Proposal for a Council Regulation concerning restrictive measures against Iran
Date: 2007-03-13
Institutions: European Commission
Subjects: Iran, economic sanctions, international sanctions, natural person, nuclear non-proliferation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 13.3.2007 
COM(2007) 109 final 

Proposal for a 

COUNCIL REGULATION 

concerning restrictive measures against Iran 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

(1) 

On 23 December 2006, the UN Security Council adopted Resolution 1737 (2006) on 
Iran.  That  Resolution  is  based  on  Chapter  VII  of  the  UN  Charter  and  provides  for  a 
number  of  restrictive  measures  in  an  effort  to  ensure  that  Iran  comply  with  the  UN 
Security  Council’s  decision  that  it  has  to  suspend  its  proliferation  sensitive  nuclear 
activities.  On  22  January  2007, 
the  Council  (External  Relations)  discussed 
implementation of Resolution 1737 and concluded:  

“To ensure effective implementation of measures in UNSCR 1737 while remaining 
consistent  with  EU  policy,  and  recalling  the  EU  policy  not  to  sell  arms  to  Iran, 
Ministers agreed that the EU should prevent the export to and import from Iran of the 
goods  on  the  NSG  and  MTCR  lists;  ban  transactions  with  and  freeze  the  assets  of 
individuals and entities covered by the criteria in UNSCR 1737; ban travel to the EU 
of  the  individuals  covered  by  these  criteria;  and  take  measures  to  prevent  Iranian 
nationals from studying proliferation sensitive subjects within the EU.” 

(2) 

Common Position  2007/140/CFSP of  27 February  2007  provides  for  implementation 
of  the  restrictive  measures  of  Resolution  1737  in  line  with  the  Council  conclusions. 
These measures comprise: 

– 

– 

– 

– 

– 

– 

– 

a ban on exports of the goods and technology included in the NSG and MTCR 
lists, and on other goods and technology which could contribute to enrichment-
related,  reprocessing,  or  heavy-water-related  activities,  or  to  the  development 
of nuclear weapon delivery systems, as determined by the UN Security Council 
or the Sanctions Committee implementing Resolution 1737, as well as a ban on 
the provision of related services, 

restrictions  on  exports  of  other  goods  and  technology  meeting  the  criteria  set 
out  in  paragraphs  4(b)  and  (c)  of  Resolution  1737,  and  on  the  provision  of 
related services, 

a ban on investment related to such goods and technology, 

a ban on procurement of such goods and technology from Iran, 

the  freezing  of  funds  and  economic  resources  of  persons,  entities  and  bodies 
engaged 
in,  directly  associated  with  or  providing  support  for  Iran’s 
proliferation sensitive nuclear activities or the development of nuclear weapon 
delivery systems, 

restrictions on admission of the natural persons referred to above, and  

restrictions  to  prevent  Iranian  nationals  from  studying  proliferation  sensitive 
subjects in the EU. 

(3) 

The restrictive measures concerning goods and technology, and the freezing of funds 
and economic resources fall within the scope of the Treaty and cannot be adequately 
applied on the basis of existing Community legislation. 

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(4)  Member  States  can  apply  the  restrictions  on  admission  on  the  basis  of  existing 
legislation, including Regulation (EC) No 539/2001 listing  the third countries whose 
nationals must be in possession of visas when crossing the external borders and those 
whose nationals are exempt from that requirement. By means of refusal of visas and of 
admission,  accompanied,  where  applicable,  by  cancellation  of  visas  granted  and 
subsequent  expulsion,  where  needed,  they  may  prevent  Iranian  nationals  from 
studying in the EU. 

(5) 

The Commission proposes, therefore, to implement all restrictive measures set out in 
UN Security Council Resolution 1737 (2006), with the exception of the restrictions on 
admission  and  studying  proliferation  sensitive  subjects,  by  means  of  a  new  Council 
Regulation. 

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Proposal for a 

COUNCIL REGULATION 

concerning restrictive measures against Iran 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Articles 
60 and 301 thereof, 

Having regard to Common Position 2007/140/CFSP concerning  restrictive measures against 
Iran 1, 

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

On  23  December  2006,  the  UN  Security  Council  adopted  Resolution  1737  (2006) 
deciding  that  Iran  should  without  further  delay  suspend  all  enrichment-related  and 
reprocessing  activities,  as  well  as  work  on  all  heavy  water-related  projects,  and  take 
certain  steps  required  by  the  IAEA  Board  of  Governors,  which  the  UN  Security 
Council  deems  essential  to  build  confidence  in  the  exclusively  peaceful  purpose  of 
Iran’s  nuclear  programme.  In  order  to  persuade  Iran  to  comply  with  this  mandatory 
decision,  the  UN  Security  Council  decided  that  all  Member  States  of  the  United 
Nations should apply a number of restrictive measures. 

In line with Resolution 1737 (2006), Common  Position  2007/140/CFSP  provides  for 
certain  restrictive  measures  against  Iran.  These  measures  include  restrictions  on 
exports  and  imports  of  goods  and  technology  which  could  contribute  to  Iran’s 
the 
enrichment-related,  reprocessing,  or  heavy  water-related  activities,  or 
development  of  nuclear  weapon  delivery  systems,  a  ban  on  the  provision  of  related 
services,  a  ban  on  investment  related  to  such  goods  and  technology,  a  ban  on 
procurement  of  relevant  goods  and  technology  from  Iran,  as  well  as  the  freezing  of 
funds  and  economic  resources  of  persons,  entities  and  bodies  engaged  in,  directly 
associated with or providing support for such activities or development.  

to 

(3) 

These  measures  fall  within  the  scope  of  the  Treaty  establishing  the  European 
Community and, therefore, notably with a view to ensuring their uniform application 
by  economic  operators  in  all  Member  States,  Community  legislation  is  necessary  in 
order to implement them as far as the Community is concerned. 

(4) 

This  Regulation  should  derogate  from  existing  Community  legislation  that  provides 
for  general  rules  on  exports  to,  and  imports  from,  third  countries,  and  in  particular 

1 

OJ L 61, 28.2.2007, p. 49. 

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from Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community 
regime  for  the  control  of  exports  of  dual-use  items  and  technology2;  a  large  part  of 
these items and technology should be covered by this Regulation. 

(5) 

For reasons of expediency, the Commission should be empowered to publish the list of 
banned  goods  and  technology  and  any  amendments  to  it  that  will  be  adopted  by  the 
Sanctions Committee or the UN Security Council, and to amend the lists of persons, 
entities and bodies whose funds and economic resources should be frozen. 

(6)  Member  States  should  determine  the  penalties  applicable  to  infringements  of  the 
provisions  of  this  Regulation.  The  penalties  provided  for  should  be  proportionate, 
effective and dissuasive. 

(7) 

In order to ensure that the measures provided for in this Regulation are effective, this 
Regulation should enter into force immediately,  

HAS ADOPTED THIS REGULATION: 

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

Article 1 

(a) 

(b) 

(c) 

(d) 

"Sanctions  Committee"  means:  the  Committee  of  the  UN  Security  Council  which 
was  established  pursuant  to  paragraph  18  of  UN  Security  Council  Resolution  1737 
(2006); 

"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; 

“ownership of a legal person, entity or body” means possession of 50 % or more of 
the  proprietary  rights  of  a  legal  person,  entity  or  body,  or  of  a  majority  interest 
therein, 

“control of a legal person, entity or body” exists if a natural or legal person, entity or 
body 

(i) 

has  the  right  to  appoint  or  remove  a  majority  of  the  members  of  the 
administrative, management or supervisory body of such legal person, entity or 
body; 

(ii)  has appointed solely as a result of the exercise of its voting rights a majority of 
the  members  of  the  administrative,  management  or  supervisory  bodies  of  a 
legal  person,  entity  or  body  who  have  held  office  during  the  present  and 
previous financial year; 

2 

OJ  L  159,  30.6.2000,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  394/2006  (OJ  L  74, 
13.3.2006, p. 1). 

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(iii)  controls alone, pursuant to an agreement with other shareholders in or members 
of a legal person, entity or body, a majority of shareholders' or members' voting 
rights in that legal person, entity or body; 

(iv)  has  the  right  to  exercise  a  dominant  influence  over  a  legal  person,  entity  or 
body,  pursuant  to  an  agreement  entered  into  with  that  legal  person,  entity  or 
body, or to a provision in its Memorandum or Articles of Association, where 
the law governing that legal person, entity or body permits its being subject to 
such agreement or provision; 

(v)  has the power to exercise the right to exercise a dominant influence referred to 

in point (d), without being the holder of that right;  

(vi)  has the right to use all or part of the assets of a legal person, entity or body; 

(vii)  manages the business of a legal person, entity or body on a unified basis, while 

publishing consolidated accounts; or 

(viii)  shares jointly and severally the financial liabilities of a legal person, entity or 

body, or guaranteeing them. 

(e) 

"funds" means financial assets and benefits of every kind, including but not limited 
to: 

(i) 

cash,  cheques,  claims  on  money,  drafts,  money  orders  and  other  payment 
instruments; 

(ii)  deposits with financial institutions or other entities, balances on accounts, debts 

and debt obligations; 

(iii)  publicly- and privately-traded securities and debt instruments, including stocks 
and  shares,  certificates  representing  securities,  bonds,  notes,  warrants, 
debentures and derivatives contracts; 

(iv) 

interest, dividends or other income on or value accruing from or generated by 
assets; 

(v) 

credit,  right  of  set-off,  guarantees,  performance  bonds  or  other  financial 
commitments; 

(vi) 

letters of credit, bills of lading, bills of sale; and 

(vii)  documents evidencing an interest in funds or financial resources; 

(f) 

(g) 

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

"economic  resources"  means  assets  of  every  kind,  whether  tangible  or  intangible, 
movable or immovable, which are not funds but can be used to obtain funds, goods 
or services; 

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(h) 

(i) 

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

"territory of the Community" means the territories of the Member States to which the 
Treaty  is  applicable,  under  the  conditions  laid  down  in  the  Treaty,  including  their 
airspace. 

1. 

It shall be prohibited: 

Article 2 

(a) 

to  sell,  supply,  transfer  or  export,  directly  or  indirectly,  the  goods  and 
technology, including software, listed in Annex I, whether or not originating in 
the Community, to any natural or legal person, entity or body in, or for use in 
Iran; 

(b) 

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

2. 

Annex I shall include: 

(a) 

all goods and technology, including software, included in the Nuclear Suppliers 
Group and Missile Technology Control Regime lists3, and 

(b)  other  goods  and  technology,  including  software,  determined  by  the  Sanctions 
Committee or the UN Security Council as goods and technology which could 
contribute  to  Iran’s  enrichment-related,  reprocessing,  or  heavy  water-related 
activities, or to the development of nuclear weapon delivery systems. 

Annex I shall not include goods and technology included in the EU Common List of 
Military Equipment4 . 

Article 3 

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

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

See UN documents S/2006/814 and S/2006/815. 
The  current  version  of  the  EU  Common  List  of  Military  Equipment  has  been  published  in  OJ  C  66, 
17.3.2006, p. 1. 

1. 

2. 

3 
4 

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3. 

4. 

5. 

The  competent  authorities  of  the  Member  States,  as  listed  in  Annex  III,  shall  not 
grant  any  authorisation  for  any  sale,  supply,  transfer  or  export  of  the  goods  or 
technology included in Annex II, if there are reasonable grounds to believe that the 
sale,  supply,  transfer  or  export  concerned  would  contribute  to  one  of  the  following 
activities: 

(a) 

Iran’s enrichment-related, reprocessing or heavy water-related activities, 

(b) 

the development of nuclear weapon delivery systems by Iran, or  

(c) 

the pursuit by Iran of activities related to other topics of concern to the IAEA. 

The  competent  authorities  of  the  Member  States,  as  listed  in  Annex  III,  acting  in 
accordance with this Regulation, may refuse to grant an export authorisation and may 
annul,  suspend,  modify  or  revoke  an  export  authorisation  which  they  have  already 
granted.  Where  they  refuse,  annul,  suspend,  substantially  limit  or  revoke  an 
authorisation,  or  when  they  have  determined  that  the  export  of  a  controlled  item  is 
not to be authorised, they shall notify the competent authorities of the other Member 
States  and  the  Commission  thereof  and  share  the  relevant  information  with  them, 
while  complying  with  the  provisions  concerning  the  confidentiality  of  such 
information  of  Council  Regulation  (EC)  No  515/97  of  13  March  1997  on  mutual 
assistance  between  the  administrative  authorities  of  the  Member  States  and 
cooperation between the latter and the Commission to ensure the correct application 
of the law on customs and agricultural matters. 5 

Those  notifications  will  be  made  via  secure  electronic  means  for  the  exchange  of 
sensitive  information  available  to  Member  States  and  the  Commission.  Member 
States  shall  review  denials  of  authorisations  notified  under  this  paragraph  within 
three  years  of  their  notification  and  revoke  them,  amend  them  or  renew  them. 
Denials which are not revoked shall remain valid. 

Before  a  Member  State  grants  an  export  authorisation  which  has  been  denied  by 
another Member State or States for an essentially identical transaction (meaning an 
essentially  identical  end  use  or  an  item  with  essentially  identical  parameters  or 
the  same  end  user/consignee  or  wider  entity 
technical  characteristics 
encompassing the same end user) and for which the denial is still valid, it shall first 
consult the Member State or States which issued the valid denial(s) as provided for in 
paragraph 4, and will inform the Commission of the launching of those consultations. 
If following such consultations, the Member State intends to grant an authorisation, it 
shall  inform  the  other  Member  States  and  the  Commission,  providing  all  relevant 
information to explain the intention. 

to 

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

Article 4 

5 

OJ  L  82,  22.3.1997,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  807/2003  (OJ  L  122, 
16.5.2003, p. 36). 

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1. 

It shall be prohibited: 

Article 5 

(a) 

(b) 

to provide, directly or indirectly, technical assistance related to the goods and 
technology  listed  in  Annexes  I  and  II,  and  to  the  provision,  manufacture, 
maintenance and use of goods listed in Annexes I and II, to any natural or legal 
person, entity or body in, or for use in, Iran; 

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

(c) 

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

2. 

An authorisation shall be required for the following actions: 

(a) 

the  acquisition  of  a  participation  in,  the  extension  of  an  existing  participation 
in, and the acquisition of  

(i) 

ownership of real estate located in Iran, other than real estate for use as a 
private residence, or  

(ii)  ownership or control of a legal person, entity, body located, registered or 

incorporated in Iran, 

(b) 

(c) 

creating a legal person, entity or body in cooperation with one or more natural 
or legal persons, entities or bodies having the nationality of Iran; 

concluding  a  joint  venture  or  cooperation  agreement,  a  technology  licensing 
agreement  or  an  exclusive  dealership  or  agency  agreement  with  one  or  more 
natural or legal persons, entities or bodies having the nationality of Iran. 

3. 

The  competent  authorities  of  the  Member  States,  as  listed  in  Annex  III,  shall  not 
grant  any  authorisation  for  financing  or  assistance  related  to  goods  and  technology 
listed  in  Annex  II,  nor  for  any  action  referred  to  in  paragraph  2,  unless  they  are 
satisfied  that  the  action  will  neither  contribute  to  the  manufacture,  sale,  purchase, 
transfer, export, import or transport of goods and technology listed in Annexes I and 
II, nor facilitate the use of such goods and technology. 

Article 6 

Without prejudice to Article 3(3) and 5(3), the competent authorities of the Member States, as 
listed in Annex III, may grant, under such terms and conditions as they deem appropriate, an 
authorisation for a transaction referred to in Articles 2, 3 or 5, if all the following conditions 
are fulfilled: 

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(a) 

(b) 

(c) 

1. 

2. 

3. 

4. 

the Sanctions Committee has determined in advance and on a case-by-case basis that 
the  transaction  would  clearly  not  contribute  to  the  development  of  technologies  in 
support of Iran’s proliferation sensitive nuclear activities, nor to the development of 
nuclear weapon development delivery systems, 

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

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

Article 7 

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

All  funds  and  economic  resources  belonging  to,  owned,  held  or  controlled  by  the 
persons, entities and bodies listed in Annex V shall be frozen. Annex V shall include 
natural and legal persons, entities and bodies who, without meeting the condition for 
inclusion  in  Annex  IV,  have  been  designated  by  the  Council  pursuant  to  Common 
Position 2007/140/CFSP, as 

(a) 

being  engaged  in,  directly  associated  with  or  providing  support  for  Iran’s 
proliferation sensitive nuclear activities, 

(b)  being  engaged  in,  directly  associated  with  or  providing  support  for  Iran’s 

development of nuclear weapon delivery systems, 

(c) 

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

(d)  being a legal person, entity or body owned or controlled by a person, entity or 

body referred to under (a) or (b). 

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

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

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Article 8 

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

(a) 

(b) 

(c) 

(d) 

(e) 

the  funds  or  economic  resources  are  the  subject  of  a  judicial,  administrative  or 
arbitral lien established prior to 23 December 2006 or of a judicial, administrative or 
arbitral judgement rendered prior to that date; 

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

the lien or judgement is not for the benefit of a person, entity or body listed in Annex 
IV or V; 

recognising  the  lien  or  judgement  is  not  contrary  to  public  policy  in  the  Member 
State concerned; and 

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

Article 9 

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

(a) 

the competent authority concerned has determined that: 

(i) 

(ii) 

the funds or economic resources shall be used for a payment by a person, entity 
or body listed in Annex IV or V; 

the contract, agreement or obligation will neither contribute to the manufacture, 
sale,  purchase,  transfer,  export,  import  or  transport  of  goods  and  technology 
listed in Annexes I and II, nor facilitate the use of such goods and technology; 
and 

(iii) 

the payment is not in breach of Article 7(3); 

(b) 

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

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(c) 

1. 

2. 

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

Article 10 

This  Article  applies  by  way  of  derogation  from  Article  7  and  does  not  apply  to 
payments by a person, entity or body listed in Annex IV or V, which are due under a 
contract,  agreement  or  obligation  that  was  concluded  by,  or  arose  for  the  person, 
entity  or  body  concerned,  prior  to  the  date  on  which  that  person,  entity  or  body 
concerned has been designated by the Sanctions Committee, the Security Council or 
the Council. 

The  competent  authorities  of  the  Member  States,  as  listed  in  Annex  III,  may 
authorise,  under  such  conditions  as  they  deem  appropriate,  the  release  of  certain 
frozen  funds  or  economic  resources,  or  the  making  available  of  certain  funds  or 
economic resources, if the following conditions are met: 

(a) 

the competent authority concerned has determined that the funds or economic 
resources are: 

(i) 

necessary to satisfy the basic needs of persons listed in Annex IV or V, 
and their dependent family members, including payments for foodstuffs, 
rent  or  mortgage,  medicines  and  medical  treatment,  taxes,  insurance 
premiums, and public utility charges; 

(ii) 

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

(iii) 

intended  exclusively  for  payment  of  fees  or  service  charges  for  routine 
holding or maintenance of frozen funds or economic resources; and 

(b) 

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

3. 

The  competent  authorities  of  the  Member  States,  as  listed  in  Annex  III,  may 
authorise  the  release  of  certain  frozen  funds  or  economic  resources  or  the  making 
available of certain frozen funds or economic resources, after having determined that 
the funds or economic resources are necessary for extraordinary expenses, provided 
that  

(a) 

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

EN 

12 

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(b) 

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

The relevant competent authority shall inform the other competent authorities of the 
Member States and the Commission of any authorisation granted under paragraphs 2 
and 3. 

Article 11 

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

4. 

1. 

2. 

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

(a) 

interest or other earnings on those accounts; or 

(b)  payments due under contracts, agreements or obligations that were concluded 

or arose prior to 23 December 2006;  

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

Article 12 

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

Article 13 

1. 

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

(a) 

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

EN 

13 

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(b) 

cooperate  with  the  competent  authorities,  as  listed  in  Annex  III,  in  any 
verification of this information. 

2. 

3. 

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

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

Article 14 

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

1. 

The Commission shall: 

Article 15 

(a) 

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

(b) 

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

(c) 

(d) 

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

amend  Annex  V  on  the  basis  of  decisions  taken  in  respect  of  Annex  II  to 
Common Position 2007/140/CFSP. 

The  Commission  shall,  where  possible,  notify  Regulations  made  pursuant  to 
paragraph  1(d)  to  the  persons,  groups  and  entities  listed  in  those  Regulations, 
together with the Council's statement of reasons for their inclusion in the Annex to 
Common  Position  2007/140/CFSP.  Notifications  concerning  new  listings  shall  take 
place  after  publication  of  the  relevant  Regulation  in  the  Official  Journal  of  the 
European Union. 

Article 16 

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

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

2. 

1. 

2. 

EN 

14 

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This Regulation shall apply: 

Article 17 

(a) 

(b) 

(c) 

(d) 

(e) 

within the territory of the Community; 

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

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

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

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

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

Article 18 

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

Done at Brussels, […] 

For the Council 
The President 
[…] 

EN 

15 

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ANNEX I 

Goods and technology referred to in Article 2 

Note:  

Where possible, the items in this Annex are defined by reference to the list of dual-use items 
set out Annex I to Regulation (EC) No 1334/2000, as amended by Council Regulation (EC) 
No 394/2006. If an item in this Annex is not identical to an item included in that Annex, the 
reference number taken from the list of dual-use items is preceded by ‘ex’ and the description 
of the goods or technology found in this Annex shall be decisive. 

… 

… 

I.A.  Goods 

I.B.  Technology 

EN 

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ANNEX II 

Goods and technology referred to in Article 3 

Note:  

Where possible, the items in this Annex are defined by reference to the list of dual-use items 
set out Annex I to Regulation (EC) No 1334/2000, as amended by Council Regulation (EC) 
No  394/2006.  In  the  absence  of  an  explicit  statement  to  the  contrary,  a  reference  in  the 
column ‘Related item from Regulation (EC) No 1334/2000’ means that the characteristics of 
the  item  described  in  this  Annex  lie  outside  the  parameters  controlled  by  the  dual-use  item 
referred to. 

II.A.  Goods 

A0 

Nuclear Materials, Facilities, and Equipment 

No 

Description 

Related 
item 
from 
Regulation 
(EC) 
No 
1334/2000 

II.A0.001 

Cathode lamps as follows: 

a. Iodine hollow cathode lamps with windows in pure silicon 
or quartz 

b. Uranium hollow cathode lamps 

II.A0.002 

Faraday isolators in the range 500 nm – 650 nm 

II.A0.003 

Optical  grating  in  the  range  500  nm  –  650  nm,  whether 
holographic blazed or not 

II.A0.004 

Optical  fibres  in  the  range  500-650  nm  coated  with  anti-
reflecting  layers  in  the  range  500-650  nm  and  having  core 
diameter greater than 0.4 mm but not exceeding 2 mm 

- 

- 

- 

- 

II.A0.005 

Internal  parts  of  nuclear  reactors  other  than  those  defined  in 
item 0A001 

0A001 

II.A0.006 

Seals  for  reactor  vessels,  and  equipment  for  sealing,  testing 
and measuring of such seals.  

0A001 

Note:  This  item  does  not  control  equipment  defined  in  item 
0A001 

EN 

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II.A0.007 

Instruments for detecting and measuring ionising radiation  

0A001.j 
1A004.c 

Note:  this  item  does  not  control  the  instruments  defined  in 
items 0A001.j and 1A004.c 

II.A0.008 

Bellows-sealed  valves  made  of  aluminium  alloy  or  stainless 
steel type 304 or 316 L.  

0B001.c6 
2A226 

Note:  This  item  does  not  control  bellow  valves  defined  in 
0B001.c.6 and 2A226 

II.A0.009 

II.A0.010 

II.A0.011 

Optical  components  (plane,  convex  and  concave  mirrors) 
coated  with  high  reflecting  or  controlled  multi-layers  in  the 
range 500 – 650 nm 

0B001.g 

Transparent  optics  coated  with  anti-reflecting  layers  in  the 
range  500-650  nm,  including  lens,  polarizers,  λ/2  plate,  λ/4 
plate, rotators, and laser windows in silicium or quartz. 

0B001.g 

Piping  systems,  header  systems,  pipes,  flanges,  fittings  made 
of  nickel  or  nickel  alloy  with  more  than  40  %  nickel  by 
weight.  

0B002.e, 
2B350 

Note:  this  item  does  not  control  piping  systems  and  header 
systems  defined  in  0B002.e  and  pipes  described  in  item 
2B350.h.1 

II.A0.012 

Turbomolecular  pumps  having  a  flow-rate  that  equals  or 
exceeds 400 l/s 

0B002.f.2 
2B231 

II.A0.013 

Vacuum  Roughing  pumps  having  a  volumetric  aspiration 
flowrate exceeding 200m3/h 

0B002.f.2 

II.A0.014 

Bellows sealed scroll dry compressor and vacuum pumps 

0B002.f.2 
2B231 

II.A0.015 

Shielded  enclosures  for  the  manipulation  of  radioactive 
substances (Hot cells) 

0B006 

II.A0.016 

"Natural uranium" or "depleted uranium" in the form of metal 
or alloy.  

0C001 

Note:  This  item  does  not  control  uranium  defined  in  item 
0C001. 

EN 

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A1  Materials, Chemicals, “Microorganisms” and “Toxins” 

No 

Description 

II.A1.001 

Bis(2-ethylhexyl)  phosphoric  acid  (HDEHP  or  D2HPA) 
solvent in any quantity 

II.A1.002 

Carbon fiber reinforced silicon carbide (C/SiC) materials 

II.A1.003 

Fluorine gas (Chemical Abstract Number (CAS) 7782-41-4) 

Related 
item 
from 
Regulation 
(EC) 
No 
1334/2000 

- 

- 

- 

II.A1.004 

Personal equipment for detecting ionising radiation of nuclear 
origin, including personal dosimeters  

1A004.c 

Note:  This  item  does  not  control  nuclear  detection  systems 
defined in item 1A004.c 

II.A1.005 

Electrolytic  cells  for  fluorine  production  with  an  output 
capacity greater than 100 g of fluorine per hour.  

1B225 

Note:  This  item  does  not  control  electrolytic  cells  defined  in 
item 1B225 

II.A1.006 

Detritiation equipment, including platinized catalysts and their 
substitutes 

1B231 

II.A1.007 

Aluminium  and  its  alloys  in  crude  or  semi-fabricated  form 
having either of the following characteristics: 

1C002.b.4 
1C202.a 

a. Capable of an ultimate tensile strength of 460 MPa or more 
at 293 K (20 °C); or 

b. Having a tensile strength of 415 MPa or more at 298 K (25 
°C) 

II.A1.008  Magnetic metals, of all types and of whatever form, having an 
initial  relative  permeability  of  120  000  or  more  and  a 
thickness between 0,05 and 0,1 mm 

1C003.a 

EN 

19 

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II.A1.009 

Unprocessed fluorinated compounds, as follows: 

1C009 

a. polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®), 

b. Viton fluoro-elastomers,  

c. polytetrafluoroethylene (PTFE) 

Gaskets and seals made of fluorinated compounds defined in 
item 1C009 or in this item. 

II.A1.010 

"Fibrous or filamentary materials" or prepregs, as follows: 

a. Carbon or aramid ΄fibrous or filamentary materials΄ having 
both of the following characteristics: 

1. A ΄΄specific modulus΄΄ of 10 × 106 m or greater; and 

2. A ΄΄specific tensile strength΄΄ of 17 × 104 m or greater; 

b. Glass ΄fibrous or filamentary materials΄ 

Note:  This  item  does  not  control  fibrous  or  filamentary 
materials defined in items 1C010.b, 1C210.a and 1C210.b 

1C010.b, 
1C210 

II.A1.011 

΄΄Fibrous  or  filamentary  materials΄΄  which  may  be  used  in 
organic  ΄΄matrix΄΄,  metallic  ΄΄matrix΄΄  or  carbon  ΄΄matrix΄΄ 
΄΄composite΄΄ structures or laminates, as follows: 

1C010.e, 
1C210 

Resin-impregnated  or  pitch-impregnated  fibres  (prepregs), 
metal  or  carbon-coated  fibres  (preforms)  or  ΄΄carbon  fibre 
preforms΄΄, including para-aramids (especially KEVLAR®) 

Note:  This  item  does  not  control  fibrous  or  filamentary 
materials defined in item 1C010.e  

II.A1.012  Maraging steel capable of an ultimate tensile strength of 2 050 
MPa  or  more,  at  293  K  (20  ºC)  in  forms  in  which  all  linear 
dimensions are 75 mm or less 

1C216 

EN 

20 

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II.A1.013 

Tungsten,  tantalum,  tungsten  carbide,  tantalum  carbide  and 
alloys, having both of the following characteristics: 

1C226 

a. In forms having a hollow cylindrical or spherical symmetry 
inside  diameter 
(including  cylinder  segments)  with  an 
between 50 mm and 300 mm; and 

b. A mass greater than 5 kg 

Note:  This  item  does  not  control  tungsten,  tungsten  carbide 
and alloys defined in item 1C226 

A2  Materials Processing 

No 

Description 

II.A2.001 

Vibration  test  systems  capable  of  vibrating  a  system  at  an 
acceleration  greater  than  0,1  g  rms  (root  mean  square) 
between  0,1  Hz  and  2  kHz  and  imparting  forces  equal  to  or 
greater than 50 kN, measured ΄bare table΄ 

Note:  This  item  does  not  control  vibration  test  systems 
defined in item 2B116.a 

Related 
item 
from 
Regulation 
(EC) 
No 
1334/2000 

2B116 

II.A2.002  Machine tools for grinding having positioning accuracies with 
΄΄all compensations available΄΄ equal to or less (better) than 15 
μm according to ISO 230/2 (1988) (1) or national equivalents 
along any linear axis.  

2B201.b, 
2B001.c 

Note:  This  item  does  not  control  machine  tools  for  grinding 
defined in items 2B201.b and 2B001.c 

II.A2.003 

Balancing machines designed or modified for dental or other 
medical 
following 
and  having 
characteristics: 

equipment 

the 

all 

2B219, 
2B119 

1.  Not  capable  of  balancing  rotors/assemblies  having  a  mass 
greater than 3 kg; 

2.  Capable  of  balancing  rotors/assemblies  at  speeds  greater 
than 12 500 rpm; 

3. Capable of correcting unbalance in two planes or more; and 

4. Capable of balancing to a residual specific unbalance of 0,2 
g mm per kg of rotor mass 

EN 

21 

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II.A2.004 

Remote  manipulators  that  can  be  used  to  provide  remote 
actions  in  radiochemical  separation  operations  or  hot  cells, 
having either of the following characteristics: 

2B225 

a.  A  capability  of penetrating  0,3  m  or  more  of  hot  cell  wall 
(through-the-wall operation); or  

b. A capability of bridging over the top of a hot cell wall with 
a thickness of 0,3 m or more (over-the-wall operation) 

Note: This item does not control remote manipulators defined 
in item 2B225 

II.A2.005 

Controlled atmosphere heat treatment furnaces, as follows: 

2B226, 
2B227 

Furnaces capable of operation at temperatures between 400 ºC 
and 850 ºC 

II.A2.006 

Oxidation  furnaces  capable  of  operation  at  temperatures 
between 400 ºC and 850 ºC 

2B226, 
2B227 

II.A2.007 

"Pressure  transducers",  including  safety  pressure  gauges, 
made  of  UF6  corrosion  resistant  materials  or  of  "non  gas 
emissive" materials 

2B230 

Note: This item does not control pressure transducers defined 
in item 2B230 

II.A2.008 

Liquid-liquid  contacting  equipment,  including  mixer-settlers, 
pulsed columns and centrifugal contactors, made from any of 
the following materials: 

2B350 

1. Alloys with more than 25 % nickel and 20 % chromium by 
weight; 

2. Fluoropolymers; 

3.  Glass  (including  vitrified  or  enamelled  coating  or  glass 
lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys;  

7. Zirconium or zirconium alloys; or 

8. Stainless steel 

EN 

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II.A2.009 

Heat  exchangers  or  condensers  with  a  heat  transfer  surface 
area  greater  than  0,05  m2,  and  less  than  30  m2;  and  tubes, 
plates,  coils  or  blocks  (cores)  designed  for  such  heat 
exchangers  or  condensers,  where  all  surfaces  that  come  in 
direct contact with the chemical(s) being processed are made 
from any of the following materials: 

2B350.d 

1. Alloys with more than 25 % nickel and 20 % chromium by 
weight; 

2. Fluoropolymers; 

3.  Glass  (including  vitrified  or  enamelled  coatings  or  glass 
lining); 

4. Graphite or ΄carbon graphite΄; 

5. Nickel or alloys with more than 40 % nickel by weight; 

6. Tantalum or tantalum alloys; 

7. Titanium or titanium alloys; 

8. Zirconium or zirconium alloys; 

9. Silicon carbide; 

10. Titanium carbide; or 

11. Stainless steel 

Note:  This  item  does  not  control  heat  exchangers  and 
condensers defined in item 2B350.d 

II.A2.010  Multiple-seal,  and  seal-less  pumps  suitable  for  corrosive 
fluids,  with  manufacturer's  specified  maximum  flow-rate 
than  0,6  m3/hour,  or  vacuum  pumps  with 
greater 
manufacturer's  specified  maximum  flow-rate  greater  than  5 
m3/hour  (under  standard  temperature  (273 K  (0 °C))  and 
pressure (101,3 kPa) conditions); and 

2B350.i 

casings  (pump  bodies),  preformed  casing  liners,  impellers, 
rotors or jet pump nozzles designed for such pumps, in which 
all  surfaces  that  come  in  direct  contact  with  the  chemical(s) 
being  processed  are  made  from  stainless  steel  or  aluminium 
alloy 

EN 

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II.A2.011 

Centrifugal  separators,  capable  of  continuous  separation 
without the propagation of aerosols and manufactured from: 

2B352.c 

1. Alloys with more than 25 % nickel and 20 % chromium by 
weight; 

2. Fluoropolymers; 

3.  Glass  (including  vitrified  or  enamelled  coating  or  glass 
lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys; or 

7. Zirconium or zirconium alloys 

Note:  This  item  does  not  control  centrifugal  separators 
defined in item 2B352.c 

II.A2.012 

Sintered  metal  filters  made  of  nickel  or  nickel  alloy  with  a 
nickel content of 40 % or more by weight.  

2B352.d 

Note:  This  item  does  not  control  filters  defined  in  item 
2B352.d 

A3 

Electronics 

No 

Description 

Related 
item  from 
Regulation 
(EC)  No 
1334/2000 

II.A3.001 

High  voltage  direct  current  power  supplies  having  both  of 
the following characteristics: 

3A227 

a. Capable of continuously producing, over a time period of 
8  hours,  10  kV  or  greater,  with  output  power  of  5kW  or 
greater with or without sweeping; and 

b. Current or voltage stability better than 0,1 % over a time 
period of 8 hours 

Note: This item does not control power supplies defined in 
items 0B001.j.5 and 3A227 

EN 

24 

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II.A3.002  Mass  spectrometers  capable  of  measuring  ions  of  200 
atomic  mass  units  or  greater  and  having  a  resolution  of 
better  than  2  parts  in  230,  as  follows,  and  ion  sources 
therefor: 

3A233 

Inductively  coupled  plasma  mass 

a. 
(ICP/MS); 

spectrometers 

b. Glow discharge mass spectrometers (GDMS); 

c. Thermal ionization mass spectrometers (TIMS); 

d. Electron bombardment mass spectrometers which have a 
source chamber constructed from, lined with or plated with 
materials resistant to UF6; 

e. Molecular beam mass spectrometers having either of the 
following characteristics: 

1.  A  source  chamber  constructed  from,  lined  with  or 
plated with stainless steel or molybdenum and equipped 
with a cold trap capable of cooling to 193 K (– 80 °C) or 
less; or 

2.  A  source  chamber  constructed  from,  lined  with  or 
plated with materials resistant to UF6; 

f.  Mass  spectrometers  equipped  with  a  microfluorination 
ion source designed for actinides or actinide fluorides. 

Note:  This  item  does  not  control  mass  spectrometers 
defined in items 3A233 and 0B002.g 

A.6 

Sensors and Lasers 

No 

Description 

II.A6.001 

Infrared  optics  having  a  band  wave  length  between  9  and 
17  µm  and  components  therefor,  in  particular  cadmium 
telluride (CdTe) components 

Note: This item does not control cameras and components 
defined in item 6A003 

Related 
from 
item 
Regulation 
(EC)  No 
1334/2000 

6A003 

EN 

25 

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II.A6.002 

"Deformable  mirrors"  and  bimorph  mirrors  for  use  with  a 
laser  beam  having  a  diameter  exceeding  4 mm.  Control 
systems and phase front detection systems for such mirrors 
and for laser beams having such a diameter 

6A004.a, 
6A005.e, 
6A005.f 

Note:  This  item  does  not  control  mirrors  defined  in 
6A004.a, 6A005.e and 6A005.f 

II.A6.003 

΄΄Lasers΄΄, ΄΄laser΄΄ amplifiers and oscillators, as follows: 

6A005.a.6, 
6A205.a 

Argon ion ΄΄lasers΄΄ having an average output power equal 
to or greater than 5 W 

Note: This item does not control argon ion "lasers" defined 
in items 0B001.g.5., 0B001.h.6., 6A005 and 6A205.a 

II.A6.004 

Diode pumped lasers and components, as follows: 

6A005.b 

a. Diode pumped lasers 

b. Laser diodes rods 

c. Laser diodes in large quantities 

Notes:  

1.  Semiconductor  "lasers"  are  commonly  called  "laser" 
diodes 

2.  This  item  does  not  control  "lasers"  defined  in  items 
0B001.g.5, 0B001.h.6 and 6A005.b 

II.A6.005 

Tunable semiconductor "lasers" and tunable semiconductor 
"laser"  arrays,  of  a  wavelength  not  exceeding  16  µm,  as 
well as array stacks of semiconductor “lasers” containing at 
least  one  tunable  semiconductor  “laser  array”  of  such 
wavelength 

6A005.b 

Notes:  

1.  Semiconductor  "lasers"  are  commonly  called  "laser" 
diodes 

2.  This  item  does  not  control  semiconductor  "lasers" 
defined in items 0B001.g.5, 0B001.h.6, 6A005.b 

EN 

26 

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II.A6.006 

Solid  state  "tunable"  "lasers",  components  and  optical 
equipment, as follows: 

6A005.c.1 

a. Titanium-sapphire lasers 

b. Alexandrite lasers 

Note:  This  item  does  not  control  titanium-sapphire  and 
alexandrite  lasers  defined  in  items  0B001.g.5,  0B001.h.6 
and 6A005.c.1 

II.A6.007 

Solid state "non tunable" ΄΄lasers΄΄ as follows: 

6A005.c.2 

Neodymium-doped  (other  than  glass)  ΄΄lasers΄΄,  having  an 
output wavelength exceeding 1 000 nm but not exceeding 1 
100 nm and output energy exceeding 10 J per pulse 

Note: This item does not control neodymium-doped (other 
than glass) "lasers" defined in item 6A005.c.2.b 

II.A6.008 

Components of acousto-optics, as follows: 

6A203.b.4.c 

a.  Framing  tubes  and  solid-state  imaging  devices  having  a 
recurrence frequency equal to or exceeding 1kHz 

b. Recurrence frequency supplies 

c. Pockels cells 

II.A6.009 

Radiation-hardened  cameras,  or  lenses  therefor,  specially 
designed or rated as radiation hardened to withstand a total 
radiation  dose  greater  than  50  ×  103  Gy(silicon)  without 
operational degradation. 

6A203.c 

Note:  This  item  does  not  control  radiation-hardened  TV 
cameras defined in item 6A203.c 

II.A6.010 

΄΄Lasers΄΄, ΄΄laser΄΄ amplifiers and oscillators as follows: 

6A205.c 

Tunable pulsed dye laser amplifiers and oscillators, having 
all of the following characteristics: 

1. Operating at wavelengths between 300 nm and 800 nm; 

2.  An  average  output  power  greater  than  10  W  but  not 
exceeding 30 W; 

3. A repetition rate greater than 1 kHz; and 

4. Pulse width less than 100 ns 

EN 

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Notes: 

1. This item does not control single mode oscillators. 

2.  This  item  does  not  control  tunable  pulsed  dye  laser 
amplifiers  and  oscillators  defined 
item  6A205.c, 
0B001.g.5, 0B001.h.6 and 6A005 

in 

II.A6.011 

΄΄Lasers΄΄, ΄΄laser΄΄ amplifiers and oscillators as follows: 

6A205.d 

Pulsed carbon dioxide ΄΄lasers΄΄ having all of the following 
characteristics: 

1. Operating at wavelengths between 9 000 nm and 11 000 
nm; 

2. A repetition rate greater than 250 Hz; 

3.  An  average  output  power  greater  than  100  W  but  not 
exceeding 500 W; and 

4. Pulse width of less than 200 ns 

Note:  This  item  does  not  control  tunable  pulsed  dye  laser 
amplifiers  and  oscillators  defined 
item  6A205.d, 
0B001.g.5, 0B001.h.6 and 6A005 

in 

II.A6.012 

Yttrium aluminium garnet (YAG) rods 

6C005 

A.7 

Navigation and Avionics 

No 

Description 

Related 
from 
item 
Regulation 
(EC) 
No 
1334/2000 

II.A7.001 

Instrumentation,  navigation  equipment  and  systems,  as 
follows, and specially designed components therefor: 

7A003, 
7A103 

a. Inertial navigation systems which are certified for use on 
"civil aircraft" by civil authorities of a "participating State" 

b.  Theodolite  systems  incorporating  inertial  equipment 
specially designed for civil surveying purposes 

c.  Inertial  or  other  equipment  containing  accelerometers 
specified  in  item  7A001  where  such  accelerometers  are 
specially designed and developed as MWD (Measurement 
While  Drilling)  sensors  for  use  in  downhole  well  services 
operations. 

EN 

28 

   EN 

 
II.B.  Technology 

No 

Description 

Related 
item from 
Regulation 
(EC) No 
1334/2000 

II.B.001 

Technology  required  for  the  development,  production  or  use 
of the items in Part A (Goods) above 

EN 

29 

   EN 

 
 
ANNEX III 

List of competent authorities referred to in Articles 3(3), 5(3), 6, 8, 9, 10 and 13 and 
address for notifications to the Commission 

(to be completed by the Member States)  

BELGIUM 

BULGARIA 

CZECH REPUBLIC 

DENMARK 

GERMANY 

ESTONIA 

GREECE 

SPAIN 

FRANCE 

IRELAND 

ITALY 

CYPRUS 

LATVIA 

LITHUANIA 

LUXEMBOURG 

HUNGARY 

MALTA 

NETHERLANDS 

AUSTRIA 

POLAND 

PORTUGAL 

ROMANIA 

SLOVENIA 

EN 

30 

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SLOVAKIA 

FINLAND 

SWEDEN 

UNITED KINGDOM 

Address for notifications to the European Commission: 

European Commission 

DG External Relations 

Directorate A. Crisis Platform and Policy Coordination in CFSP 

Unit A.2. Crisis Management and Conflict Prevention 

CHAR 12/106 

B-1049 Bruxelles/Brussel (Belgium) 

E-mail: relex-sanctions@ec.europa.eu 

Tel.: (32 2) 295 55 85, 299 11 76 

Fax: (32 2) 299 08 73 

EN 

31 

   EN 

 
ANNEX IV 

List of persons, entities and bodies referred to in Article 7(1) 

A. 

Legal persons, entities and bodies 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Atomic  Energy Organisation  of Iran (AEOI).  Other  information:  Involved  in  Iran’s 
nuclear programme. 

Defence  Industries  Organisation  (DIO).  Other 
information:  (a)  Overarching 
MODAFL-controlled entity, some of whose subordinates have been involved in the 
centrifuge  programme  making  components,  and  in  the  missile  programme,  (b) 
Involved in Iran’s nuclear programme. 

Fajr  Industrial  Group.  Other  information:  (a)  Formerly  Instrumentation  Factory 
Plant,  (b)  Subordinate  entity  of  Aerospace  Industries  Organization  (AIO),  (c) 
Involved in Iran’s ballistic missile programme. 

Farayand  Technique.  Other  information:  (a)  Involved  in  Iran’s  nuclear  programme 
(centrifuge programme), (b) Identified in IAEA reports. 

Kala-Electric  (alias  Kalaye  Electric).  Other  information:  (a)  Provider  for  PFEP  — 
Natanz, (b) Involved in Iran’s nuclear programme. 

Mesbah Energy Company. Other information: (a) Provider for A40 research reactor 
— Arak, (b) Involved in Iran’s nuclear programme. 

Pars  Trash  Company.  Other  information: (a) Involved in Iran’s nuclear programme 
(centrifuge programme), (b) Identified in IAEA reports. 

7th  of  Tir.  Other  information:  (a)  Subordinate  of  DIO,  widely  recognized  as  being 
directly  involved  in  Iran’s  nuclear  programme,  (b)  Involved  in  Iran’s  nuclear 
programme. 

Shahid  Bagheri  Industrial  Group  (SBIG).  Other  information:  (a)  Subordinate  entity 
of AIO, (b) Involved in Iran’s ballistic missile programme. 

(10) 

Shahid Hemmat Industrial Group (SHIG). Other information: (a) subordinate entity 
of AIO, (b) Involved in Iran’s ballistic missile programme. 

B. 

Natural persons 

(1) 

(2) 

(3) 

Dawood  Agha-Jani.  Function:  Head  of  the  PFEP  (Natanz).  Other  information: 
Person involved in Iran’s nuclear programme. 

Behman  Asgarpour.  Function:  Operational  Manager  (Arak).  Other  information: 
Person involved in Iran’s nuclear programme. 

Bahmanyar Morteza Bahmanyar. Function: Head of Finance & Budget Dept, AIO. 
Other information: Person involved in Iran’s ballistic missile programme. 

EN 

32 

   EN 

 
(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Ahmad  Vahid  Dastjerdi.  Function:  Head  of  the  AIO.  Other  information:  Person 
involved in Iran’s ballistic missile programme. 

Reza-Gholi  Esmaeli.  Function:  Head  of  Trade  &  International  Affairs  Dept,  AIO. 
Other information: Person involved in Iran’s ballistic missile programme. 

Ali  Hajinia  Leilabadi.  Function:  Director  General  of  Mesbah  Energy  Company. 
Other information: Person involved in Iran’s nuclear programme. 

Jafar  Mohammadi.  Function:  Technical  Adviser  to  the  AEOI  (in  charge  of 
managing  the  production  of  valves  for  centrifuges).  Other  information:  Person 
involved in Iran’s nuclear programme. 

Ehsan  Monajemi.  Function:  Construction  Project  Manager,  Natanz.  Other 
information: Person involved in Iran’s nuclear programme. 

Mohammad  Mehdi  Nejad  Nouri.  Title:  Lt  Gen.  Function:  Rector  of  Malek  Ashtar 
University of Defence Technology. Other information: The chemistry department of 
Ashtar  University  of  Defence  Technology  is  affiliated  to  MODALF  and  has 
conducted experiments on beryllium). Person involved in Iran’s nuclear programme. 

(10)  Mohammad Qannadi. Function: AEOI Vice President for Research & Development. 

Other information: Person involved in Iran’s nuclear programme. 

(11) 

(12) 

Yahya Rahim Safavi. Title: Maj Gen. Function: Commander, Islamic Revolutionary 
Guard  Corps  (IRGC,  Pasdaran).  Other  information:  Person  involved  in  both  Iran’s 
nuclear and ballistic missile programmes. 

Hosein  Salimi.  Title:  General.  Function:  Commander  of  the  Air  Force,  Islamic 
Revolutionary  Guard  Corps  (IRGC,  Pasdaran).  Other  information:  Person  involved 
in Iran’s ballistic missile programme. 

EN 

33 

   EN 

 
ANNEX V 

List of persons, entities and bodies referred to in Article 7(2) 

A. 

Legal persons, entities and bodies 

- 

B. 

Natural persons 

- 

EN 

34 

   EN