Proposal for a Council Regulation amending Council Regulation (EC) No 423/2007 concerning restrictive measures against Iran
Date: 2009-09-22
Institutions: European Commission
Subjects: Iran, economic sanctions, international sanctions, natural person, nuclear non-proliferation

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 22.9.2009 
COM(2009) 496 final 

Proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EC) No 423/2007 concerning restrictive measures against 
Iran 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

Further  to  UN  Security  Council  resolutions  1737  (2006)  and  1747  (2007)  Common 
Position  2007/140/CFSP  and  Council  Regulation  (EC)  No  423/2007,  as  amended, 
make provision for certain restrictive measures against Iran. 

In  line  with  Common  Position  2007/140/CFSP,  Regulation  (EC)  No  423/2007  in 
particular  restricts  the  supply,  sale  or  transfer  to  Iran  of  certain  items,  materials, 
equipment,  goods  and  technology,  in  addition  to  those  determined  by  the  Security 
Council or the Sanctions Committee, that could contribute to Iran's enrichment-related, 
reprocessing or heavy water-related activities, to the development of nuclear weapon 
delivery systems or to the pursuit of activities related to other topics about which the 
International Atomic Energy Agency (IAEA) has expressed concerns or identified as 
outstanding. These items are listed in Annex II to Regulation (EC) No 423/2007. 

In consideration of Iran’s increasing enrichment activities, the list of controlled items 
in Annex II needs to be revised in order to maintain its effectiveness.  

Regulation  (EC)  No  423/2007  also  prohibits  the  export  of  certain  goods  and 
technology listed in Annex IA. Certain references in Annex IA need to be corrected. 

Article  15(1)  of  Regulation  (EC)  423/2007  also  needs  to  be  amended  in  order  to 
empower  the  Commission  to  amend  Annex  IA  and  Annex  II  on  the  basis  of 
information  supplied  by  either  the  United  Nations  Security  Council  or  the  Sanctions 
Committee, or by Member States. 

The purpose of this proposal is to correct Annex IA and update Annex II to Council 
Regulation  (EC)  No  423/2007,  and  to  empower  the  Commission  to  amend  the  said 
annexes.  

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Proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EC) No 423/2007 concerning restrictive measures against 
Iran 

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having  regard  to  Common  Position  2007/140/CFSP  of  27  February  2007  concerning 
restrictive measures against Iran1,  

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

In  line  with  Common  Position  2007/140/CFSP,  Regulation  (EC)  No  423/2007 
concerning restrictive measures against Iran2 in particular restricts the supply, sale or 
transfer  to  Iran  of  certain  items,  materials,  equipment,  goods  and  technology,  in 
addition to those determined by the Security Council or the Sanctions Committee, that 
could  contribute  to  Iran's  enrichment-related,  reprocessing  or  heavy  water-related 
activities, to the development of nuclear weapon delivery systems or to the pursuit of 
activities related to other topics about which the International Atomic Energy Agency 
(IAEA) has expressed concerns or identified as outstanding.  

These items are listed in Annex II to Regulation (EC) No 423/2007. The list needs to 
be revised in order for it to maintain its effectiveness. 

Regulation  (EC)  No  423/2007  also  prohibits  the  export  of  certain  other  goods  and 
technology  listed  in  its  Annex  IA.  Certain  references  in  that  Annex  IA  need  to  be 
corrected. 

For reasons of expediency, the Commission should be empowered to maintain the lists 
of prohibited and of controlled goods and technology and to amend them on the basis 
of  information  provided  by  either  the  United  Nations  Security  Council  or  the 
Sanctions Committee, or by Member States. 

(5) 

Regulation (EC) No 423/2007 should therefore be amended accordingly,  

1 
2 

OJ L 61, 28.2.2007, p. 49 
OJ L 103, 20.4.2007, p. 1 

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HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 423/2007 is amended as follows: 

(1) 

‘1.a 

In Article 3, paragraph 1a is replaced by the following: 

For  all  exports  for  which  an  authorisation  is  required  under  this  Regulation,  such 
authorisation  shall  be  granted  by  the  competent  authorities  of  the  Member  State 
where the exporter is established and shall be in accordance with the detailed rules 
laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be 
valid throughout the Community.’;  

(2) 

In Article 15, paragraph 1 is replaced by the following: 

‘1. The Commission shall: 

(a) 

(b) 

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

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

(c) 

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

(d) 

(e) 

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

amend Annex VI on the basis of decisions taken in respect of Annexes III and 
IV to Common Position 2008/652/CFSP.’;   

(3) 

Annex IA is amended as set out in Annex I to this Regulation. 

(4) 

Annex II is replaced by the text in Annex II to this Regulation. 

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

Article 2 

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

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Done at Brussels, […] 

For the Council 
The President 
[…] 

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ANNEX I 

Annex IA to Regulation (EC) No 423/2007 is amended as follows: 

1) 

The description in entry IA.A1.009 is replaced by the following: 

'‘Fibrous or filamentary materials’ or prepregs, as follows: 

a. 

Carbon or aramid ‘fibrous or filamentary materials’ having either of the 
following characteristics: 

1.  A ‘specific modulus’ exceeding 10 × 106 m; or 

2.  A ‘specific tensile strength’ exceeding 17 × 104 m; 

b.  Glass  ‘fibrous  or  filamentary  materials’  having  either  of  the  following 

characteristics: 

1.  A ‘specific modulus’ exceeding 3,18 × 106 m; or 

2.  A ‘specific tensile strength’ exceeding 76,2 × 103 m; 

c. 

Thermoset  resin-impregnated  continuous  ‘yarns’,  ‘rovings’,  ‘tows’  or 
‘tapes’ with a width of 15 mm or less (once prepregs), made from carbon 
or  glass  ‘fibrous  or  filamentary  materials’  other  than  those  specified  in 
IA.A1.010.a. or b. 

Note:  This  item  does  not  cover  fibrous  or  filamentary  materials  defined  in 

items 1C010.a, 1C010.b, 1C210.a and 1C210.b.' 

2) 

The description in entry IA.A1.010 is replaced by the following: 

'Resin-impregnated  or  pitch-impregnated  fibres  (prepregs),  metal  or  carboncoated 
fibres (preforms) or ‘carbon fibre preforms’, as follows: 

a.  Made  from  ‘fibrous  or  filamentary  materials’  specified  in  IA.A1.009 

above; 

b. 

c. 

Epoxy  resin  ‘matrix’  impregnated  carbon  ‘fibrous  or  filamentary 
materials’ (prepregs), specified in 1C010.a, 1C010.b or 1C010.c, for the 
repair of aircraft structures or laminates, of which the size of individual 
sheets does not exceed 50 cm × 90 cm; 

Prepregs  specified  in  1C010.a,  1C010.b  or  1C010.c,  when  impregnated 
with phenolic or epoxy resins having a glass transition temperature (Tg) 
less  than  433  K  (160  °C)  and  a  cure  temperature  lower  than  the  glass 
transition temperature.   

Note: This item does not cover fibrous or filamentary materials defined in item 

1C010.e.' 

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ANNEX II 

"ANNEX II 

Goods and technology referred to in Article 3 

INTRODUCTORY NOTES 

1. 

2. 

3. 

4. 

1. 

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

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

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

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

General Notes 

The  object  of  the  controls  contained  in  this  Annex  should  not  be  defeated  by  the 
export  of  any  non-controlled  goods  (including  plant)  containing  one  or  more 
controlled  components  when  the  controlled  component  or  components  is/are  the 
principal  element  of  the  goods  and  can  feasibly  be  removed  or  used  for  other 
purposes. 

N.B.: In  judging  whether  the  controlled  component  or  components  is/are  to  be 
considered  the  principal  element,  it  is  necessary  to  weigh  the  factors  of 
quantity,  value  and  technological  know-how  involved  and  other  special 
circumstances which might establish the controlled component or components 
as the principal element of the goods being procured. 

2. 

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

General Technology Note (GTN) 

(To be read in conjunction with Section II.B 

1. 

The  sale,  supply,  transfer  or  export  of  "technology"  which  is  "required"  for  the 
"development", "production" or "use" of goods the sale, supply, transfer or export of 
which  is  controlled  in  Part A  (Goods)  below,  is  controlled  in  accordance  with  the 
provisions of Section II.B. 

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2. 

3. 

4. 

The "technology" "required" for the "development", "production" or "use" of goods 
under  control  remains  under  control  even  when  it  is  applicable  to  non-controlled 
goods. 

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

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

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II.A. GOODS 

A0. Nuclear Materials, Facilities, and Equipment 

No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

II.A0.002 

Faraday isolators in the wavelength range 500 nm –
 650 nm 

II.A0.003  Optical gratings in the wavelength range 500 nm –

 650 nm 

II.A0.004  Optical  fibres  in  the  wavelength  range  500  nm –
 650 nm  coated  with  anti-reflecting  layers  in  the 
wavelength  range  500  nm  –  650 nm  and  having  a 
core  diameter  greater 
than  0,4 mm  but  not 
exceeding 2 mm 

II.A0.008 

Laser  mirrors,  other 
in 
than 
6A005.e,  consisting  of  substrates  having  a  thermal 
expansion coefficient of 10-6K-1 or less at 20ºC (e.g. 
fused silica or sapphire). 

those  specified 

Note  :  This  item  does  not  cover  optical  systems 
specially  designed  for  astronomical  applications, 
except if the mirrors contain fused silica. 

lenses,  other 

Laser 
in 
than 
6A005.e.2,  consisting  of  substrates  having  a 
thermal  expansion  coefficient  of  10-6K-1  or  less  at 
20ºC (e.g. fused silica). 

those  specified 

II.A0.009 

II.A0.010 

– 

– 

– 

0B001.g.5, 6A005.e 

0B001.g, 6A005.e.2 

Pipes,  piping,  flanges,  fittings  made  of,  or  lined 
with  nickel,  or  nickel  alloy  containing  more  than 
40% nickel by weight, other than those specified in 
2B350.h.1. 

2B350 

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No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

II.A0.011  Vacuum  pumps  other  than  those  specified  in 

0B002.f.2, 2B231 

0B002.f.2., or 2B231, as follows: 

– 

– 

Turbomolecular pumps having a flowrate 

equal to or greater than 400 l/s, 

Roots type vacuum roughing pumps 

having a volumetric aspiration flowrate 
greater than 200m3/h. 

Bellows-sealed, 
bellows-sealed, scroll, dry vacuum pumps. 

scroll,  dry  compressor,  and 

II.A0.014  Detonation  chambers  having  a  capacity  of 
explosion  absorption  of  more  than  2.5kg  TNT 
equivalent. 

A1. Materials, Chemicals, "Micro-organisms" and "Toxins" 

No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

II.A1.003 

II.A1.004 

Fluorinated  polyimides  containing  10%  by 

Ring-shaped  seals  and  gaskets,  having  an  inner 
diameter  of  400mm  or  less,  made  of  any  of  the 
following materials: 
Copolymers  of  vinylidene  fluoride  having 
a. 
75%  or  more  beta  crystalline  structure  without 
stretching; 
b. 
weight or more of combined fluorine; 
c. 
elastomers 
phosphazene 
containing  30%  by  weight  or  more  of  combined 
fluorine; 
d. 
Kel-F ®); 
e. 
®); 
f. 

Fluoro-elastomers (e.g., Viton ®, Tecnoflon 

Polytetrafluoroethylene (PTFE). 

Polychlorotrifluoroethylene 

(PCTFE,  e.g. 

Fluorinated 

Personal  equipment  for  detecting  radiation  of 
personal 

including 

nuclear 

origin, 

1A004.c 

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No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

dosimeters. 

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

II.A1.006  Catalysts,  other  than  those  prohibited  by  I.1A.003, 
containing  platinum,  palladium  or  rhodium,  usable 
for  promoting  the  hydrogen  isotope  exchange 
reaction  between  hydrogen  and  water  for  the 
recovery  of  tritium  from  heavy  water  or  for  the 
production of heavy water. 

1B231, 1A225 

II.A1.007  Aluminium and its alloys, other than those specified 
in  1C002.b.4  or  1C202.a,  in  crude  or  semi-
fabricated  form  having  either  of  the  following 
characteristics: 

1C002.b.4, 1C202.a 

a. 

b. 

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

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

II.A1.014 

Elemental  powders  of  cobalt,  neodymium  or 
samarium  or  alloys  or  mixtures  thereof  containing 
at  least  20%  by  weight  of  cobalt,  neodymium  or 
samarium, with a particle size less than 200 µm. 

II.A1.015 

Pure  tributyl  phosphate  (TBP)  [CAS  No  126-73-8] 
or any mixture having a TBP content of more than 5 
% by weight. 

II.A1.016  Maraging  steel,  other  than  those  prohibited  by 

I.1A.030, I.1A.035 or IA.A1.012 

Technical Note: 

steels  are 

Maraging 
iron  alloys  generally 
characterised  by  high  nickel,  very  low  carbon 
content  and  the  use  of  substitutional  elements  or 
precipitates  to  produce  strengthening  and  age-
hardening of the alloy. 

II.A1.017  Metals, metal powders and material as follows: 

a. 

Tungsten and tungsten alloys, other than those 

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No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

the  form  of 
prohibited  by  I.1A.031, 
uniform  spherical  or  atomized  particles  of 
500µm  diameter  or  less  with  a  tungsten 
content of 97% by weight or more;  

in 

b.  Molybdenum  and  molybdenum  alloys,  other 
than those prohibited by I.1A.031, in the form 
of  uniform  spherical  or  atomized  particles  of 
500  µm diameter  or less with a  molybdenum 
content of 97% by weight or more; 

c. 

those  prohibited  by 

Tungsten  materials  in  the  solid  form,  other 
I.1A.037,  or 
than 
IA.A1.013  having  material  compositions  as 
follows: 

  1 Tungsten  and  alloys  containing  97%  by 

weight or more of tungsten; 

  2. 

Copper  infiltrated  tungsten  containing 

80% by weight or more of tungsten; or 

  3. 

Silver  infiltrated  tungsten  containing 

80% by weight or more of tungsten. 

II.A1.018 

Soft magnetic alloys having a chemical composition 
as follows: 

a) 

b) 

Iron content between 30% and 60%,and 

Cobalt content between 40% and 60%. 

II.A1.019 

 “Fibrous or filamentary materials” or prepregs, not 
prohibited  by  Annex  I  or  by  Annex  IA  (under 
IA.A1.009,  IA.A1.010)  of  this  Regulation,  or  not 
specified  by  Annex  I  of  Regulation  (EC)  No 
428/2009, as follows : 

a) 

Carbon “fibrous or filamentary materials”; 

Note: II.A1.019a. does not cover fabrics.  

Thermoset 

resin-impregnated  continuous 
b) 
“yarns”,  “rovings”,  “tows”,  or  “tapes”,  made  from 

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No 

Description 

Related item from Annex I 
to Regulation (EC) 
No 428/2009 

carbon “fibrous or filamentary materials”; 

Polyacrylonitrile (PAN) continuous "yarns", 

c) 
"rovings", "tows" or "tapes" 

A2. Materials Processing 

No 

Description 

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

than  15 µm  according 

less  (better) 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

2B201.b, 2B001.c 

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

II.A2.002a  Components  and  numerical  controls,  specially 
designed  for  machine  tools  specified  in  2B001, 
2B201, or II.A2.002 above. 

II.A2.003  Balancing  machines  and  related  equipment  as 

2B119 

follows: 

a. 

Balancing  machines,  designed  or  modified 
for  dental  or  other  medical  equipment, 
having all the following characteristics: 

Not  capable  of  balancing  rotors/assemblies 

1. 
having a mass greater than 3 kg; 

Capable  of  balancing  rotors/assemblies  at 

2. 
speeds greater than 12 500 rpm; 

Capable  of  correcting  unbalance  in  two 

3. 
planes or more; and 

4. 

Capable  of  balancing  to  a  residual  specific 

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No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

unbalance of 0,2 g x mm per kg of rotor mass; 

b. 

Indicator  heads  designed  or  modified  for 
use with machines specified in a. above. 

Technical Note: 

Indicator heads are sometimes known as balancing 
instrumentation. 

II.A2.005  Controlled  atmosphere  heat  treatment  furnaces,  as 

2B226, 2B227 

follows: 

Furnaces capable of operation at temperatures above 
400 ºC. 

II.A2.006  Oxidation 

furnaces  capable  of  operation  at 

2B226, 2B227 

temperatures above 400 ºC 

Note:  This  item  does  not  cover  tunnel  kilns  with 
roller  or  car  conveyance,  tunnel  kilns  with 
conveyor  belt,  pusher  type  kilns  or  shuttle 
kilns, specially designed for the production of 
tableware  ceramics  or  structural 
glass, 
ceramics. 

II.A2.007 

"Pressure  transducers",  other  than  those  defined  in 
2B230,  capable  of  measuring  absolute  pressures  at 
any point in the range 0 to 200 kPa and having both 
of the following characteristics: 

2B230 

a. 

b. 

Pressure  sensing  elements  made  of  or 
to 
"Materials 
protected  by 
corrosion by uranium hexafluoride (UF6)", 
and 

resistant 

Having 
characteristics: 

either 

of 

the 

following 

A  full  scale  of  less  than  200 kPa  and  an 

1. 
'accuracy' of better than ± 1 % of full scale; or 

A  full  scale  of  200 kPa  or  greater  and  an 

2. 
'accuracy' of better than 2 kPa. 

Technical Note: 

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Related item from 
Annex I to Regulation 
(EC) No 428/2009 

2B350.e 

No 

Description 

II.A2.008 

For the purposes of 2B230, 'accuracy' includes non-
linearity,  hysteresis  and  repeatability  at  ambient 
temperature. 

Liquid-liquid  contacting  equipment  (mixer-settlers, 
pulsed  columns,  centrifugal  contactors);  and  liquid 
distributors,  vapour  distributors  or  liquid  collectors 
designed for such equipment, where all surfaces that 
come  in  direct  contact  with  the  chemical(s)  being 
processed  are  made  from  any  of  the  following 
materials: 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

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

Fluoropolymers; 

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

Graphite or 'carbon graphite'; 

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

Tantalum or tantalum alloys; 

Titanium or titanium alloys; 

Zirconium or zirconium alloys; or 

Stainless steel. 

Technical Note: 

'Carbon  graphite'  is  a  composition  consisting  of 
amorphous  carbon  and  graphite,  in  which  the 
graphite content is 8 % or more by weight. 

II.A2.009 

Industrial  equipment  and  components,  other  than 
those specified in 2B350.d, as follows: 

2B350.d 

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

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No 

Description 

materials: 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

1. 

2. 
3. 

4. 
5. 

Alloys with more than 25% nickel and 20% 
chromium by weight; 
Fluoropolymers; 
Glass  (including  vitrified  or  enamelled 
coating or glass lining); 
Graphite or 'carbon graphite'; 
Nickel or alloys with more than 40% nickel 
by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; 
Zirconium or zirconium alloys; 
Silicon carbide; 
Titanium carbide; or 
Stainless steel. 

6. 
7. 
8. 
9. 
10. 
11. 
Note:  This item does not cover vehicle radiators. 

Technical Note: 

The  materials  used  for  gaskets  and  seals  and  other 
functions  do  not 
implementation  of 
sealing 
the  heat 
the  status  of  control  of 
determine 
exchanger. 

II.A2.010  Multiple-seal, and seal-less pumps, other than those 
specified  in  2B350.i,  suitable  for  corrosive  fluids, 
with  manufacturer's  specified  maximum  flow-rate 
greater  than  0,6  m3/hour,  or  vacuum  pumps  with 
manufacturer's specified maximum flow-rate greater 
than 
standard 
[measured 
temperature 
and  pressure 
(101,3kPa) conditions]; and casings (pump bodies), 
preformed  casing  liners,  impellers,  rotors  or  jet 
pump nozzles designed for such pumps, in which all 
surfaces  that  come  in  direct  contact  with  the 
chemical(s)  being  processed  are  made  from  any  of 
the following materials: 

(273 K  or  0 °C) 

5 m3/hour 

under 

1. 

2. 
3. 
4. 
5. 

Alloys  with  more  than  25%  nickel  and 
20%chromium by weight; 
Ceramics; 
Ferrosilicon; 
Fluoropolymers; 
Glass  (including  vitrified  or  enamelled 
coatings or glass lining); 

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No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

6. 
7. 

8. 
9. 
10. 
11. 
12. 
13. 

Graphite or 'carbon graphite'; 
Nickel or alloys with more than 40% nickel 
by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; 
Zirconium or zirconium alloys; 
Niobium (columbium) or niobium alloys; 
Stainless Steel; or 
Aluminium Alloys. 

Technical Note: 

The  materials  used  for  gaskets  and  seals  and  other 
implementation  of 
functions  do  not 
sealing 
determine the status of control of the pump. 

II.A2.013 

Spin-forming machines and flow-forming machines, 
other than those controlled by 2B009, or prohibited 
by  I.2A.009 or  I.2A.020,  having  a  roller  force  of 
more 
specially  designed 
components therefore. 

than  60  kN  and 

Technical Note: 

For  the  purpose  of  II.A2.013,  machines  combining 
the  functions  of  spin-forming  and  flow-forming  are 
regarded as flow-forming machines. 

A3. Electronics 

II.A3.003 

Frequency  changers  or  generators,  other  than  those 
prohibited by I.0A.002.b.13 or I.3A.004, having all 
of 
the  following  characteristics,  and  specially 
designed components and software therefor: 

a.  Multiphase  output  capable  of  providing  a  power 
of 40 W or greater; 

b.  Capable  of  operating  in  the  frequency  range 
between 600 and 2 000Hz; and 

EN 

17 

   EN 

 
 
 
 
 
 
 
c. Frequency control better (less) than 0,1 %. 

Technical Note: 

Frequency changers in II.A3.003 are also known as 
converters or inverters. 

II.A3.004 

Spectrometers and diffractometers, designed for the 
the 
indicative 
elemental  composition  of  metals  or  alloys  without 
chemical decomposition of the material. 

test  or  quantitative  analysis  of 

A6. Sensors and Lasers 

No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

II.A6.002  Optical  equipment  and  components,  other  than 

those specified in 6A002, 6A004.b as follows: 

6A002, 6A004.b 

Infrared optics in the wavelength range 9 000nm – 
17 000nm and components thereof, including 
cadmium telluride (CdTe) components. 

II.A6.005 

Semiconductor "lasers"  and components thereof, as 
follows: 

6A005.b 

a. 

b. 

Notes: 

1. 

2. 

3. 

Individual  semiconductor  "lasers"  with  an 
output power greater than 200 mW each, in 
quantities larger than 100; 

Semiconductor  "laser"  arrays  having  an 
output power greater than 20 W. 

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

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

This  item  does  not  cover  "laser"  diodes 
with a wavelength in the range 1 200 nm – 
2 000 nm. 

II.A6.007 

Solid state "tunable" "lasers" and specially designed 

6A005.c.1 

EN 

18 

   EN 

 
 
 
 
No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

components thereof as follows: 

a. 

b. 

Titanium-sapphire lasers, 

Alexandrite lasers. 

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

II.A6.009  Components of acousto-optics, as follows: 

6A203.b.4.c 

a. 

b. 

c. 

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

Recurrence frequency supplies; 

Pockels cells. 

A7. Navigation and Avionics 

No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

II.A7.001 

Inertial  navigation  systems  and  specially  designed 
components thereof, as follows: 

7A003, 7A103 

I. 

Inertial  navigation  systems  which  are 
certified for use on "civil aircraft" by  civil 
authorities  of  a  State  participating  in  the 
Wassenaar  Arrangement,  and  specially 
designed components thereof, as follows: 

a. 

Inertial  navigation  systems  (INS) 
(gimballed or strapdown) and inertial 
equipment  designed  for  "aircraft", 
land  vehicle,  vessels  (surface  or 
for 
underwater)  or 
attitude,  guidance  or  control,  having 
any  of  the  following  characteristics, 
and  specially  designed  components 
thereof: 

"spacecraft" 

EN 

19 

   EN 

 
 
 
No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

1.  Navigation  error  (free  inertial) 
subsequent to normal alignment 
of  0,8 nautical  mile  per  hour 
(nm/hr) 
Error 
'Circular 
Probable' (CEP) or less (better); 
or 

2. 

Specified  to  function  at  linear 
acceleration  levels  exceeding 
10 g; 

b.  Hybrid  Inertial  Navigation  Systems 
embedded  with  Global  Navigation 
Satellite  Systems(s)  (GNSS)  or  with 
"Data-Based  Referenced  Navigation" 
("DBRN")  System(s)  for  attitude, 
guidance  or  control,  subsequent  to 
normal  alignment,  having  an  INS 
navigation  position  accuracy,  after 
loss  of  GNSS  or  "DBRN"  for  a 
period  of  up  to  four  minutes,  of  less 
(better) than 10 metres 'Circular Error 
Probable' (CEP); 

c. 

Inertial  Equipment 
for  Azimuth, 
Heading,  or  North  Pointing  having 
any  of  the  following  characteristics, 
and  specially  designed  components 
thereof: 

1.  Designed  to  have  an  Azimuth, 
Heading,  or  North  Pointing 
to,  or 
accuracy  equal 
less 
6 arc/ minutes 
(better) 
RMS at 45 degrees latitude; or 

than 

2.  Designed 

to  have  a  non-
operating shock level of at least 
900 g  at  a  duration  of  at  least 
1 msec. 

Note:  The  parameters  of  I.a.  and  I.b.  are 
following 

the 

applicable  with  any  of 
environmental conditions: 

1. 

Input  random  vibration  with  an  overall 
magnitude  of 7,7 g rms  in  the  first  half 

EN 

20 

   EN 

 
 
 
 
 
No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

hour and a total test duration of one and a 
half  hours  per  axis  in  each  of  the  three 
perpendicular  axes,  when 
the  random 
vibration meets the following: 

a. 

b. 

A  constant  power  spectral  density 
(PSD)  value  of 0,04 g2/Hz  over  a 
frequency interval of 15 to 1 000 Hz; 
and 

The PSD attenuates with a frequency 
from 0,04 g2/Hz  to  0,01 g2/Hz  over  a 
frequency  interval  from  1 000  to 
2 000 Hz; 

2. 

3. 

A  roll  and  yaw  rate  equal  to  or  greater 
than +2,62 radian/s (150 deg/s); or 

According to national standards equivalent 
to 1. or 2. above. 

Technical Notes: 

1. 

2. 

II. 

III. 

I.b.  refers  to  systems  in  which  an  INS  and 
other independent navigation aids are built 
into  a  single  unit  (embedded)  in  order  to 
achieve improved performance. 

'Circular  Error  Probable'  (CEP)  –  In  a 
circular  normal  distribution,  the  radius  of 
the  circle  containing  50 percent  of  the 
individual  measurements  being  made,  or 
the  radius  of  the  circle  within  which  there 
is a 50 percent probability of being located.

Theodolite  systems  incorporating  inertial 
equipment  specially  designed  for  civil 
surveying  purposes  and  designed  to  have 
an  Azimuth,  Heading,  or  North Pointing 
accuracy  equal  to,  or  less  (better)  than  6 
arc minutes  RMS  at  45 degrees  latitude, 
and specially designed components thereof. 

or 

other 

equipment 

using 
Inertial 
accelerometers  specified 
in  7A001  or 
7A101,  where  such  accelerometers  are 
specially designed and developed as MWD 

EN 

21 

   EN 

 
 
 
No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

(Measurement  While  Drilling)  sensors  for 
use in downhole well services operations. 

A9. Aerospace and Propulsion 

II.A9.001 

Explosive bolts. 

II.B.  TECHNOLOGY 

No 

Description 

Related item from 
Annex I to Regulation 
(EC) No 428/2009 

required 

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

the 

for 

Technical Note: 

Regulation (EC) No 423/2007, Article 1(d) the term 

‘technology’ includes software. 

" 

II.B.001 

“ 

EN 

22 

   EN