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA) Foreign Intelligence Service (SVR) Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior Affairs International Center for Quantum Optics and Quantum Technologies (the Russian Quantum Center) Irkut Corporation Irkut Research and Production Corporation Public Joint Stock Company Joint Stock Company Scientific Research Institute of Computing Machinery

JSC Central Research Institute of Machine Building (JSC TsNIIMash) JSC Kazan Helicopter Plant Repair Service JSC Shipyard Zaliv (Zaliv Shipbuilding yard) JSC Rocket and Space Centre – Progress Kamensk-Uralsky Metallurgical Works J.S. Co. Kazan Helicopter Plant PJSC Komsomolsk-na-Amur Aviation Production Organization (KNAAPO) Ministry of Defence RF Moscow Institute of Physics and Technology NPO High Precision Systems JSC NPO Splav JSC OPK Oboronprom PJSC Beriev Aircraft Company PJSC Irkut Corporation PJSC Kazan Helicopters POLYUS Research Institute of M.F. Stelmakh Joint Stock Company Promtech-Dubna, JSC Public Joint Stock Company United Aircraft Corporation Radiotechnical and Information Systems (RTI) Concern Rapart Services LLC; Rosoboronexport OJSC (ROE)

Rostec (Russian Technologies State Corporation) Rostekh – Azimuth Russian Aircraft Corporation MiG Russian Helicopters JSC SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii) Sukhoi Aviation JSC Sukhoi Civil Aircraft Tactical Missiles Corporation JSC Tupolev JSC UEC-Saturn United Aircraft Corporation JSC AeroKompozit United Engine Corporation UEC-Aviadvigatel JSC United Instrument Manufacturing Corporation United Shipbuilding Corporation JSC PO Sevmash Krasnoye Sormovo Shipyard Severnaya Shipyard Shipyard Yantar

UralVagonZavod.’ ANNEX IV The title of Annex V to Regulation (EU) No 833/2014 is replaced by the following: ‘ANNEX V List of legal persons, entities and bodies referred to in Article 5(3)(a) ’ ANNEX V The title of Annex VI to Regulation (EU) No 833/2014 is replaced by the following: ‘ANNEX VI List of legal persons, entities and bodies referred to in Article 5(3)(b) ’ ANNEX VI ‘ANNEX VII List of goods and technology referred to in Articles 2a(1) and 2b(1)

General Notes, Acronyms and Abbreviations, and Definitions in Annex I to Regulation (EU) 2021/821 apply to this Annex, with the exception of "Part I - General Notes, Acronyms and Abbreviations, and Definitions, General Notes to Annex I, point 2.". Definitions of Terms used in the Common Military List (CML) of the European Union (2020/C 85/01) apply to this Annex. Without prejudice to Article 12 of this regulation, non-controlled items containing one or more components listed in this Annex are not subject to the controls under Art. 2b of this Regulation. Category I - Electronics X.A.I.001Electronic devices and components. a.“Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following: 1.A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more; 2.A clock frequency rate exceeding 25 MHz; or 3.More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 2,5 Mbyte/s; b.Storage integrated circuits, as follows: 1.Electrically erasable programmable read-only memories (EEPROMs) with a storage capacity; a.Exceeding 16 Mbits per package for flash memory types; or b.Exceeding either of the following limits for all other EEPROM types: 1.Exceeding 1 Mbit per package; or 2.Exceeding 256 kbit per package and a maximum access time of less than 80 ns; 2.Static random access memories (SRAMs) with a storage capacity: a.Exceeding 1 Mbit per package; or b.Exceeding 256 kbit per package and a maximum access time of less than 25 ns; c.Analog-to-digital converters having any of the following:

1.A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 Mega Samples Per Second (MSPS); 2.A resolution of 12 bit with an output rate greater than 105 Mega Samples per Second (MSPS); 3.A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 Mega Samples per Second (MSPS); or 4.A resolution of more than 14 bit with an output rate greater than 2,5 Mega Samples Per Second (MSPS); d.Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700; e.Fast Fourier Transform (FFT) processors having a rated execution time for a 1 024 point complex FFT of less than 1 ms; f.Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following: 1.More than 144 terminals; or 2.A typical “basic propagation delay time” of less than 0,4 ns; g.Traveling-wave “vacuum electronic devices”, pulsed or continuous wave, as follows: 1.Coupled cavity devices, or derivatives thereof; 2.Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following: a.An “instantaneous bandwidth” of half an octave or more and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,2; or b.An “instantaneous bandwidth” of less than half an octave; and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,4; h.Flexible waveguides designed for use at frequencies exceeding 40 GHz; i.Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having either of the following: 1.A carrier frequency exceeding 1 GHz; or 2.A carrier frequency of 1 GHz or less; and a.A 'frequency side-lobe rejection' exceeding 55 dB;

b.A product of the maximum delay time and bandwidth (time in microseconds and bandwidth in MHz) of more than 100; or c.A dispersive delay of more than 10 microseconds; Technical Note: For the purpose of X.A.I.001.i 'Frequency side-lobe rejection' is the maximum rejection value specified in data sheet. j.'Cells' as follows: 1.'Primary cells' having an 'energy density' of 550 Wh/kg or less at 293 K (20°C); 2.'Secondary cells' having an 'energy density' of 350 Wh/kg or less at 293 K (20°C); Note:X.A.I.001.j does not control batteries, including single cell batteries. Technical Notes: 1.For the purpose of X.A.I.001.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms. 2.For the purpose of X.A.I.001.j, a 'cell' is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery. 3.For the purpose of X.A.I.001.j.1, a 'primary cell' is a 'cell' that is not designed to be charged by any other source. 4.For the purpose of X.A.I.001.j.2, a 'secondary cell' is a 'cell' that is designed to be charged by an external electrical source. k.“Superconductive” electromagnets or solenoids specially designed to be fully charged or discharged in less than one minute, having all of the following: Note:X.A.I.001.k does not control “superconductive” electromagnets or solenoids designed for Magnetic Resonance Imaging () medical equipment. 1.Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute; 2.Inner diameter of the current carrying windings of more than 250 mm; and 3.Rated for a magnetic induction of more than 8T or “overall current density” in the winding of more than 300 A/mm2; l.Circuits or systems for electromagnetic energy storage, containing components manufactured from “superconductive” materials specially designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents, having all of the following: 1.Resonant operating frequencies exceeding 1 MHz; 2.A stored energy density of 1 MJ/m3 or more; and

3.A discharge time of less than 1 ms; m.Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rate for a peak current of 500 A or more; n.Not used; o.Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space qualified” and not controlled by 3A001.e.4. X.A.I.002General purpose "electronic assemblies", modules and equipment. a.Electronic test equipment, other than those specified in the CML or in Regulation (EU) 2021/821; b.Digital instrumentation magnetic tape data recorders having any of the following characteristics; 1.A maximum digital interface transfer rate exceeding 60 Mbit/s and employing helical scan techniques; 2.A maximum digital interface transfer rate exceeding 120 Mbit/s and employing fixed head techniques; or 3.“Space qualified”; c.Equipment, with a maximum digital interface transfer rate exceeding 60 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders; d.Non-modular analog oscilloscopes having a bandwidth of 1 GHz or greater; e.Modular analog oscilloscope systems having either of the following characteristics: 1.A mainframe with a bandwidth of 1 GHz or greater; or 2.Plug-in modules with an individual bandwidth of 4 GHz or greater; f.Analog sampling oscilloscopes for the analysis of recurring phenomena with an effective bandwidth greater than 4 GHz; g.Digital oscilloscopes and transient recorders, using analog-to-digital conversion techniques, capable of storing transients by sequentially sampling single-shot inputs at successive intervals of less than 1 ns (greater than 1 Giga Samples per Second (GSPS)), digitizing to 8 bits or greater resolution and storing 256 or more samples. Note: X.A.I.002 controls the following specially designed components for analog oscilloscopes: 1.Plug-in units;

2.External amplifiers; 3.Pre-amplifiers; 4.Sampling devices; 5.Cathode ray tubes. X.A.I.003Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows: a.Frequency changers capable of operating in the frequency range from 300 up to 600 Hz, other than those specified in the CML or in Regulation (EU) 2021/821; b.Mass spectrometers, other than those specified in the CML or in Regulation (EU) 2021/821; c.All flash x-ray machines, or components of pulsed power systems designed thereof, including Marx generators, high power pulse shaping networks, high voltage capacitors, and triggers; d.Pulse amplifiers, other than those specified in the CML or in Regulation (EU) 2021/821; e.Electronic equipment for time delay generation or time interval measurement, as follows: 1.Digital time delay generators with a resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater; or 2.Multi-channel (three or more) or modular time interval meter and chronometry equipment with resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater; f.Chromatography and spectrometry analytical instruments. X.B.I.001Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor. a.Equipment specially designed for the manufacture of electron tubes, optical elements and specially designed components therefor controlled by 3A001 or X.A.I.001; b.Equipment specially designed for the manufacture of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment: Note:X.B.I.001.b. also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

1.Equipment for the processing of materials for the manufacture of devices and components as specified in the heading of X.B.I.001.b, as follows: Note:X.B.I.001 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment controlled by X.B.I.001.b.1. a.Equipment for producing polycrystalline silicon and materials controlled by 3C001; b.Equipment specially designed for purifying or processing /V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 except crystal pullers, for which see X.B.I.001.b.1.c below; c.Crystal pullers and furnaces, as follows: Note:X.B.I.001.b.1.c does not control diffusion and oxidation furnaces. 1.Annealing or recrystallizing equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0,005 m2 per minute; 2.'Stored program controlled' crystal pullers having any of the following characteristics: a. Rechargeable without replacing the crucible container; b. Capable of operation at pressures above 2,5 x 105 Pa; or c. Capable of pulling crystals of a diameter exceeding 100 mm; d.'Stored program controlled' equipment for epitaxial growth having any of the following characteristics: 1.Capable of producing silicon layer with a thickness uniform to less than ± 2,5% across a distance of 200 mm or more; 2.Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ± 3,5%; or 3.Rotation of individual wafers during processing; e.Molecular beam epitaxial growth equipment; f.Magnetically enhanced 'sputtering' equipment with specially designed integral load locks capable of transferring wafers in an isolated vacuum environment; g.Equipment specially designed for ion implantation, ion-enhanced or photo-enhanced diffusion, having any of the following characteristics: 1.Patterning capability; 2.Beam energy (accelerating voltage) exceeding 200 keV;

3.Optimized to operate at a beam energy (accelerating voltage) of less than 10 keV; or 4.Capable of high energy oxygen implant into a heated “substrate”; h.'Stored program controlled' equipment for the selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows: 1.'Batch types' having either of the following: a.End-point detection, other than optical emission spectroscopy types; or b.Reactor operational (etching) pressure of 26,66 Pa or less; 2.'Single wafer types' having any of the following: a.End-point detection, other than optical emission spectroscopy types; b.Reactor operational (etching) pressure of 26,66 Pa or less; or c.Cassette-to-cassette and load locks wafer handling; Notes: 1. 'Batch types' refers to machines not specially designed for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., RF power, temperature, etch gas species, flow rates. 2. 'Single wafer types' refers to machines specially designed for production processing of single wafers. These machines may use automatic wafer handling techniques to load a single wafer into the equipment for processing. The definition includes equipment that can load and process several wafers but where the etching parameters, e.g., RF power or end point, can be independently determined for each individual wafer. i.“Chemical vapor deposition” () equipment, e.g., plasma-enhanced (PECVD) or photo-enhanced , for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals or polysilicon: 1.“Chemical vapor deposition” equipment operating below 105 Pa; or 2.PECVD equipment operating either below 60 Pa or having automatic cassette-to-cassette and load lock wafer handling; Note:X.B.I.001.b.1.i does not control low pressure “chemical vapor deposition” (LPCVD) systems or reactive “sputtering” equipment. j.Electron beam systems specially designed or modified for mask making or semiconductor device processing having any of the following characteristics: 1.Electrostatic beam deflection; 2.Shaped, non-Gaussian beam profile; 3.Digital-to-analog conversion rate exceeding 3 MHz;

4.Digital-to-analog conversion accuracy exceeding 12 bit; or 5.Target-to-beam position feedback control precision of 1 micrometer or finer; Note:X.B.I.001.b.1.j does not control electron beam deposition systems or general purpose scanning electron microscopes. k.Surface finishing equipment for the processing of semiconductor wafers as follows: 1.Specially designed equipment for backside processing of wafers thinner than 100 micrometer and the subsequent separation thereof; or 2.Specially designed equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 micrometer or less, total indicator reading (); Note:X.B.I.001.b.1.k does not control single-side lapping and polishing equipment for wafer surface finishing. l.Interconnection equipment which includes common single or multiple vacuum chambers specially designed to permit the integration of any equipment controlled by X.B.I.001 into a complete system; m.'Stored program controlled' equipment using “lasers” for the repair or trimming of “monolithic integrated circuits” with either of the following characteristics: 1.Positioning accuracy less than ± 1 micrometer; or 2.Spot size (kerf width) less than 3 micrometer. Technical Note: For the purpose of X.B.I.001.b.1, 'sputtering' is an overlay coating process wherein positively charged ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on the substrate. (Note: Triode, magnetron or radio frequency sputtering to increase adhesion of coating and rate of deposition are ordinary modifications of the process.). 2.Masks, mask substrates, mask-making equipment and image transfer equipment for the manufacture of devices and components as specified in the heading of X.B.I.001, as follows: Note:The term masks refers to those used in electron beam lithography, X-ray lithography, and ultraviolet lithography, as well as the usual ultraviolet and visible photo-lithography. a.Finished masks, reticles and designs therefor, except: 1.Finished masks or reticles for the production of integrated circuits not controlled by 3A001; or 2.Masks or reticles, having both of the following characteristics: a.Their design is based on geometries of 2,5 micrometer or more; and b.The design does not include special features to alter the intended use by means of production equipment or “software”; b.Mask substrates as follows:

1.Hard surface (e.g., chromium, silicon, molybdenum) coated “substrates” (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm x 125 mm; or 2.Substrates specially designed for X-ray masks; c.Equipment, other than general purpose computers, specially designed for computer aided design (CAD) of semiconductor devices or integrated circuits; d.Equipment or machines, as follows, for mask or reticle fabrication: 1.Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2,5 micrometer in the photoresist on the “substrate”; 2.Mask or reticle fabrication equipment using ion or “laser” beam lithography capable of producing line widths of less than 2,5 micrometer; or 3.Equipment or holders for altering masks or reticles or adding pellicles to remove defects; Note: X.B.I.001.b.2.d.1 and b.2.d.2 do not control mask fabrication equipment using photo-optical methods which was either commercially available before the 1st January 1980, or has a performance no better than such equipment. e. 'Stored program controlled' equipment for the inspection of masks, reticles or pellicles with: 1. A resolution of 0,25 micrometer or finer; and 2. A precision of 0,75 micrometer or finer over a distance in one or two coordinates of 63,5 mm or more; Note: X.B.I.001.b.2.e does not control general purpose scanning electron microscopes except when specially designed and instrumented for automatic pattern inspection. f. Align and expose equipment for wafer production using photo-optical or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following functions: Note: X.B.I.001.b.2.f does not control photo-optical contact and proximity mask align and expose equipment or contact image transfer equipment. 1. Production of a pattern size of less than 2,5 micrometer; 2. Alignment with a precision finer than ± 0,25 micrometer (3 sigma); 3. Machine-to-machine overlay no better than ± 0,3 micrometer; or 4. A light source wavelength shorter than 400 nm; g. Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2,5 micrometer; Note: For focused, deflected-beam systems (direct write systems), see X.B.I.001.b.1.j.

h. Equipment using “lasers” for direct write on wafers capable of producing patterns less than 2,5 micrometer. 3. Equipment for the assembly of integrated circuits, as follows: a. 'Stored program controlled' die bonders having all of the following characteristics: 1. Specially designed for “hybrid integrated circuits”; 2. X-Y stage positioning travel exceeding 37,5 x 37,5 mm; and 3. Placement accuracy in the X-Y plane of finer than ± 10 micrometer; b. 'Stored program controlled' equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders); c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 and that have a throughput equal to or more than one package per minute. Note: X.B.I.001.b.3 does not control general purpose resistance type spot welders. 4. Filters for clean rooms capable of providing an air environment of 10 or less particles of 0,3 micrometer or smaller per 0,02832 m3 and filter materials therefor. Technical Note: For the purpose of X.B.I.001, 'stored program controlled' is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Equipment may be 'stored program controlled' whether the electronic storage is internal or external to the equipment. X.B.I.002Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor. a.Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor controlled by 3A001 or X.A.I.001; b.Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment: Note: X.B.I.002.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices. 1. 'Stored program controlled' inspection equipment for the automatic detection of defects, errors or contaminants of 0,6 micrometer or less in or on processed wafers, substrates, other than printed circuit boards or chips, using optical image acquisition techniques for pattern comparison; Note: X.B.I.002.b.1 does not control general purpose scanning electron microscopes, except when specially designed and instrumented for automatic pattern inspection. 2. Specially designed 'stored program controlled' measuring and analysis equipment, as follows: a. Specially designed for the measurement of oxygen or carbon content in semiconductor materials; b. Equipment for line width measurement with a resolution of 1 micrometer or finer;

c. Specially designed flatness measurement instruments capable of measuring deviations from flatness of 10 micrometer or less with a resolution of 1 micrometer or finer. 3. 'Stored program controlled' wafer probing equipment having any of the following characteristics: a. Positioning accuracy finer than 3,5 micrometer; b. Capable of testing devices having more than 68 terminals; or c. Capable of testing at a frequency exceeding 1 GHz; 4. Test equipment as follows: a. 'Stored program controlled' equipment specially designed for testing discrete semiconductor devices and unencapsulated dice, capable of testing at frequencies exceeding 18 GHz; Technical Note: Discrete semiconductor devices include photocells and solar cells. b. 'Stored program controlled' equipment specially designed for testing integrated circuits and “electronic assemblies” thereof, capable of functional testing: 1. At a 'pattern rate' exceeding 20 MHz; or 2. At a 'pattern rate' exceeding 10 MHz but not exceeding 20 MHz and capable of testing packages of more than 68 terminals. Notes: X.B.I.002.b.4.b does not control test equipment specially designed for testing: 1. Memories; 2. “Assemblies” or a class of “electronic assemblies” for home and entertainment applications; and 3. Electronic components, “electronic assemblies” and integrated circuits not controlled by 3A001 or X.A.I.001 provided such test equipment does not incorporate computing facilities with “user accessible programmability”. Technical Note: For purposes of X.B.I.002.b.4.b, 'pattern rate' is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed. c. Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1 200 nm, using 'stored program controlled' measurements or computer aided evaluation and having any of the following characteristics: 1. Using scanning light spot diameters of less than 0,12 mm; 2. Designed for measuring photosensitive performance parameters and for evaluating frequency response, modulation transfer function, uniformity of responsivity or noise; or 3. Designed for evaluating arrays capable of creating images with more than 32 x 32 line elements;

5. Electron beam test systems designed for operation at 3 keV or below, or “laser” beam systems, for non-contactive probing of powered-up semiconductor devices having any of the following: a. Stroboscopic capability with either beam blanking or detector strobing; b. An electron spectrometer for voltage measurements with a resolution of less than 0,5 V; or c. Electrical tests fixtures for performance analysis of integrated circuits; Note: X.B.I.002.b.5 does not control scanning electron microscopes, except when specially designed and instrumented for non-contactive probing of a powered-up semiconductor device. 6. 'Stored program controlled' multifunctional focused ion beam systems specially designed for manufacturing, repairing, physical layout analysis and testing of masks or semiconductor devices and having either of the following characteristics: a. Target-to-beam position feedback control precision of 1 micrometer or finer; or b. Digital-to-analog conversion accuracy exceeding 12 bit; 7. Particle measuring systems employing “lasers” designed for measuring particle size and concentration in air having both of the following characteristics: a. Capable of measuring particle sizes of 0,2 micrometer or less at a flow rate of 0,02832 m3 per minute or more; and b. Capable of characterizing Class 10 clean air or better. Technical Note: For the purpose of X.B.I.002, 'stored program controlled' is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Equipment may be 'stored program controlled' whether the electronic storage is internal or external to the equipment. X.C.I.001Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 193 nm. X.D.I.001“Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 and X.B.I.002; or “software” specially designed for the “use” of equipment controlled by 3B001.g and 3B001.h. X.E.I.001“Technology” for the “development”, “production” or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 or X.B.I.002, or materials controlled by X.C.I.001. Category II – Computers

Note: Category II does not control goods for the personal use of the natural persons. X.A.II.001Computers, “electronic assemblies” and related equipment, not controlled by 4A001 or 4A003, and specially designed components therefor. Note: The control status of the “digital computers” and related equipment described in X.A.II.001 is determined by the control status of other equipment or systems provided: a.The “digital computers” or related equipment are essential for the operation of the other equipment or systems; b.The “digital computers” or related equipment are not a “principal element” of the other equipment or systems; and N.B.1:The control status of “signal processing” or “image enhancement” equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the “principal element” criterion. N.B.2:For the control status of “digital computers” or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications) . c.The “technology” for the “digital computers” and related equipment is determined by 4E. a.Electronic computers and related equipment, and “electronic assemblies” and specially designed components therefor, rated for operation at an ambient temperature above 343 K (70°C); b.“Digital computers”, including equipment of “signal processing” or image enhancement”, having an “Adjusted Peak Performance” (“APP”) equal to or greater than 0,0128 Weighted TeraFLOPS (WT); c.“Electronic assemblies” that are specially designed or modified to enhance performance by aggregation of processors, as follows: 1.Designed to be capable of aggregation in configurations of 16 or more processors; 2.Not used; Note 1:X.A.II.001.c applies only to “electronic assemblies” and programmable interconnections with a “APP” not exceeding the limits in X.A.II.001.b, when shipped as unintegrated “electronic assemblies”. It does not apply to “electronic assemblies” inherently limited by nature of their design for use as related equipment controlled by X.A.II.001.k. Note 2:X.A.II.001.c does not control any “electronic assembly” specially designed for a product or family of products whose maximum configuration does not exceed the limits of X.A.II.001.b. d.Not used; e.Not used; f.Equipment for “signal processing” or “image enhancement” having an “Adjusted Peak Performance” (“APP”) equal to or greater than 0,0128 Weighted TeraFLOPS WT; g.Not used; h.Not used;

i.Equipment containing 'terminal interface equipment' exceeding the limits in X.A.III.101; Technical Note: For the purpose of X.A.II.001.i, 'terminal interface equipment' means equipment at which information enters or leaves the telecommunication system, e.g. telephone, data device, computer, etc. j.Equipment specially designed to provide external interconnection of “digital computers” or associated equipment that allows communications at data rates exceeding 80 Mbyte/s. Note:X.A.II.001.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, “network access controllers” or 'communication channel controllers'. Technical Note: For the purpose of X.A.II.001.j, 'communication channel controllers' is the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access. k.“Hybrid computers” and “electronic assemblies” and specially designed components therefor containing analog-to-digital converters having all of the following characteristics: 1.32 channels or more; and 2.A resolution of 14 bit (plus sign bit) or more with a conversion rate of 200 000 Hz or more. X.D.II.001“Program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for “real-time processing” equipment. a.“Program” proof and validation “software” using mathematical and analytical techniques and designed or modified for “programs” having more than 500 000 “source code” instructions; b.“Software” allowing the automatic generation of “source codes” from data acquired on line from external sensors described in the Regulation (EU) 2021/821; or c.Operating system “software” specially designed for “real-time processing” equipment that guarantees a “global interrupt latency time” of less than 20 microseconds. Technical Note: For the purpose of X.D.II.001, 'global interrupt latency time' is the time taken by the computer system to recognize an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt. X.D.II.002“Software” other than that controlled in 4D001 specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101, X.A.II.001. X.E.II.001“Technology” for the “development”, “production” or “use” of equipment controlled by X.A.II.001, or “software” controlled by X.D.II.001 or X.D.II.002.

X.E.II.001“Technology” for the “development” or “production” of equipment designed for 'multi-data-stream processing'. Technical Note: For the purpose of X.E.II.001, 'multi-data-stream processing' is a microprogram or equipment architecture technique that permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as: 1. Single Instruction Multiple Data (SIMD) architectures such as vector or array processors; 2.Multiple Single Instruction Multiple Data (MSIMD) architectures; 3.Multiple Instruction Multiple Data (MIMD) architectures, including those that are tightly coupled, closely coupled or loosely coupled; or 4. Structured arrays of processing elements, including systolic arrays. Category III. Part 1 - Telecommunications X.A.III.101Telecommunication equipment. Note:Category III.Part 1 does not control goods for the personal use of the natural persons. a.Any type of telecommunications equipment, not controlled by 5A001.a, specially designed to operate outside the temperature range from 219 K (-54°C) to 397 K (124°C). b.Telecommunication transmission equipment and systems, and specially designed components and accessories therefor, having any of the following characteristics, functions or features: Note:Telecommunication transmission equipment: a.Categorized as follows, or combinations thereof: 1. Radio equipment (e.g., transmitters, receivers and transceivers); 2. Line terminating equipment; 3. Intermediate amplifier equipment; 4. Repeater equipment; 5. Regenerator equipment; 6. Translation encoders (transcoders); 7. Multiplex equipment (statistical mutiplex included);

8. Modulators/demodulators (modems); 9. Transmultiplex equipment (see CCITT Rec. G701); 10. 'Stored program controlled' digital cross-connection equipment; 11. ‘Gateways’ and bridges; 12. 'Media access units'; and b.Designed for use in single or multi-channel communication via any of the following: 1. Wire (line); 2. Coaxial cable; 3. Optical fibre cable; 4. Electromagnetic radiation; or 5. Underwater acoustic wave propagation. 1.Employing digital techniques, including digital processing of analog signals, and designed to operate at a “digital transfer rate” at the highest multiplex level exceeding 45 Mbit/s or a “total digital transfer rate” exceeding 90 Mbit/s; Note: X.A.III.101.b.1 does not control equipment specially designed to be integrated and operated in any satellite system for civil use. 2.Modems using the ‘bandwidth of one voice channel’ with a 'data signalling rate' exceeding 9 600 bits per second; 3.Being 'stored program controlled' digital cross connect equipment with “digital transfer rate” exceeding 8,5 Mbit/s per port. 4.Being equipment containing any of the following: a."Network access controllers" and their related common medium having a “digital transfer rate” exceeding 33 Mbit/s; or b.“Communication channel controllers” with a digital output having a 'data signalling rate' exceeding 64 000 bit/s per channel; Note: If any uncontrolled equipment contains a “network access controller”, it cannot have any type of telecommunications interface, except those described in, but not controlled by X.A.III.101.b.4. 5.Employing a “laser” and having any of the following characteristics:

a.A transmission wavelength exceeding 1 000 nm; or b.Employing analog techniques and having a bandwidth exceeding 45 MHz; c.Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques); d.Employing wavelength division multiplexing techniques; or e.Performing “optical amplification”; 6.Radio equipment operating at input or output frequencies exceeding: a. 31 GHz for satellite-earth station applications; or b. 26,5 GHz for other applications; Note: X.A.III.101.b.6 does not control equipment for civil use when conforming with an International Telecommunications Union (ITU) allocated band between 26,5 GHz and 31 GHz. 7. Being radio equipment employing any of the following: a.Quadrature-amplitude-modulation (QAM) techniques above level 4 if the “total digital transfer rate” exceeds 8,5 Mbit/s; b.QAM techniques above level 16 if the “total digital transfer rate” is equal to or less than 8,5 Mbit/s; c.Other digital modulation techniques and having a 'spectral efficiency' exceeding 3 bit/s/Hz; or d.Operating in the 1,5 MHz to 87,5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal. Notes: 1.X.A.III.101.b.7 does not control equipment specially designed to be integrated and operated in any satellite system for civil use. 2.X.A.III.101.b.7 does not control radio relay equipment for operation in an International Telecommunications Union (ITU) allocated band: a.Having any of the following: 1. Not exceeding 960 MHz; or 2.With a “total digital transfer rate” not exceeding 8,5 Mbit/s; and

b. Having a “spectral efficiency” not exceeding 4 bit/s/Hz. c.'Stored program controlled' switching equipment and related signalling systems, having any of the following characteristics, functions or features, and specially designed components and accessories therefor: Note:Statistical multiplexers with digital input and digital output which provide switching are treated as 'stored program controlled' switches. 1.“Data (message) switching” equipment or systems designed for “packet-mode operation”, electronic assemblies and components therefor, other than those specified in the CML or in Regulation (EU) 2021/821. 2.Not used; 3.Routing or switching of 'datagram' packets; Note:X.A.III.101.c.3 does not control networks restricted to using only ‘network access controllers’ or to ‘network access controllers’ themselves. 4.Not used; 5.Multi-level priority and pre-emption for circuit switching; Note:X.A.III.101.c.5 does not control single-level call preemption. 6.Designed for automatic hand-off of cellular radio calls to other cellular switches or automatic connection to a centralized subscriber data base common to more than one switch; 7.Containing “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8,5 Mbit/s per port. 8.'Common channel signalling' operating in either non-associated or quasi-associated mode of operation; 9.‘Dynamic adaptive routing’; 10.Being packet switches, circuit switches and routers with ports or lines exceeding any of the following: a.A “data signalling rate” of 64 000 bit/s per channel for a ‘communications channel controller’; or Note: X.A.III.101.c.10.a does not control multiplex composite links composed only of communication channels not individually controlled by X.A.III.101.b.1. b.A “digital transfer rate” of 33 Mbit/s for a ‘network access controller’ and related common media; Note:X.A.III.101.c.10 does not control packet switches or routers with ports or lines not exceeding the limits in X.A.III.101.c.10. 11.“Optical switching”;

12.Employing ‘Asynchronous Transfer Mode’ (‘ATM’) techniques. d.Optical fibres and optical fibre cables of more than 50 m in length designed for single mode operation; e.Centralized network control having all of the following characteristics: 1.Receives data from the nodes; and 2.Process these data in order to provide control of traffic not requiring operator decisions, and thereby performing ‘dynamic adaptive routing’; Note 1:X.A.III.101.e does not include cases of routing decisions taken on predefined information. Note 2:X.A.III.101.e does not preclude control of traffic as a function of predictable statistical traffic conditions. f.Phased array antennas, operating above 10,5 GHz, containing active elements and distributed components, and designed to permit electronic control of beam shaping and pointing, except for landing systems with instruments meeting International Civil Aviation Organization (ICAO) standards (microwave landing systems ()). g.Mobile communications equipment other than those specified in the CML or in Regulation (EU) 2021/821, electronic assemblies and components therefor; or h.Radio relay communications equipment designed for use at frequencies equal to or exceeding 19,7 GHz and components therefor, other than those specified in the CML or in Regulation (EU) 2021/821. Technical Note: For the purpose of X.A.III.101: 1)‘Asynchronous transfer mode’ (‘ATM’) is a transfer mode in which the information is organized into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate. 2)‘Bandwidth of one voice channel’ is data communication equipment designed to operate in one voice channel of 3 100 Hz, as defined in CCITT Recommendation G.151. 3)‘Communications channel controller’ is the physical interface that controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access. 4)‘Datagram’ is a self-contained, independent entity of data carrying sufficient information to be routed from the source to the destination data terminal equipment without reliance on earlier exchanges between this source and destination data terminal equipment and the transporting network. 5)‘Fast select’ is a facility applicable to virtual calls that allows data terminal equipment to expand the possibility to transmit data in call set-up and clearing ‘packets’ beyond the basic capabilities of a virtual call. 6)‘Gateway’ is the function, realized by any combination of equipment and “software”, to carry out the conversion of conventions for representing, processing or communicating information used on one system into the corresponding, but different conventions used in another system. 7)‘Integrated Services Digital Network’ (ISDN) is a unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber. 8)‘Packet’ is a group of binary digits including data and call control signals that is switched as a composite whole. The data, call control signals, and possible error control information are arranged in a specified format. 9)'Common channel signalling' means the transmission of control information (signalling) via a separate channel than that used for the messages. The signalling channel usually controls multiple message channels.

10)'Data signalling rate' means the rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronization functions are to be included. 11) 'Dynamic adaptive routing' means Automatic rerouting of traffic based on sensing and analysis of current actual network conditions 12)'Media access unit' means equipment that contains one or more communication interfaces (“network access controller”, “communications channel controller”, modem or computer bus) to connect terminal equipment to a network. 13)'Spectral effiency' is the “digital transfer rate” [bits/s] / 6 dB spectrum bandwidth in Hz. 14)'Stored program controlled' is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Note: Equipment may be 'stored program controlled'