Joint Proposal for a COUNCIL REGULATION concerning restrictive measures against Iran andrepealing Regulation (EU) No 961/2010
Date: 2012-02-17
Institutions: European Commission, High Representative of the Union
Subjects: Iran, capital movement, crude oil, economic resources, economic sanctions, export restriction, import restriction, international sanctions, nuclear non-proliferation, petroleum product, technology transfer

EUROPEAN COMMISSION 

HIGH REPRESENTATIVE OF THE
EUROPEAN UNION FOR 
FOREIGN AFFAIRS AND 
SECURITY POLICY

Brussels, 17.2.2012  
JOIN(2012) 2 final 

2012/0030 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

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

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EXPLANATORY MEMORANDUM 

The  EU  introduced  sanctions  against  the  Islamic  Republic  of  Iran  ('Iran')  under  Regulation 
(EC)  No  423/2007  concerning  restrictive  measures  against  Iran,  giving  effect  to  Common 
Position  2007/140/CFSP  and  implementing  the  relevant  measures  provided  for  under  UN 
Security Council Resolution 1737 (2006). Since then, the EU has expanded sanctions in line 
with  UNSCR  1747  (2006),  1803  (2008)  and  1929  (2010)  and  imposed  additional  measures 
targeting Iran’s nuclear and ballistic proliferation programme. 

On  25  October  2010,  the  Council  adopted  Regulation  (EU)  No  961/2010  on  restrictive 
measures against Iran and repealing Regulation (EC) No 423/20071, in order to give effect to 
Council  Decision  2010/413/CFSP2.  Regulation  (EU)  No  961/2010  expanded  restrictive 
meaures, in particular in the financial and energy sectors, as well as in the transport sector. 

In  line  with  the  mandate  received  from  the  European  Council  on  9  December  2011,  the 
Council  approved,  on  23  January  2012,  Decision  2012/35/CFSP  providing  for  additional 
restrictive  measures  against  Iran.  Those  new  restrictive  measures  comprise,  in  particular, 
additional restrictions on trade in dual-use goods and technology, as well as on key equipment 
and  technology  which  could  be  used  in  the  petrochemical  industry,  a  ban  on  the  import  of 
Iranian crude oil, petroleum products and petrochemical products, as well as a prohibition of 
investment  in  the  petrochemical  industry.  Moreover,  trade  in  gold,  precious  metals  and 
diamonds  with  the  Government  of  Iran,  as  well  as  the  delivery  of  newly  printed  banknotes 
and coinage to or for the benefit of the Central Bank of Iran, should be prohibited. In order to 
ensure  the  effective  implementation  of  those  measures,  lists  of  sanctioned  goods  and 
technology should be provided. 

Moreover,  Decision  2012/35/CFSP  extends  the  freezing  of  assets  to  additional  persons, 
entities or bodies providing support to the Government of Iran as well as to other members of 
the Islamic Revolutionary Guard Corps (IRGC). Decision 2012/35/CFSP also underlines that 
the Central Bank of Iran’s deceptive practices and attempts at using Iran’s financial sector to 
circumvent  the  measures  require  enhanced  financial  vigilance  from  EU  credit  and  financial 
institutions,  and  provides  for  the  freezing  of  the  assets  of  the  Central  Bank  of  Iran.  The 
Decision however makes clear that this targeted measure should not prevent the continuation 
of  licit  trade  operations  with  Iran.  The  Decision  also  provides  for  the  freezing  of  Bank 
Tejarat’s assets, but allows for the phasing out of transactions with that sanctioned entity. 

Furthermore, certain technical amendments to existing measures have also become necessary. 
In particular, the definition of brokering services should be clarified to the effect that it covers 
brokering  from  the  EU  and  also  applies  to  related  services.  The  definintion  of  ‘transfers  of 
funds’  should  be  revised  to  include  non-electronic  transfers,  in  response  to  Iran’s  deceptive 
practices.  The  application  of  freezing  measures  by  providers  of  financial  communication 
messages should be clarified. The provisions regarding the controls of funds transfers should 
be reviewed in order to facilitate their application by competent authorities and operators. The 
restrictions on insurances should be adjusted, notably with a view to clarifying that insurance 
of  diplomatic  and  consular  missions  within  the  EU  is  permitted  under  the  sanctions. 
Adjustments  should  also  be  made  to  provisions  concerning  the  liability  of  operators,  the 

1 
2 

OJ L 281, 27.10.2010, p. 1. 
OJ L 195, 27.07.2010, p. 39. 

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prohibition  of  the  circumvention  of  the  restrictive  measures  and  the  provision  of  bunkering 
and ship supply services. 

Furthermore, mechanisms for exchange of information between competent authorities of the 
Member  States  and  the  Commission  should  also  be  revised  in  order  to  enhance  effective 
implementation of the restrictive measures. 

Restrictions  on  the  trade  of  internal  repression  equipment,  thus  far  provided  for  under 
Regulation (EU) No 961/2010, should  be  provided for under Regulation (EU) No 359/2011 
concerning restritive measures directed against certain persons, entities and bodies in view of 
the  situation  in  Iran,  which  provides  for  sanctions  in  response  to  serious  human  rights 
violations. 

It  is  therefore  necessary  to  amend  Regulation  (EU)  No  961/2010  of  25  October  2010  on 
restrictive  measures  against  Iran.  For  the  sake  of  clarity,  the  Commission  and  the  High 
Representative of the EU for Foreign Affairs and Security Policy propose to replace it by a 
new, consolidated Regulation.  

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2012/0030 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

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

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to Council Decision 2012/35/CFSP of 23 January 2012 amending Council Decision 
2010/413/CFSP concerning restrictive measures against Iran1, 

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

Whereas: 

(1) 

(2) 

(3) 

(4) 

On  25  October  2010,  the  Council  adopted  Regulation  (EU)  No  961/2010  on  restrictive 
measures against Iran and repealing Regulation (EC) No 423/20072, in order to give effect to 
Council Decision 2010/413/CFSP3.  

On 23 January 2012, the Council approved Decision 2012/35/CFSP providing for additional 
restrictive  measures  against  the  Islamic  Republic  of  Iran  ('Iran')  as  requested  by  the 
European Council on 9 December 2011. 

Those  restrictive  measures  comprise,  in  particular,  additional  restrictions  on  trade  in 
dual-use goods and technology, as well as on key equipment and technology which could be 
used  in  the  petrochemical  industry,  a  ban  on  the  import  of  Iranian  crude  oil,  petroleum 
products  and  petrochemical  products,  as  well  as  a  prohibition  of  investment  in  the 
petrochemical  industry.  Moreover,  trade  in  gold,  precious  metals  and  diamonds  with  the 
Government of Iran, as well as the delivery of newly printed banknotes and coinage to or for 
the benefit of the Central Bank of Iran, should be prohibited. 

Certain  technical  amendments  to  existing  measures  have  also  become  necessary.  In 
particular,  the  definition  of  “brokering  services”  should  be  clarified,  and  the  definition  of 
“transfers  of  funds”  should  be  broadened  to  non-electronic  transfers  so  as  to  counter 
attempts at circumventing the restrictive measures. 

1 
2 
3 

OJ L 19 of 24.01.2012, p. 23 . 
OJ L 281, 27.10.2010, p. 1. 
OJ L 195, 27.07.2010, p. 39. 

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(5) 

(6) 

(7) 

(8) 

(9) 

The  revised  restrictive  measures  concerning  dual-use  goods  should  cover  all  goods  and 
technology  set  out  in  Annex  I  to  Council  Regulation  (EC)  No  428/2009  of 5 May 2009 
setting up a Community regime for the control of exports, transfer, brokering and transit of 
dual-use items1, with the exception of certain items in Part 2 of category 5 thereof in view of 
their use in public communication services in Iran. 

In  order  to  ensure  the  effective  implementation  of  the  prohibition  on  the  sale,  supply, 
transfer or export to Iran of certain key equipment or technology which could be used in the 
key sectors of the oil, natural gas and petrochemical industries, lists of such key equipment 
and technology should be provided.  

For the same reason, lists of items subject to trade restrictions on  crude oil and petroleum 
products,  petrochemical  products,  gold,  precious  metals  and  diamonds  should  also  be 
provided. 

In addition, to be effective, restrictions on investment in the Iranian oil and gas sector should 
cover certain key activities, such as bulk gas transmission services for the purpose of transit 
or delivery to directly interconnected grids, and, for the same reason, should apply to joint 
ventures as well as other forms of associations and cooperation with Iran in the sector of the 
transmission of natural gas. 

Effective restrictions on Iranian investment in the Union require that measures be taken to 
prohibit  natural  or  legal  persons,  entities  and  bodies  subject  to  the  jurisdiction  of  the 
Member States from enabling or authorising such investment. 

(10)  Decision 2012/35/CFSP also extends the freezing of assets to additional persons, entities or 
bodies  providing  support  to  the  Government  of  Iran,  including  financial,  logistical  and 
material support, or associated with them. The Decision also extends the freezing measures 
to other members of the Islamic Revolutionary Guard Corps (IRGC). 

(11)  Decision 2012/35/CFSP also provides for the freezing of the assets of the Central Bank of 
Iran. However, in consideration of the specific role plaid by the Central Bank of Iran in the 
financing of foreign trade, a derogation for the refinancing of credit and financial institutions 
is deemed necessary as this targeted financial measure should not prevent trade operations in 
conformity with the provisions of this Regulation. A derogation for payments to the Central 
Bank  is  also  required  to  allow  for  the  execution,  in  conformity  with  the  provisions  of  this 
Regulation, until 1 July 2012, of contracts relating to the import, purchase or transport of oil 
and petroleum products concluded prior to 23 January 2012.  

(12) 

It  is  prohibited,  pursuant  to  the  obligation  to  freeze  the  assets  of  Islamic  Republic  of  Iran 
Shipping  Line  (IRISL)  and  of  entities  owned  or  controlled  by  IRISL  to  load  and  unload 
cargoes  on  and  from  vessels  owned  or  chartered  by  IRISL  or  by  such  entities  in  ports  of 
Member  States.  Moreover,  the  transfer  of  ownership  of  vessels  owned,  controlled  or 
chartered  by  IRISL  companies  to  other  entities  should  also  be  prohibited  pursuant  to  the 
freezing  of  IRISL’s  assets.  However,  the  obligation  to  freeze  the  funds  and  economic 
resources  of  IRISL  and  of  entities  owned  or  controlled  by  IRISL  does  not  require  the 
impounding or  detention of  vessels owned by such entities or the  cargoes carried by them 
insofar as such cargoes belong to third parties, nor does it require the detention of the crew 
contracted by them. 

1 

OJ L 134, 29.5.2009, p. 1. 

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(13) 

(14) 

In consideration of Iran’s attempts at circumventing the sanctions, it should be clarified that 
all  funds  and  economic  resources  belonging  to,  owned,  held  or  controlled  by  persons, 
entities  or  bodies  listed  in  Annexes  I  or  II  of  Decision  2010/413/CFSP  are  to  be  frozen 
without delay, including those of successor entities established to circumvent the measures 
set out in this Regulation. 

It should also be clarified that submitting and forwarding the necessary documents to a bank 
for the purpose of their final transfer to a person, entity or body that is not listed, to trigger 
payments  allowed  under  Article  25  of  this  Regulation,  does  not  constitute  making  funds 
available within the meaning of Article 23(3) of this Regulation. 

(15) 

It should be clarified that funds or economic resources may be released for official purposes 
of  diplomatic  or  consular  missions  or  international  organisations  enjoying  immunities  in 
accordance with international law, in conformity with the provisions of this Regulation. 

(16)  The  application  of  targeted  financial  sanctions  by  providers  of  financial  communication 

services should be clarified, in conformity with the provisions of this Regulation. 

(17) 

(18) 

It  should  be  clarified  that  assets  of  non-designated  persons,  entities  or  bodies  held  at 
designated  credit  and  financial  institutions  should  not  remain  frozen  in  application  of  the 
targeted  financial  measures  and  may  be  released  under  the  conditions  provided  for  in  this 
Regulation. 

In  consideration  of  Iran’s  attempts  at  using  its  financial  system  for  the  purpose  of 
circumventing the sanctions, it is necessary to ensure enhanced vigilance in relation to the 
activities  of  Iran’s  credit  and  financial  institutions  so  as  to  prevent  circumvention  of  the 
provisions  of  this  Regulation,  including  the  freezing  of  the  assets  of  the  Central  Bank  of 
Iran's.  These  requirements  for  credit  and  financial  institutions  shall  be  complementary  to 
existing  obligations deriving  from Regulation (EC) 1781/2006  of the  European Parliament 
and  of  the  Council  of  15  November  2006  on  information  on  the  payer  accompanying 
transfers  of funds1 and from the implementation  of Directive 2005/60/EC  of the  European 
Parliament  and  of  the  Council  of 26  October  2005  on  the  prevention  of  the  use  of  the 
financial system for the purpose of money laundering and terrorist financing2. 

(19)  Provisions regarding the controls of funds transfers should be reviewed in order to facilitate 
their application by competent authorities and operators and to prevent circumvention of the 
the provisions of this Regulation, including the freezing of the assets of the Central Bank of 
Iran.  

(20)  Furthermore,  the  restrictions  on  insurance  should  be  adjusted,  notably  with  a  view  to 
clarifying  that  insurance  of  diplomatic  and  consular  missions  within  the  EU  is  permitted 
under  the  Regulation,  and  to  allow  for  the  provision  of  third  party  liability  insurance  or 
environmental liability insurance.  

(21)  Besides,  the  requirement  to  submit  pre-arrival  and  pre-departure  information  needs  to  be 
updated  since  this  obligation  has  become  generally  applicable  to  all  goods  entering  or 
leaving  the  Union's  customs  territory  following  the  full  implementation  as  from  1  January 
2012 of the customs security measures laid down in the relevant provisions concerning entry 

1 
2 

OJ L 345, 8.12.2006, p. 1. 
OJ L 309, 25.11.2005, p. 15. 

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and exit summary declarations in Regulation (EEC) No 2913/921 and in Regulation (EEC) 
No 2454/932.  

(22)  Adjustments should also be made to provisions concerning the provision of bunkering and 
ship supply services, the liability of operators and the prohibition of the circumvention of the 
restrictive measures. 

(23)  The mechanisms for exchange of information between Member States and the Commission 
should  be  reviewed  so  as  to  ensure  the  effective  and  uniform  implementation  of  this 
Regulation. 

(24) 

In  consideration  of  its  objectives,  the  ban  on  internal  repression  equipment  should  be 
provided for under Regulation No (EU) 359/2011 concerning restrictive measures directed 
against certain persons, entities and bodies in view of the situation in Iran3, rather than under 
this Regulation. 

(25)  For  the  sake  of  clarity,  Regulation  (EU)  No  961/2010  should  be  repealed  and  replaced  by 

this Regulation. 

(26)  The  restrictive  measures  outlined  above  fall  within  the  scope  of  the  Treaty  on  the 
Functioning  of  the  European Union  and,  therefore,  notably  with  a  view  to  ensuring  their 
uniform application by economic operators in all Member States, legislation at the level of 
the Union is necessary in order to implement them as far as the Union is concerned. 

(27)  This  Regulation  respects  the  fundamental  rights  and  observes  the  principles  recognised  in 
particular by the Charter of Fundamental Rights of the European Union and notably the right 
to an effective remedy and to a fair trial, the right to property and the right to protection of 
personal  data.  This  Regulation  should  be  applied  in  accordance  with  those  rights  and 
principles. 

(28)  This  Regulation  also  respects  the  obligations  of  Member  States  under  the  Charter  of  the 
the  United Nations  Security 

legally  binding  nature  of 

the 

United  Nations  and 
Council Resolutions. 

(29)  The  procedure  for  the  designation  of  persons  subject  to  freezing  measures  under  this 
Regulation should include providing designated natural  or legal persons, entities or bodies 
with the grounds for listing, so as to give them an opportunity to submit observations. Where 
observations  are  submitted,  or  substantial  new  evidence  is  presented,  the  Council  should 
review  its  decision  in  light  of  those  observations  and  inform  the  person,  entity  or  body 
concerned accordingly. 

(30)  For the implementation of this Regulation, and to create maximum legal certainty within the 
Union, the names and other relevant data concerning natural and legal persons, entities and 
bodies  whose  funds  and  economic  resources  must  be  frozen  in  accordance  with  the 
Regulation,  should  be  made  public.  Any  processing  of  personal  data  of  natural  persons 
under 
the 
European Parliament  and  of  the  Council  of  18  December  2000  on  the  protection  of 
individuals with regard to the processing of personal data by the Community institutions and 

(EC)  No  45/2001  of 

respect  Regulation 

this  Regulation 

should 

1 
2 
3 

OJ L 302, 19.10.1992, p. 1 
OJ L 253, 11.10.1993, p. 1. 
OJ L100, 14.4.2011, p.1 

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bodies  and  on  the  free  movement  of  such  data1  and  Directive  95/46/EC  of  the 
European Parliament and of the Council of 24 October 1995 on the protection of individuals 
with regard to the processing of personal data and on the free movement of such data2. 

(31) 

In order to ensure that the measures provided for in this Regulation are effective, it should 
enter into force on the day of its publication, 

HAS ADOPTED THIS REGULATION: 

1 
2 

OJ L 8, 12.1.2001, p. 1. 
OJ L 281, 23.11.1995, p. 31. 

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Chapter I 
Definitions 

Article 1 

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

(a) 

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

(b) 

'brokering services' means: 

(i) 

(ii) 

the  negotiation  or  arrangement  of  transactions  for  the  purchase,  sale  or  supply  of 
goods and technology or related services, or of financial services, including from a 
third country to any other third country, or  

the  selling  or  buying  of  goods  and  technology  or  related  services,  or  of  financial 
services,  including  where  they  are  located  in  third  countries  for  their  transfer  to 
another third country; 

(c) 

'claim' means any claim, whether asserted by legal proceedings or not, made before or after 
the  date  of  entry  into  force  of  this  Regulation,  under  or  in  connection  with  a  contract  or 
transaction, and includes in particular: 

(i) 

a  claim  for  performance  of  any  obligation  arising  under  or  in  connection  with  a 
contract or transaction; 

(ii) 

a  claim  for  extension  or  payment  of  a  bond,  financial  guarantee  or  indemnity  of 
whatever form; 

(iii)  a claim for compensation in respect of a contract or transaction; 

(iv)  a counterclaim; 

(v) 

a claim for the recognition or enforcement, including by the procedure of exequatur, 
of  a  judgment,  an  arbitration  award  or  an  equivalent  decision,  wherever  made 
or given; 

(d) 

'contract  or  transaction'  means  any  transaction  of  whatever  form  and  whatever  the 
applicable  law,  whether  comprising  one  or  more  contracts  or  similar  obligations  made 
between the same or different parties; for this purpose 'contract' includes a bond, guarantee 
or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether 
legally independent or not, as well as any related provision arising under, or in connection 
with, the transaction; 

(e) 

‘competent  authorities’  refers  to  the  competent  authorities  of  the  Member  States  as 
identified on the websites listed in Annex X; 

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(f) 

(g) 

(h) 

institution'  means  a  credit 

'credit 
in  Article  4(1)  of 
Directive 2006/48/EC  of  the  European  Parliament  and  of  the  Council  of  14  June  2006 
relating  to  the  taking  up  and  pursuit  of  the  business  of  credit  institutions1,  including  its 
branches inside or outside the Union; 

institution  as  defined 

'customs  territory  of  the  Union'  means  the  territory  as  defined  in  Article  3  of  Council 
Regulation (EEC) No 2913/92 of 12  October 1992 establishing the  Community Customs 
Code2  and  in  Commission  Regulation  (EEC)  No  2454/93  of  2  July  1993  laying  down 
provisions for the implementation of Regulation (EEC) No 2913/923; 

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

1 
2 
3 

OJ L 177, 30.6.2006, p. 1. 
OJ L 302, 19.10.1992, p. 1. 
OJ L 253, 11.10.1993, p. 1. 

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(i) 

'financial institution' means  

(i) 

(ii) 

an undertaking, other than a credit institution, which carries out one or more of the 
operations  included  in  points  2  to  12  and  points  14  and  15  of  Annex  I  to 
Directive 2006/48/EC, including the activities of currency exchange offices (bureaux 
de change); 

an insurance company duly authorised in accordance with Directive 2009/138/EC of 
the European Parliament and of the Council of 25 November 2009 on the taking-up 
and pursuit of the business of Insurance and Reinsurance (Solvency II)1, insofar as it 
carries out activities covered by that Directive; 

(iii)  an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of 
the  European  Parliament  and  of  the  Council  of  21  April  2004  on  markets  in 
financial instruments2; 

(iv)  a collective investment undertaking marketing its units or shares; or 

(v) 

an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the 
European Parliament  and  of  the  Council  of  9  December  2002  on  insurance 
mediation3,  with  the  exception  of  intermediaries  referred  to  in  Article  2(7)  of  that 
Directive,  when  they  act  in  respect  of  life  insurance  and  other  investment 
related services; 

including its branches inside or outside the Union; 

(j) 

(k) 

'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; 

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

(l) 

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

(i) 

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

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

debt obligations; 

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

(iv) 

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

1 
2 
3 

OJ L 335, 17.12.2009, p. 1.– 
OJ L 145, 30.4.2004, p. 1. 
OJ L 9, 15.1.2003, p. 3. 

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(v) 

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

(vi) 

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

(vii)  documents showing evidence of an interest in funds or financial resources; 

(m) 

'goods' includes items, materials and equipment; 

(n) 

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

(o) 

'Iranian person, entity or body' means: 

(i) 

the State of Iran or any public authority thereof; 

(ii) 

any natural person in, or resident in, Iran; 

(p) 

(q) 

(r) 

(s) 

(t) 

(iii)  any legal person, entity or body having its registered office in Iran; 

(iv)  any legal person, entity or body, inside or outside Iran, owned or controlled directly 

or indirectly by one or more of the above mentioned persons or bodies; 

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

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

'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; 

'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; 

'transfer  of  funds'  means  any  transaction  carried  out  on  behalf  of  a  payer  through  a 
payment  service  provider,  either  by  electronic  means  or  by  other  means  such  as  cash, 
cheques  or accountancy  orders,  with  a  view  to  making  funds  available  to  a  payee  at  a 
payment  service  provider,  irrespective  of  whether  the  payer  and  the  payee  are  the  same 
person. The terms payer, payee and payment service provider have the same meaning as in 
Regulation (EC) No 1781/2006. 

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Chapter II 
Export and import restrictions 

Article 2 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

4. 

5. 

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, the goods and 
technology listed in Annex I or II, whether or not originating in the Union, to any Iranian 
person, entity or body or for use in Iran.  

Annex I shall include goods and technology, including software, which are dual-use items 
or  technology  as  defined  in  Regulation  (EC)  No  428/2009  of  5  May  2009,  except  for 
certain goods and technology as specified in part A of Annex I to this Regulation.  

Annex  II  shall  include  other  goods  and  technology  which  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  has 
identified as outstanding, including those determined by the UN Security Council or by the 
Sanctions Committee. 

Annexes I and II shall not include goods and technology included in the Common Military 
List of the European Union1 ('Common Military List'). 

Article 3 

A prior authorisation shall be required for the sale, supply, transfer or export, directly or 
indirectly, of the goods and technology listed in Annex III, whether or not originating in 
the Union, to any Iranian person, entity or body or for use in Iran. 

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

Annex III shall include any goods and technology, other than those included in Annexes I 
and II, 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  about  which  the  IAEA  has  expressed  concerns  or  has 
identified as outstanding. 

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

The competent authorities shall not grant any authorisation for any sale, supply, transfer or 
export of the goods or technology included in Annex III, if they have reasonable grounds 

1 

OJ C 69, 18.3.2010, p. 19 

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to determine that the sale, supply, transfer or export thereof 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  about  which  the  IAEA  has 
expressed concerns or has identified as outstanding. 

Under  the  conditions  set  out  in  paragraph  5,  the  competent  authorities  of  the 
Member States may annul, suspend, modify or revoke an export authorisation which they 
have granted. 

Where  the  competent  authority  of  a  Member  State  refuses  to  grant  an  authorisation,  or 
annuls,  suspends,  substantially  limits  or  revokes  an  authorisation  in  accordance  with 
paragraphs 5  or  6,  the  Member  State  shall  notify  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 
matters1. 

Before  a  Member  State  grants  an  authorisation  in  accordance  with  paragraph  5  for  a 
transaction which is essentially identical to a transaction which is the subject of a still valid 
denial  issued  by  another  Member  State  or  by  other  Member  States  under  paragraphs 6 
and 7,  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. 

6. 

7. 

8. 

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

Article 4 

1. 

It shall be prohibited: 

Article 5 

(a) 

to  provide,  directly  or  indirectly,  technical  assistance  related  to  the  goods  and 
technology  listed  in  the  Common  Military  List,  or  related  to  the  provision, 
manufacture,  maintenance  and  use  of  goods  included  in  that  list,  to  any  Iranian 
person, entity or body or for use in Iran; 

(b) 

to provide, directly or indirectly, technical assistance or brokering services related to 
the  goods  and  technology  listed  in  Annex  I  or  II,  or  related  to  the  provision, 

1 

OJ L 82, 22.3.1997, p. 1. 

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manufacture,  maintenance  and  use  of  goods  listed  in  Annex  I  or  II,  to  any  Iranian 
person, entity or body or for use in Iran; and 

(c) 

to  provide,  directly  or  indirectly,  financing  or  financial  assistance  related  to  the 
goods  and  technology  listed  in  the  Common  Military  List  or  in  Annexe I  or  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 Iranian person, entity or body or for use in Iran. 

2. 

The  provision  of  the  following  shall  be  subject  to  an  authorisation  from  the  competent 
authority of the Member State concerned: 

(a) 

(b) 

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

financing  or  financial  assistance  related  to  goods  and  technology  referred  to  in 
Annex III,  including  in  particular  grants,  loans  and  export  credit  insurance,  for  any 
sale,  supply,  transfer  or  export  of  those  items,  or  for  any  provision  of  related 
technical assistance, directly or indirectly, to any Iranian person, entity or body or for 
use in Iran. 

3. 

The competent authorities  of the Member States  shall  not  grant  any  authorisation  for  the 
transactions referred to in paragraph 2, if they have reasonable grounds to determine that 
the action 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  about  which  the  IAEA  has 
expressed concerns or has identified as outstanding. 

Article 2(1) shall not apply to: 

Article 6 

(a) 

(b) 

(c) 

the  direct  or  indirect  transfer  of  goods  falling  within  Part  B  of  Annex  I,  through  the 
territories of Member States when those goods are sold, supplied, transferred or exported 
to, or for use in, Iran for a light water reactor in Iran the construction of which has begun 
before December 2006; 

transactions mandated by the IAEA technical cooperation programme; or 

goods supplied or transferred to, or for use in, Iran due to obligations of State Parties under 
the Paris Convention on the Prohibition of the Development, Production, Stockpiling and 
Use of Chemical Weapons and on their Destruction of 13 January 1993. 

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Article 7 

1. 

The  competent  authorities  may  grant,  under  such  terms  and  conditions  as  they  deem 
appropriate, an authorisation for a transaction in relation to goods and technology referred 
to  in  Article 2(1)  or  assistance  or  brokering  services  referred  to  in  Article  5(1),  provided 
that: 

(a) 

(b) 

the goods and technology, assistance or brokering services are for food, agricultural, 
medical or other humanitarian purposes; and  

in those cases where the transaction concerns goods or technology contained in the 
Nuclear Suppliers Group or Missile Technology Control Regime lists, 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,  or  to  the  development  of 
nuclear weapon development delivery systems. 

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

Article 8 

It shall be prohibited to sell, supply, transfer or export key equipment or technology listed 
in Annex VI, directly or indirectly, to any Iranian person, entity or body or for use in, Iran. 

Annex VI shall include key equipment and technology for the following key sectors of the 
oil and gas industry in Iran: 

(a) 

exploration of crude oil and natural gas; 

(b)  production of crude oil and natural gas; 

(c) 

refining; 

(d) 

liquefaction of natural gas. 

Annex VI shall also include key equipment and technology for the petrochemical industry 
in Iran. 

Annex  VI  shall  not  include  items  included  in  the  Common  Military  List,  or  in  Annex  I, 
Annex II or Annex III. 

2. 

1. 

2. 

3. 

4. 

It shall be prohibited: 

Article 9 

(a) 

to  provide,  directly  or  indirectly,  technical  assistance  or  brokering  services  related  to  the 
key equipment and technology listed in Annex VI, or related to the provision, manufacture, 
maintenance and use of goods listed in Annex VI, to any Iranian person, entity or body or 
for use in Iran. 

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16 

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(b) 

to  provide,  directly  or  indirectly,  financing  or  financial  assistance  related  to  the  key 
equipment and technology listed in Annex VI, to any Iranian person, entity or body or for 
use in Iran. 

Article 10 

Provided  that  a  natural  or  legal  person,  entity  or  body  seeking  to  engage  in  transactions 
referred to in points (a) or (b), or to provide assistance to such transactions, has notified, at 
least 20 working days in advance, the transaction or assistance to the competent authority 
of the Member State in which it is established, the prohibitions in Articles 8 and 9 shall not 
apply to:  

(b) 

(c) 

transactions required  by  a  trade  contract  concerning  key  equipment  and  technology 
in  the  exploration  of  crude  oil  and  natural  gas,  production  of  crude  oil  and  natural 
gas, refining, liquefaction of natural gas concluded before 27 October 2010, or by a 
contract or agreement concluded before 26 July 2010 and relating to an investment in 
Iran made before 26 July 2010, nor shall they prevent the execution of an obligation 
arising there from; or 

transactions required  by  a  trade  contract  concerning  key  equipment  and  technology 
for  the  petrochemical  industry  concluded  before  [date  of  entry  into  force  of  this 
Regulation],  or  by  a  contract  or  agreement  concluded  before 23  January  2012  and 
relating to an investment in Iran made before 23 January 2012, nor shall they prevent 
the execution of an obligation arising there from.  

1. 

It shall be prohibited: 

Article 11 

(a) 

to import crude oil or petroleum products into the Union if they: 

(i) originate in Iran; or  

(ii) have been exported from Iran; 

(b) 

(c) 

(d) 

to purchase crude oil or petroleum products which are located in or which originated 
in Iran; 

to  transport  crude  oil  or  petroleum  products  if  they  originate  in  Iran,  or  are  being 
exported from Iran to any other country; and 

to provide, directly or indirectly, financing or financial assistance, including financial 
derivatives,  as  well  as  insurance  and  re-insurance,  except  for  third  party  liability 
insurance  and  environmental  liability  insurance,  related  to  the  goods  referred  to  in 
points (a), (b) and (c). 

2. 

Crude oil and petroleum products means the products listed in Annex IV. 

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17 

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The prohibitions in Article 11 shall not apply to: 

Article 12 

(a) 

(b) 

(c) 

the execution until 1 July 2012, of trade contracts concluded before 23 January 2012, 
or  of  ancillary  contracts,  including  transport,  insurance  or  inspections  contracts, 
necessary for the execution of such contracts; 

the  purchase  and  transport  of  crude  oil  or  petroleum  products  which  had  been 
exported from Iran prior to 23 January 2012, or where the export was made pursuant 
to point (a), on or prior to 1 July 2012; or 

the  execution  of  contracts  concluded  before  23  January  2012,  or  of  ancillary 
contracts,  including  transport,  insurance  or  inspection  contracts,  necessary  for  the 
execution  of  such  contracts,  where  such  a  contract  specifically  provides  that  the 
supply of Iranian crude oil and petroleum products or the proceeds derived from their 
supply  are  for  the  reimbursement  of  outstanding  amounts  to  persons,  entities  or 
bodies under the jurisdiction of Member States, 

provided  that  the  person,  entity  or  body  seeking  to  perform  the  contract  concerned  has 
notified, at least 20 working days in advance, the activity or transaction to the competent 
authority of the Member State in which it is established. 

Article 13 

1. 

2. 

It shall be prohibited to purchase, import or transport from Iran, directly or indirectly, the 
petrochemical products listed in Annex V, whether the item concerned originates in Iran or 
not. 

It shall be prohibited to provide, directly or indirectly, financing or financial assistance, as 
well  as  insurance  and  re-insurance,  except  for  third  party  liability  insurance  and 
environmental liability insurance, related to the goods referred to in paragraph 1.  

The prohibitions in Article 13 shall not apply to: 

Article 14 

(a) 

(b) 

(c) 

the execution until 1 May 2012, of trade contracts concluded before 23 January 2012, 
or  of  ancillary  contracts,  including  transport,  insurance  or  inspection  contracts, 
necessary for the execution of such contracts;  

the purchase and transport of petrochemical products which had been exported from 
Iran prior to 23 January 2012, or where the export was made pursuant to point (a), on 
or prior to 1 May 2012; or 

the  execution  of  contracts  concluded  before  23  January  2012,  or  of  ancillary 
contracts, including  transport  or  insurance  contracts,  necessary  for  the  execution  of 
such contracts, where such a contract specifically provides that the supply of Iranian 
petrochemical  products  or  the  proceeds  derived  from  their  supply  are  for  the 
reimbursement  of  outstanding  amounts  to  persons,  entities  or  bodies  under  the 
jurisdiction of Member States, 

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18 

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provided  that  the  person,  entity  or  body  seeking  to  perform  the  contract  concerned  has 
notified, at least 20 working days in advance, the activity or transaction to the competent 
authority of the Member State in which it is established. 

1. 

It shall be prohibited: 

Article 15 

(a) 

(b) 

(c) 

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

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

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

2. 

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

Article 16 

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

Chapter III 
Restrictions on financing of certain entreprises 

1. 

The following shall be prohibited: 

Article 17 

(a) 

(b) 

(c) 

the  granting  of  any  financial  loan  or  credit  to  any  Iranian  person,  entity  or  body 
referred to in paragraph 2; 

the  acquisition  or  extension  of  a  participation  in  any  Iranian  person,  entity  or  body 
referred to in paragraph 2; 

the creation of any joint venture with any Iranian person, entity or body referred to in 
paragraph 2. 

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2. 

The prohibition in paragraph 1 shall apply to any Iranian person, entity or body engaged: 

(a) 

(b) 

in the manufacture of goods or technology listed in the Common Military List or in 
Annex I or II; 

in the exploration or production of crude oil and natural gas, the refining of fuels or 
the liquefaction of natural gas; or 

(c) 

in the petrochemical industry. 

3. 

For the purposes of paragraph 2(b) only, the following definitions shall apply: 

4. 

5. 

1. 

2. 

(a) 

(b) 

(c) 

'exploration of crude oil and natural gas' includes the exploration for, prospection of 
and  management  of  crude  oil  and  natural  gas  reserves,  as  well  as  the  provision  of 
geological services in relation to such reserves; 

'production of crude oil and natural gas' includes bulk gas transmission services for 
the purpose of transit or delivery to directly interconnected grids; 

'refining'  means  the  processing,  conditioning  or  preparation  for  the  ultimately  final 
sale of fuels. 

It  shall  be  prohibited  to  establish  cooperation  with  an  Iranian  person,  entity  or  body 
engaged in the transmission of natural gas as referred to in paragraph 3(b). 

For the purposes of paragraph 4, 'cooperation' means: 

(a) 

the  sharing  of  investment  costs  in  an  integrated  or  managed  supply  chain  for  the 
receipt or delivery of natural gas directly from or to the territory of Iran; and 

(b)  direct  co-operation  for  the  purpose  of  investing  in  liquefied  natural  gas  facilities 
liquefied  natural  gas  facilities  directly 
in 

territory  of  Iran  or 

the 
within 
connected thereto. 

Article 18 

The making of an investment through transactions referred to in Article 17(1) in an Iranian 
person,  entity  or  body  engaged  in  the  manufacture  of  goods  or  technology  listed  in 
Annex III  shall  be  subject  to  an  authorisation  from  the  competent  authority  of  the 
Member State concerned. 

The competent authorities  of the Member States  shall  not  grant  any  authorisation  for  the 
transactions referred to in paragraph 1, if they have reasonable grounds to determine that 
the action 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  about  which  the  IAEA  has 
expressed concerns or has identified as outstanding. 

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Article 19 

1. 

By  way  of  derogation  from  Article  17(2)(a),  the  competent  authorities  of  the  Member 
States  may  grant,  under  such  terms  and  conditions  as  they  deem  appropriate,  an 
authorisation to make an investment through transactions referred to in Article 17(1), if the 
following conditions are met: 

(a) 

(b) 

(c) 

the Iranian person, entity or body has committed itself to apply appropriate end-user 
guarantees as regards the goods or technology concerned; 

Iran  has  undertaken  not  to  use  the  goods  or  technology  concerned  in  proliferation-
sensitive nuclear activities or for development of nuclear weapon delivery systems; 
and 

in  those  cases  where  the  investment  is  made  in  an  Iranian  person,  entity  or  body 
engaged  in  the  manufacture  of  goods  or  technology  contained  in  the  Nuclear 
Suppliers  Group  and  Missile  Technology  Control  Regime  lists,  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,  or  to  the  development  of 
nuclear weapon development delivery systems. 

2. 

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

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21 

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Article 20 

Article 17(2)(b) shall not apply to the granting of a financial loan or credit or to the acquisition or 
extension of a participation, if the following conditions are met: 

(a) 

(b) 

the transaction is required by an agreement or contract concluded before 26 July 2010; and 

the  competent  authority  has  been  informed  at  least  20  working  days  in  advance  of  that 
agreement or contract. 

Article 21 

Article 17(2)(c) shall not apply to the granting of a financial loan or credit or to the acquisition or 
extension of a participation, if the following conditions are met: 

(a) 

(b) 

the transaction is required by an agreement or contract concluded before 23 January 2012; 
and 

the  competent  authority  has  been  informed  at  least  20  working  days  in  advance  of  that 
agreement or contract. 

Article 22 

It shall be prohibited to accept or approve, by concluding an agreement or by any other means, that 
the granting of any financial loan or credit, or the acquisition or extension of a participation, or the 
creation  of  any  joint  venture  be  made  by  one  or  more  Iranian  persons,  entities  or  bodies,  in  an 
enterprise engaged in any of the following activities: 

(a) 

(b) 

(c) 

uranium mining, 

uranium enrichment and reprocessing of uranium; 

the  manufacture  of  goods  or  technology  included  in  the  Nuclear  Suppliers  Group  or 
Missile Technology Control Regime lists. 

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Chapter IV 
Freezing of funds and economic resources 

Article 23 

1. 

2. 

All funds and economic resources belonging to, owned, held or controlled by the persons, 
entities and bodies listed in Annex I of Council Decision 2010/413/CFSP shall be frozen. 
Annex  I  of  Council  Decision  2010/413/CFSP  includes  the  persons,  entities  and  bodies 
designated  by  the  United  Nations  Security  Council  or  by  the  Sanctions  Committee  in 
accordance  with  paragraph  12  of  UNSCR  1737  (2006),  paragraph  7  of  UNSCR 
1803 (2008) or paragraph 11, 12 or 19 of UNSCR 1929 (2010). 

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

(a) 

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

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

to  evade  or  violate 

the  provisions  of 

(c) 

being a member of the Islamic Revolutionary Guard Corps or a legal person, entity 
or body owned or controlled by the Islamic Revolutionary Guard Corps or by one of 
more of its members, or natural or legal persons acting on their behalf; 

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

(e) 

being a legal person, entity or body owned or controlled by the Islamic Republic of 
Iran Shipping Lines (IRISL), or acting on their behalf. 

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

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

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23 

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5. 

6. 

3. 
No funds or economic resources shall be made available, directly or indirectly, to or 
for the benefit of the natural or legal persons, entities or bodies listed in Annexes I or II of 
Council Decision 2010/413/CFSP. 

4. 
Pursuant to the obligation to freeze the funds and economic resources, and without 
prejudice to the execution of derogations provided for in paragraphs 24, 25, 26, 27, 28, 29 
or 30, it shall be prohibited to supply financial communication services, which are used by 
financial institutions to exchange financial data amongst themselves, to the natural or legal 
persons, entities or bodies listed in Annexes I or II of Council Decision 2010/413/CFSP. 

Annexes I and II of Council Decision 2010/413/CFSP shall include the grounds for listing 
of  listed  persons,  entities  and  bodies,  as  provided  by  the  Security  Council  or  by  the 
Sanctions Committee for Annex I.  

Annexes I and II of Council Decision 2010/413/CFSP shall also include, where available, 
information  necessary  to  identify  the  natural  or  legal  persons,  entities  and  bodies 
concerned, as provided by the Security Council or by the Sanctions Committee for Annex 
I. With regard to natural persons, such information may include names including aliases, 
date  and  place  of  birth,  nationality,  passport  and  ID  card  numbers,  gender,  adress,  if 
known, and function or profession. With regard to legal persons, entities and bodies, such 
information  may  include  names,  place  and  date  of  registration,  registration  number  and 
place of business. With regard to airlines and shipping companies, Annexes I and II shall 
also  include,  where  available,  information  necessary  to  identify  each  vessel  or  aircraft 
belonging to a listed company such as the original registration number or name. Annexes I 
and II shall also include the date of designation.  

Article 24 

1. 

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

(d) 

(e) 

(f) 

(g) 

the  funds  or  economic  resources  are  the  subject  of  a  judicial,  administrative  or 
arbitral lien established before the date on which the person, entity or body referred 
to  in  Article  23  has  been  designated  by  the  Sanctions  Committee,  the  Security 
Council or the Council or of a judicial, administrative or arbitral judgment 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  judgment,  within  the  limits  set  by 
applicable laws and regulations governing the rights of persons having such claims; 

the lien or judgment is not for the benefit of a person, entity or body listed in Annex I 
or II of Council Decision 2010/413/CFSP; 

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

(h)  where  Article  23(1)  applies,  the  Sanctions  Committee  has  been  notified  by  the 

Member State of the lien or judgment. 

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2. 

The relevant Member State shall inform the other Member States and the Commission of 
authorisations granted under paragraph 1. 

Article 25 

By  way  of  derogation  from  Article  23  and  provided  that  a  payment  by  a  person,  entity  or  body 
listed in Annex I orII of Council Decision 2010/413/CFSP is due under a contract or agreement that 
was concluded by, or an obligation that arose for the person, entity or body concerned, before the 
date  on  which  that  person,  entity  or  body  had  been  designated  by  the  Sanctions  Committee,  the 
Security Council or by the Council, the competent authorities of the Member States 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: 

(b) 

(c) 

1. 

(i) 

the funds or economic resources shall be used for a payment by a person, entity or 
body listed in Annex I or II of Council Decision 2010/413/CFSP; 

(ii) 

the payment will not contribute to an activity prohibited under this Regulation and 

(iii) 

the payment is not in breach of Article 23(3); 

where  Article  23(1)  applies,  the  Member  State  concerned  has  notified  the  Sanctions 
Committee  of  the  determination  referred  to  in  point  (a)  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 

the Member State concerned has notified the other Member States and the Commission of 
the determination referred to in point (a) and its intention to grant an authorisation at least 
ten working days prior to the authorisation. 

Article 26 

By way of derogation from Article 23, the competent authorities of the Member States 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, provided that 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  I  or  II  of 
Council  Decision  2010/413/CFSP,  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 

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(iii) 

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

(b)  where  the  authorisation  concerns  a  person,  entity  or  body  listed  in  Annex  I  of 
Council  Decision  2010/413/CFSP,  the  Member  State  concerned  has  notified  the 
Sanctions Committee of the determination referred to in point (a) 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. 

The  relevant  Member  State  shall  inform  the  other  Member  States  and  the 

2. 
Commission of authorisations granted under paragraph 1. 

By  way  of  derogation  from  Article  23,  the  competent  authorities  of  the  Member 
3. 
States  may  authorise  the  release  of  certain  frozen  funds  or  economic  resources  or  the 
making available of certain funds or economic resources, after having determined that the 
funds or economic resources are necessary for extraordinary expenses or for payment for 
or  transfer  of  goods  when  procured  for  a  light  water  reactor  in  Iran  the  construction  of 
which has begun before December 2006, or for goods referred to in Article 6(b) and (c), 
provided that the following conditions are met: 

(a)  where  the  authorisation  concerns  a  person,  entity  or  body  listed  in  Annex  I  of 
Council Decision 2010/413/CFSP, the Sanctions Committee has been notified of that 
determination  by  the  Member  State  concerned  and  the  determination  has  been 
approved by that Committee; and 

(b)  where  the  authorisation  concerns  a  person,  entity  or  body  listed  in  Annex  II  of 
Council Decision 2010/413/CFSP, the Member State concerned shall notify the other 
Member States and the Commission of that determination and its intention to grant 
an authorisation at least ten working days prior to the authorisation.  

Article 27 

1 

By way of derogation from Article 23 (2) and (3), the competent authorities of the Member 
States  may  authorise,  under  such  conditions  as  they  deem  appropriate,  the  release  of 
certain  frozen  funds  or  economic  resources  or  the  making  available  of  certain  funds  or 
economic  resources,  after  having  determined  that  the  funds  or  economic  resources  are 
necessary  for  official  purposes  of  diplomatic  or  consular  missions  or  international 
organisations enjoying immunities in accordance with international law. 

2. 

The relevant Member State shall inform the other Member States and the Commission of 
authorisations granted under paragraph 1. 

Article 28 

By way of derogation from Articles 23(2) and (3), the competent authorities of the Member States 
may authorise, under such conditions as they deem appropriate:  

(u) 

(a) 
the  making  available  of  certain  funds  to  the  Central  Bank  of  Iran,  after  having 
determined that the funds are necessary for the execution, until 1 July 2012, of a contract 
referred to in Article 12; or 

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(v) 

(b) 
the release of certain frozen funds or economic resources of the Central Bank of Iran 
or the making available of certain funds or economic resources to the Central Bank of Iran, 
after having determined that the funds or economic resources are necessary for the purpose 
of providing credit or financial institutions with liquidity for the financing of trade, 

provided  that  the  Member  State  concerned  has  notified  the  other  Member  States  and  the 
Commission  of  its  intention  to  grant  an  authorisation  at  least  ten  working  days  prior  to  the 
authorisation.  

Article 29 

1. 

By way of derogation from Articles 23(2) and (3), and until 23 March 2012, the competent 
authorities  of  the  Member  States  may  authorise,  under  such  conditions  as  they  deem 
appropriate, the making available of certain funds or economic resources to Bank Tejarat, 
or  the  release  of  certain  funds  or  economic  resources  of  Bank  Tejarat,  frozen  after  23 
January 2012, provided that: 

(a) 

the funds or economic resources shall be used for a payment due under a trade contract; 

2. 

1. 

(b) 

the payment is not in breach of Article 23(3). 

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

Article 30 

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

2. 

Article 23(3) shall not apply to the addition to frozen accounts of: 

(a) 

interest or other earnings on those accounts; or 

(b)  payments  due  under  contracts,  agreements  or  obligations  that  were  concluded  or 
arose before the date on which the person, entity or body referred to in Article 23 has 
been designated by the Sanctions Committee, the Security Council or by the Council; 

provided  that  any  such  interest  or  other  earnings  and  payments  are  frozen  in  accordance 
with Article 23(1) or (2). 

3. 

This  Article  shall  not  be  construed  as  authorising  transfers  of  funds  referred  to  in 
Article 31. 

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Chapter V 
Restrictions on transfers of funds and on financial services 

1. 

Transfers  of  funds  to  and  from  an  Iranian  person,  entity  or  body  shall  be  processed 
as follows: 

Article 31 

(a) 

transfers due on transactions regarding foodstuffs, healthcare, medical equipment, or 
for  humanitarian  purposes  shall  be  carried  out  without  any  prior  authorisation.  The 
transfer  shall  be  notified  in  advance  in  writing  to  the  competent  authorities  of  the 
Member States if above EUR 10 000 or equivalent; 

(b) 

any  other  transfer  below  EUR  40  000  shall  be  carried  out  without  any  prior 
authorisation.  The  transfer  shall  be  notified  in  advance  in  writing  to  the  competent 
authorities of the Member States if above EUR 10 000 or equivalent; 

(c) 

any  other  transfer  of  or  above  EUR  40  000  or  equivalent  shall  require  a  prior 
authorisation of the competent authorities of the Member States. 

2. 

Paragraph 1 shall apply regardless of whether the transfer of funds is executed in a single 
operation  or  in  several  operations  which  appear  to  be  linked.  For  the  purpose  of  this 
Article, “operations which appear to be linked” includes:  

(i) a chain of transfers from or to the same person, entity or body which are made in 
connection  with  a  single  obligation  to  make  a  transfer  of  funds,  where  each 
individual transfer falls below the threshold set out in this Article 31 but which, in 
the aggregate, meet the criteria for notification or authorisation; or 

(ii) a chain of transfers involving different payment service providers which effects a 
single obligation to make a transfer of funds. 

3. 

Notifications  and  requests  for  authorisation  relating  to  the  transfer  of  funds  shall  be 
processed as follows: 

(a) 

(b) 

(c) 

(a) 
Notifications and requests for authorisation relating to the transfer of funds to 
an Iranian person, entity or body shall be addressed by or on behalf of the payment 
service provider of the payer as referred to in Article 1(t) to the competent authorities 
of the Member State where the initial order to execute the transfer is given. 

Notifications  and  requests  for  authorisation  relating  to  the  transfer  of  funds 
(b) 
from  an  Iranian  person,  entity  or  body  shall  be  addressed  by  or  on  behalf  of  the 
payment service provider of the payee as referred to in Article 1(t) to the competent 
authorities of the Member State in which the payee is resident or the payment service 
provider is established. 

(c) 
In  case  the  application  of  points  (a)  and  (b)  results  in  two  obligations  as  to 
notification  or  requests  for  authorisation  related  to  the  same  transfer  of  funds,  only 
the payment service provider of the payer as referred to in Article 1(t) shall address a 
notification  or  request  for  authorisation  relating  to  the  transfer  of  funds  to  the 

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28 

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(d) 

(e) 

(f) 

competent  authorities  of  the  Member  State  where  the  initial  order  to  execute  the 
transfer is given. 

(d) 
If  the  payment  service  provider  of  the  payer  or  of  the  payee  does  not  fall 
under  the  scope  of  Article  50,  notifications  and  requests  for  authorisation  shall  be 
addressed, in the case of a transfer to an Iranian person, body or entity, by the payer, 
and in the case of a transfer from an Iranian person, body or entity by the payee to 
the  competent  authorities  of  the  Member  State  in  which,  respectively,  the  payer  or 
payee is resident. 

(e) 
Notifications and requests for authorisation relating to the transfer of funds to 
or  from  an  Iranian  person,  entity  or  body  within  the  EU  shall  be  addressed  by  the 
payment  service  provider  of  the  Iranian  person,  entity  or  body  to  the  competent 
authorities of the Member State in which the payment service provider is established. 

(f) 
In relation to a transfer of funds to or from an Iranian person, entity or body 
where  none  of  the  payer,  payee  or  their  respective  payment  service  providers  fall 
under the scope of Article 50 but a payment service provider which does fall under 
the scope of that Article acts as an intermediary, then that payment service provider 
must  comply  with  the  obligation  to  notify  or  seek  authorisation,  as  applicable,  if  it 
knows  or  has  reasonable  cause  to  suspect  that  the  transfer  is  to  or  from  an  Iranian 
person, entity or body. Where there is more than one payment service provider acting 
as an intermediary, only the first payment service provider to process the transfer is 
required to comply with the obligation to notify or seek authorisation, as applicable. 
Any  notification  or  request  for  authorisation  must  be  addressed  to  the  competent 
authorities of the Member State in which the payment service provider is established. 

(g) 

(g)  Where there is more than one payment service provider involved in a series 
of linked transfers of funds, transfers within the EU shall include a reference to the 
authorisation granted to the relevant payment service provider. 

4. 

For the purposes of paragraph 1(c), the competent authorities shall grant, under such terms 
and conditions as they deem appropriate, an authorisation for a transfer of funds having a 
value of EUR 40 000 or more, unless they have reasonable grounds to determine that the 
transfer of funds for which the authorisation is requested could be in breach of any of the 
prohibitions in the present Regulation. 

A competent authority may charge a fee for the assessment of requests for authorisation. 

An authorisation shall be deemed granted if a competent authority has received a request in 
writing for authorisation and, within four weeks, the competent authority has not objected 
in  writing  to  the  transfer  of  funds.  If  the  objection  is  raised  because  an  investigation  is 
pending,  the  competent  authority  shall  state  this  and  communicate  its  decision  without 
delay. The competent authorities shall have access, directly or indirectly, on a timely basis 
to  the  financial,  administrative  and  law  enforcement  related  information  necessary  for 
carrying out the investigation. 

The Member State concerned shall inform the other Member States and the Commission of 
authorisations rejected. 

5. 

This  article  shall  not  apply  where  an  authorisation  has  been  granted  in  accordance  with 
Article 24, 25, 26, 27, 28 or 29. 

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6. 

1. 

2. 

1. 

Persons,  entities  or  bodies  who  merely  convert  paper  documents  into  electronic  data  and 
are  acting  under  a  contract  with  a  credit  institution  or  a  financial  institution  do  not  fall 
within the scope of this Article, nor  does any natural or legal person, entity or body that 
provides credit or financial institutions solely with a message or other support system for 
transmitting funds or with clearing and settlement systems. 

Article 32 

Branches  and  subsidiaries,  falling  within  the  scope  of  Article  50,  of  credit  and  financial 
institutions  domiciled  in  Iran  shall  notify  the  competent  authority  of  the  Member  State 
where  they  are  established  of  all  transfers  of  funds  carried  out  or  received  by  them,  the 
names of  the  parties and the amount and  the  date of the transaction, within  five  working 
days after carrying out or receiving the transfer of funds concerned. If the information is 
available,  the  notification  must  specify  the  nature  of  the  transaction  and,  where 
appropriate, the nature of the goods covered by the transaction and must, in particular, state 
whether the goods are covered by Annex I, II, III, IV, V, VI or VII of this Regulation and, 
if their export is subject to authorisation, indicate the number of the licence granted. 

Subject to and in accordance with the information-sharing arrangements, the other notified 
competent  authorities  shall  without  delay  transmit  that  data,  as  necessary,  in  order  to 
prevent any transaction that could contribute to proliferation-sensitive nuclear activities or 
to  the  development  of  nuclear  weapons  delivery  systems,  to  the  competent  authorities  of 
other Member States where the counterparts to such transactions are established. 

Article 33 

Credit  and  financial  institutions  shall,  in  their  activities  with  credit  and  financial 
institutions  referred  to  in  paragraph  2  and  in  order  to  ensure  compliance  with  the 
provisions of this Regulation, conduct enhanced vigilance as follows: 

(a) 

(b) 

exercise  continuous  vigilance  over  account  activity,  particularly  through  their 
programmes on customer due diligence; 

require  that  in  payment  instructions  all  information  fields  which  relate  to  the 
originator  and  beneficiary  of  the  transaction  in  question  be  completed  and  if  that 
information is not supplied, refuse the transaction; 

(c)  maintain  all  records  of  transactions  for  a  period  of  five  years  and  make  them 

available to national authorities on request; 

(d) 

if  they  have  reasonable  grounds  to  suspect  that  activities  with  credit  and  financial 
institutions  may  be  in  breach  of  the  provisions  of  this  Regulation,  report  without 
delay their suspicions to the financial intelligence unit (FIU) or to another competent 
authority designated by the Member State concerned, without prejudice to Articles 5 
and 23. The FIU or such other competent authority will serve as a national centre for 
receiving and analysing suspicious transaction reports regarding potential breaches of 
this  Regulation.  The  FIU  or  such  other  competent  authority  shall  have  access, 
directly  or  indirectly,  on  a  timely  basis  to  the  financial,  administrative  and  law 
enforcement  information  that  it  requires  to  properly  undertake  this  function, 
including the analysis of suspicious transaction reports. 

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2. 

The measures set out in paragraph 1 shall apply to credit and financial institutions in their 
activities with: 

(a) 

credit and financial institutions domiciled in Iran; 

(b)  branches  and  subsidiaries,  where  they  fall  within  the  scope  of  Article  50,  of  credit 

and financial institutions domiciled in Iran; 

(c) 

(d) 

branches and subsidiaries, where they do not fall within the scope of Article 50, of 
credit and financial institutions domiciled in Iran; and 

credit  and  financial  institutions  that  are  not  domiciled  in  Iran  but  are  controlled  by 
persons and entities domiciled in Iran. 

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1. 

It  shall  be  prohibited  for  credit  and  financial  institutions  falling  within  the  scope  of 
Article 50 to do any of the following: 

Article 34 

(a) 

(b) 

(c) 

(d) 

to open a new bank account with a credit or financial institution domiciled in Iran or 
with any credit or financial institution referred to in Article 33(2); 

to  establish  a  new  correspondent  banking  relationship  with  a  credit  or  financial 
institution domiciled in Iran or with any credit or financial institution referred to in 
Article 33(2),  

to open a new representative office in Iran or to establish a new branch or subsidiary 
in Iran; 

to establish a new joint venture with a credit or financial institution domiciled in Iran 
or with any credit or financial institution referred to in Article 33(2). 

2. 

It shall be prohibited: 

(a) 

(b) 

(c) 

to authorise the opening of a representative office or the establishment of a branch or 
subsidiary in the Union of a credit or financial institution domiciled in Iran or of any 
credit or financial institution referred to in Article 33(2); 

to conclude agreements for, or on behalf of, a credit or financial institution domiciled 
in Iran or for, or on behalf of, any credit or financial institution referred to in Article 
33(2)  pertaining  to  the  opening  of  a  representative  office  or  the  establishment  of  a 
branch or subsidiary in the Union;  

to grant an authorisation for taking up and pursuing the business of credit institution 
or  for  any  other  business  requiring  prior  authorisation,  by  a  representative  office, 
branch  or  subsidiary  of  a  credit  or  financial  institution  domiciled  in  Iran  or  of  any 
credit or financial institution referred to in Article 33(2), if the representative office, 
branch or subsidiary was not operational before 26 July 2010. 

(d) 

to acquire or to extend a participation, or to acquire any other ownership interest, in a 
credit or financial institution falling within the scope of Article 50 by any credit or 
financial institution referred to in Article 33(2). 

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It shall be prohibited: 

Article 35 

(a) 

to sell or purchase public or public-guaranteed bonds issued after 26 July 2010, directly or 
indirectly, to or from any of the following: 

(i) 

Iran or its Government, and its public bodies, corporations and agencies; 

(ii) 

a credit or financial institution domiciled in Iran or any credit or financial institution 
referred to in Article 33(2); 

(iii)  a natural person or a legal person, entity or body acting on behalf or at the direction 

of a legal person, entity or body referred to in (i) or (ii); 

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

referred to in (i), (ii) or (iii); 

to  provide  brokering  services  with  regard  to  public  or  public-guaranteed  bonds  issued 
after 26 July 2010 to a person, entity or body referred to in point (a); 

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

(b) 

(c) 

1. 

It shall be prohibited to provide insurance or re-insurance, including to arrange or broker 
the provision of insurance or reinsurance, to: 

Article 36 

(a) 

Iran or its Government, and its public bodies, corporations and agencies; 

(b) 

an Iranian person, entity or body other than a natural person; or 

(c) 

a natural person or a legal person, entity or body when acting on behalf or at 
the direction of a legal person, entity or body referred to in (a) or (b). 

2. 

3. 

Points (a) and  (b)  of paragraph 1 shall not apply to  the provision of compulsory or third 
party  liability  insurance  or  environmental  liability  insurance,  nor  to  the  provision  of 
insurance for Iranian diplomatic or consular missions in the Union. 

Point (c) of paragraph 1 shall not apply to the provision of insurance, including health and 
travel insurance, to individuals acting in their private capacity, except for persons listed in 
Annexes I and II of Council Decision 2010/413/CFSP, and re-insurance relating thereto. 

Point (c) of paragraph 1 shall not prevent the provision of insurance or re-insurance to the 
owner  of  a  vessel,  aircraft  or vehicle chartered by a person, entity or body referred to in 
point (a)  or  (b)  of  paragraph  1  and  which  is  not  listed  in  Annexes  I  or  II  of  Council 
Decision 2010/413/CFSP. 

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For the purpose of point (c) of paragraph 1, a person, entity or body shall not be considered 
to  act  at  the  direction  of  a  person,  entity  or  body  referred  to  in  points  (a)  and  (b)  of 
paragraph 1(a) where that direction is for the purposes of  docking, loading, unloading or 
safe transit of a vessel or aircraft temporarily in Iranian waters or airspace. 

4. 

This Article prohibits the  extension or renewal of insurance  and re-insurance agreements 
concluded  before  27  October  2010,  but,  without  prejudice  to  Article 23(3),  it  does  not 
prohibit compliance with agreements concluded before that date. 

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Chapter VI 
Restrictions on transport 

Article 37 

1. 

2. 

1. 

2. 

To  prevent  the  transfer  of  goods  and  technology  which  are  covered  by  the  Common 
Military List or the supply, sale, transfer, export or import of which is prohibited by this 
Regulation, and in addition to the obligation to provide the competent customs authorities 
of the Member States with the pre-arrival and pre-departure information as determined in 
the relevant provisions concerning entry and exit summary declarations as well as customs 
declarations in Regulation (EEC) No 2913/921 and in Regulation (EEC) No 2454/932, the 
person who provides the information referred to in paragraph 2, shall declare whether the 
goods  are  covered  by  the  Common  Military  List  or  by  this  Regulation  and,  where  their 
export is subject to authorisation, specify the particulars of the export licence granted. 

The  required  additional  elements  referred  to  in  this  Article  shall  be  submitted  either  in 
written form or using a customs declaration as appropriate. 

Article 38 

The  provision  of  bunkering  or  ship  supply  services,  or  any  other  servicing  of  vessels,  to 
vessels  owned  or  controlled,  directly  or  indirectly,  by  an  Iranian  person,  entity  or  body 
shall be prohibited where the providers of the service have information, including from the 
competent customs authorities on the basis of the pre-arrival and pre-departure information 
referred  to  in  Article 37,  that  provides  reasonable  grounds  to  determine  that  the  vessels 
carry goods covered by the Common Military List or goods whose supply, sale, transfer or 
export  is  prohibited  under  this  Regulation,  unless  the  provision  of  such  services  is 
necessary for humanitarian and safety purposes. 

The  provision  of  engineering  and  maintenance  services  to  cargo  aircraft  owned  or 
controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited, 
where the providers of the service have information, including from the competent customs 
authorities  on  the  basis  of  the  pre-arrival  and  pre-departure  information  referred  to  in 
Article  37,  that  provides  reasonable  grounds  to  determine  that  the  cargo  aircraft  carry 
goods covered by the Common Military List or goods the supply, sale, transfer or export of 
which  is  prohibited  under  this  Regulation,  unless  the  provision  of  such  services  is 
necessary for humanitarian and safety purposes. 

3. 

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

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

1 
2 

OJ L 302, 19.10.1992, p. 1 
OJ L 253, 11.10.1993, p. 1.  

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35 

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Chapter VII 
General and final provisions  

Article 39 

1. 

2. 

3. 

4. 

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: 

(a) 

designated persons, entities or bodies listed in Annexes I and II of Council Decision 
2010/413/CFSP; 

(b) 

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

(c) 

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

The performance of a contract or transaction shall be regarded as having been affected by 
the  measures  imposed  under  this  Regulation  where  the  existence  or  content  of  the  claim 
results directly or indirectly from those measures. 

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. 

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. 

Article 40 

For the purposes of Articles 8 and 9, point (b) of Article 17(2), and Articles 31 and 36, any body, 
entity  or  holder  of  rights  derived  from  an  original  award  before  27  October  2010  by  a  sovereign 
Government other than Iran, of a production sharing agreement shall not be considered an Iranian 
person,  entity  or  body.  In  such  cases  and  in  relation  to  Article  8,  the  competent  authority  of  the 
Member  State  may  require  appropriate  end-user  guarantees  from  any  body  or  entity  for  any  sale, 
supply, transfer or export of any key equipment or technology listed in Annex VI. 

EN 

36 

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Article 41 

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 information on accounts and amounts frozen in accordance with 
Article 23, to the competent authorities of the Member States where they are resident 
or  located,  and  shall  transmit  such  information,  directly  or  through  the  Member 
States, to the Commission; 

(b) 

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

2. 

3. 

Any additional information received directly by the Commission shall be made available to 
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 42 

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of 
which is to circumvent the measures referred to in Article 2, 3, 4, 5, 8, 9, 11, 13, 15, 16, 17, 18, 22, 
23, 31, 32, 33, 34, 35, 36, 37 or 38. 

Article 43 

1. 

2. 

3. 

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

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

The disclosure in good faith, as provided for in Articles 31, 32 and 33, by a person, entity 
or  body  covered  by  this  Regulation  or  an  employee  or  director  of  such  person,  entity  or 
body, of the information referred to in Articles 31, 32 and 33 shall not give rise to liability 
of any kind on the part of the institution or person or its directors or employees. 

1. 

A  Member  State  may  take  all  action  it  deems  necessary  to  ensure  that  relevant 
international,  Union  or  national  legal  obligations  concerning  the  health  and  safety  of 

Article 44 

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37 

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2. 

3. 

1. 

2. 

workers  and  environmental  protection  are  respected  where  cooperation  with  an  Iranian 
person, entity or body may be affected by the implementation of this Regulation. 

For  the  purpose  of  action  taken  pursuant  to  paragraph  1,  the  prohibitions  in  Articles  8 
and 9, point (b) of Article 17(2), and Articles 23(2), 31 and 36 shall not apply. 

The Member State concerned shall notify the other Member States and the Commission of 
the  determination  referred  to  in  paragraph  1  and  its  intention  to  grant  an  authorisation  at 
least ten working days prior to the authorisation. 

Article 45 

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

(a) 

(b) 

in  respect  of  funds  frozen  under  Article  23  and  derogations  granted  under  Articles 
24, 26 and 27; 

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

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. 

The Commission shall: 

Article 46 

(a) 

(b) 

1. 

2. 

3. 

amend Annex II on the basis of determinations made by either the United Nations Security 
Council  or  the  Sanctions  Committee  or  on  the  basis  of  information  supplied  by 
Member States; 

amend Annex III, IV, V, VI, VII and VIII on the basis of information supplied by Member 
States. 

Article 47 

Where  the  Security  Council  or  the  Sanctions  Committee  lists  a  natural  or  legal  person, 
entity  or  body,  the  Council  shall  include  such  natural  or  legal  person,  entity  or  body  in 
Annex I of Council Decision 2010/413/CFSP. 

Where  the  Council  decides  to  subject  a  natural  or  legal  person,  entity  or  body  to  the 
measures referred to in Article 23(2) and (3), it shall amend Annex II of Council Decision 
2010/413/CFSP accordingly. 

The  Council  shall  communicate  its  decision,  including  the  grounds  for  listing,  to  the 
natural or legal person, entity or body referred to in paragraph 1 or 2, either directly, if the 

EN 

38 

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4. 

5. 

6. 

1. 

2. 

1. 

2. 

3. 

address  is  known,  or  through  the  publication  of  a  notice,  providing  such  natural  or  legal 
person, entity or body with an opportunity to present observations. 

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

Where the United Nations decides to delist a natural or legal person, entity or body, or to 
amend the identifying data of a listed natural or legal person, entity or body, the Council 
shall amend Annex I of Council Decision 2010/413/CFSP accordingly. 

The  list  in  Annex  II  of  Council  Decision  2010/413/CFSP  shall  be  reviewed  in  regular 
intervals and at least every 12 months. 

Article 48 

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. 

Article 49 

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

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

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

This Regulation shall apply: 

Article 50 

(a) 

(b) 

(c) 

(d) 

within the territory of the Union, including its airspace; 

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

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

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

EN 

39 

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(e) 

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

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

Article 51 

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

Article 52 

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

Done at Brussels,  

For the Council 
The President

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40 

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ANNEX I 

PART A 

Goods and technology referred to in Articles 2(1),(2) and (4), 
3(3), 5(1), 6, 8(4), 17(2) and 32(1) 

This Annex comprises all goods and technology listed in Annex I to Regulation (EC) No 428/2009, 
as defined therein, except the following: 

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

5A002 

Description 

"Information  security"  systems,  equipment  and  components 
as follows: 

therefor, 

a. 

Systems,  equipment,  application  specific  "electronic  assemblies", 
modules  and  integrated  circuits  for  "information  security",  as  follows 
and other specially designed components therefor: 

N.B.: For  the  control  of  Global  Navigation  Satellite  Systems  (GNSS) 
receiving  equipment  containing  or  employing  decryption  (i.e., 
GPS or GLONASS), see 7A005. 

1.  Designed  or  modified  to  use  "cryptography"  employing  digital 
techniques  performing  any  cryptographic  function  other  than 
authentication  or  digital  signature  and  having  any  of  the 
following: 

Technical Notes: 

1. 

Authentication and digital signature functions include their 
associated key management function. 

2. 

Authentication includes all aspects of access control where there 
is no encryption of files or text except as directly related to the 
protection of passwords, Personal Identification Numbers (PINs) 
or similar data to prevent unauthorised access. 

EN 

41 

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

Description 

3. 

"Cryptography" does not include "fixed" data compression 
or coding techniques. 

Note: 5A002.a.1. includes equipment designed or modified 
to use "cryptography" employing analogue principles 
when implemented with digital techniques. 

a.  A "symmetric algorithm" employing a key length in 

excess of 56 bits; or 

b.  An  "asymmetric  algorithm"  where  the  security  of  the 

algorithm is based on any of the following: 

1. 

2. 

Factorisation  of  integers  in  excess  of  512 bits 
(e.g., RSA); 

in  a 
Computation  of  discrete 
multiplicative  group  of  a  finite  field  of  size 
greater than 512 bits (e.g., Diffie-Hellman over 
Z/pZ); or 

logarithms 

3.  Discrete  logarithms  in  a  group  other  than 
mentioned 
in  excess  of 
in  5A002.a.1.b.2. 
112 bits  (e.g.,  Diffie-Hellman  over  an  elliptic 
curve); 

5D002 

"Software" as follows: 

a. 

"Software" specially designed or modified for the "use" of equipment 
specified in 5A002.a.1 or "software" specified in 5D002.c.1; 

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42 

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

Description 

b. 

Specific "software", as follows: 

1. 

"Software"  having 
simulating 
5A002.a.1; 

the  functions  of 

the  characteristics,  or  performing  or 
in 

the  equipment,  specified 

Note: 

5D002 does not control "software" as follows: 

a. 

b. 

"Software"  required  for  the  "use"  of  equipment  excluded  from 
control by the Note to 5A002; 

"Software" providing any of the functions of equipment excluded 
from control by the Note to 5A002. 

5E002 

"Technology"  according  to  the  General  Technology  Note  for  the  "use"  of 
equipment  specified  in  5A002.a.1  or  "software"  specified  in  5D002.a.  or 
5D002.c.1 of this list. 

EN 

43 

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Article 6 applies to the following goods: 

PART B 

Description 

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

0A001 

"Nuclear  reactors"  and  specially  designed  or  prepared  equipment  and 
components therefor, as follows: 

a. 

b. 

c. 

d. 

e. 

f. 

"Nuclear reactors"; 

Metal  vessels,  or  major  shop-fabricated  parts  therefor,  including  the 
reactor vessel head for a reactor pressure vessel, specially designed or 
prepared to contain the core of a "nuclear reactor"; 

Manipulative equipment specially designed or prepared for inserting or 
removing fuel in a "nuclear reactor"; 

Control  rods  specially  designed  or  prepared  for  the  control  of  the 
fission process in a "nuclear reactor", support or suspension structures 
therefor, rod drive mechanisms and rod guide tubes; 

Pressure tubes specially designed or prepared to contain fuel elements 
and the primary coolant in a "nuclear reactor" at an operating pressure 
in excess of 5.1 MPa; 

Zirconium metal and alloys in the form of tubes or assemblies of tubes 
in which the ratio of hafnium to zirconium is less than 1:500 parts by 
weight, specially designed or prepared for use in a "nuclear reactor"; 

EN 

44 

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

Description 

g. 

h. 

i. 

j. 

Coolant  pumps  specially  designed  or  prepared  for  circulating  the 
primary coolant of "nuclear reactors"; 

'Nuclear  reactor  internals'  specially  designed  or  prepared  for  use  in  a 
"nuclear  reactor",  including  support  columns  for  the  core,  fuel 
channels, thermal shields, baffles, core grid plates, and diffuser plates; 

Note: In  0A001.h. 

'nuclear  reactor  internals'  means  any  major 
structure  within  a  reactor  vessel  which  has  one  or  more 
functions  such  as  supporting 
fuel 
alignment,  directing  primary  coolant  flow,  providing  radiation 
shields 
in-core 
instrumentation. 

the  core,  maintaining 

vessel,  and  guiding 

reactor 

the 

for 

Heat exchangers (steam generators) specially designed or prepared for 
use in the primary coolant circuit of a "nuclear reactor"; 

Neutron  detection  and  measuring  instruments  specially  designed  or 
prepared  for  determining  neutron  flux  levels  within  the  core  of  a 
"nuclear reactor". 

0C002 

Low enriched uranium covered by 0C002 when it is incorporated in assembled 
nuclear fuels elements 

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ANNEX II 

Goods and technology referred to in Articles 2(1)(2) and (4), 3(3), 5(1), 8(4), 17(2), 46 and 32(1) 

Introductory Notes 

1. 

2. 

3. 

4. 

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

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

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. 

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46 

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General Notes 

1. 

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

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

2. 

The 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. 

2. 

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

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

EN 

47 

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3. 

4. 

5. 

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

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

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

EN 

48 

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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.A0.001 

Hollow cathode lamps as follows: 

a. 

b. 

Iodine hollow cathode lamps with windows in pure 
silicon or quartz 

Uranium hollow cathode lamps 

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.A0.005 

Nuclear  reactor  vessel  components  and  testing  equipment, 
other than those specified in 0A001, as follows: 

0A001 

1. 

2. 

3. 

Seals 

Internal components 

Sealing, testing and measurement equipment 

EN 

49 

   EN 

 
A0. Nuclear Materials, Facilities, and Equipment 

No 

Description 

II.A0.006 

Nuclear  detection  systems  for  detection,  identification  or 
quantification  of  radioactive  materials  and  radiation  of 
nuclear  origin  and  specially  designed  components  thereof 
other than those specified in 0A001.j. or 1A004.c. 

II.A0.007 

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

Note:  This  item  does  not  cover  bellow  valves  defined  in 

0B001.c.6 and 2A226. 

II.A0.008 

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

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

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

0A001.j 

1A004.c 

0B001.c.6 

2A226 

0B001.g.5, 
6A005.e 

II.A0.009 

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

0B001.g, 
6A005.e.2 

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   EN 

 
A0. Nuclear Materials, Facilities, and Equipment 

No 

Description 

II.A0.010 

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

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

2B350 

II.A0.011 

Vacuum  pumps  other  than  those  specified  in  0B002.f.2  or 
2B231, as follows: 

0B002.f.2, 
2B231 

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 200 m3/h. 

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

II.A0.012 

Shielded  enclosures  for  the  manipulation,  storage  and 
handling of radioactive substances (Hot cells). 

II.A0.013 

'Natural  uranium'  or  'depleted  uranium'  or  thorium  in  the 
form of metal, alloy, chemical compound or concentrate and 
any other material containing one or more of the foregoing, 
other than those specified in 0C001. 

0B006 

0C001 

II.A0.014 

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

— 

A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

II.A1.001  Bis(2-ethylhexyl)  phosphoric  acid  (HDEHP  or  D2HPA) 
CAS 298-07-7 solvent in any quantity, with a purity greater 
than 90 %. 

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

– 

EN 

51 

   EN 

 
 
A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

II.A1.002 

Fluorine  gas  (Chemical  Abstract  Number  (CAS):  7782-41-
4), with a purity of at least 95 %. 

II.A1.005 

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

Note:  This item does not cover electrolytic cells defined in 

item 1B225. 

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

– 

1B225 

II.A1.006  Catalysts,  other  than  those  prohibited  by  1A225,  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). 

EN 

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A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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. 

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

1C003.a 

II.A1.009 

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

1C010.a 

1C010.b 

1C210.a 

1C210.b 

N.B. SEE ALSO II.A1.019.a. 

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; 

EN 

53 

   EN 

 
A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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

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 II.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. 

II.A1.010  Resin-impregnated  or  pitch-impregnated  fibres  (prepregs), 
metal  or  carboncoated  fibres  (preforms)  or  'carbon  fibre 
preforms', as follows: 

1C010.e. 

1C210 

a. 

b. 

from 

Made 
specified in II.A1.009 above; 

'fibrous  or  filamentary  materials' 

Epoxy resin 'matrix' impregnated carbon 'fibrous or 
filamentary  materials' 
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 

EN 

54 

   EN 

 
 
 
A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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

c. 

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

Note:  This  item  does  not  cover  'fibrous  or  filamentary 

materials' defined in item 1C010.e. 

II.A1.011  Reinforced  silicon  carbide  ceramic  composites  usable  for 
nose tips, re-entry vehicles, nozzle flaps, usable in 'missiles', 
other than those specified in 1C107. 

II.A1.012  Maraging  steels,  other  than  those  specified  in  1C116  or 
1C216, 'capable of' an ultimate tensile strength of 2050 MPa 
or more, at 293 K (20 °C). 

1C107 

1C216 

Technical Note: 

The  phrase 
maraging steel before or after heat treatment. 

'maraging  steel  capable  of'  encompasses 

EN 

55 

   EN 

 
 
 
A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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

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  (including  cylinder  segments)  with  an 
inside diameter between 50 mm and 300 mm; and 

b. 

A mass greater than 5 kg. 

Note:  This item does not cover tungsten, tungsten carbide 

and alloys defined in item 1C226. 

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 1C116, 1C216 

— 

— 

— 

or II.A1.012 

Technical Note: 

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

EN 

56 

   EN 

 
A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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

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

— 

a. 

b. 

c. 

Tungsten  and  tungsten  alloys,  other  than  those 
prohibited  by  1C117,  in  the  form  of  uniform 
spherical  or  atomized  particles  of  500μm  diameter 
or less with a tungsten content of 97 % by weight or 
more; 

Molybdenum  and  molybdenum  alloys,  other  than 
those  prohibited  by  1C117,  in  the  form  of  uniform 
spherical or  atomized particles of  500 μm  diameter 
or  less  with  a  molybdenum  content  of  97 %  by 
weight or more; 

Tungsten  materials  in  the  solid  form,  other  than 
those  prohibited  by  1C226,  or  II.A1.013  having 
material compositions as follows: 

1. 

2. 

3. 

Tungsten  and  alloys  containing  97 %  by 
weight or more of tungsten; 

Copper  infiltrated  tungsten  containing  80 % 
by weight or more of tungsten; or 

Silver infiltrated tungsten containing 80 % by 
weight or more of tungsten. 

EN 

57 

   EN 

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

— 

— 

A1. Materials, chemicals, 'microorganisms' and 'toxins' 

No 

Description 

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  II  (under  II.A1.009, 
II.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. 

b) 

c) 

Thermoset  resin-impregnated  continuous  "yarns", 
"rovings",  "tows",  or  "tapes",  made  from  carbon 
"fibrous or filamentary materials"; 

(PAN) 
Polyacrylonitrile 
"rovings", "tows" or "tapes" 

continuous 

"yarns", 

EN 

58 

   EN 

 
 
A2. Materials Processing 

No 

Description 

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

II.A2.001 

Vibration test systems, equipment and components thereof, 
other than those specified in 2B116: 

2B116 

a. 

b. 

c. 

d. 

Vibration  test  systems  employing  feedback  or 
closed  loop  techniques  and  incorporating  a  digital 
controller,  capable  of  vibrating  a  system  at  an 
acceleration  equal  to  or  greater  than  0,1g  rms 
between  0,1  Hz  and  2  kHz  and  imparting  forces 
than  50  kN,  measured 
equal 
'bare table'; 

to  or  greater 

Digital  controllers,  combined  with 
specially 
designed  vibration  test  'software',  with  a  real-time 
bandwidth  greater  than  5  kHz  designed  for  use 
with vibration test systems specified in a.; 

Vibration  thrusters  (shaker  units),  with  or  without 
associated amplifiers, capable of imparting a force 
equal  to  or  greater  than  50  kN,  measured  'bare 
table', and usable in vibration test systems specified 
in a.; 

Test  piece  support  structures  and  electronic  units 
designed  to  combine  multiple  shaker  units  in  a 
system capable of providing an effective combined 
force  equal  to  or  greater  than  50  kN,  measured 
'bare 
in  vibration  systems 
specified in a. 

table',  and  usable 

Technical Note: 

'Bare  table'  means  a  flat  table,  or  surface,  with  no  fixture 
or fittings. 

EN 

59 

   EN 

 
A2. Materials Processing 

No 

Description 

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

II.A2.002  Machine tools and components and numerical controls for 

2B201.b  

2B001.c 

machine tools, as follows: 

a. 

b. 

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; 

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

grinding  defined 
2B001.c. 

Components  and  numerical  controls,  specially 
designed  for  machine  tools  specified  in  2B001, 
2B201, or under a. 

II.A2.003 

Balancing machines and related equipment as follows: 

2B119 

a. 

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

1.  Not  capable  of  balancing  rotors/assemblies 

having a mass greater than 3 kg; 

EN 

60 

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A2. Materials Processing 

No 

Description 

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

2. 

3. 

4. 

Capable  of  balancing  rotors/assemblies  at 
speeds greater than 12500 rpm; 

Capable  of  correcting  imbalance  in  two 
planes or more; and 

Capable  of  balancing  to  a  residual  specific 
imbalance  of  0,2  g  ×  mm  per  kg  of 
rotor mass; 

b. 

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

Technical Note: 

Indicator  heads  are  sometimes  known  as  balancing 
instrumentation. 

II.A2.004 

Remote  manipulators  that  can  be  used  to  provide  remote 
actions  in  radiochemical  separation  operations  or  hot  cells, 
other  than  those  specified  in  2B225,  having  either  of  the 
following characteristics: 

2B225 

a. 

b. 

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

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). 

EN 

61 

   EN 

 
 
 
A2. Materials Processing 

No 

Description 

II.A2.006 

Furnaces capable of operation at temperatures above 400 °C 
as follows: 

a. Oxidation furnaces 

b. Controlled atmosphere heat treatment furnaces 

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

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

2B226  

2B227 

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. 

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

b. 

Having either of the following characteristics: 

1.  A  full  scale  of  less  than  200  kPa  and  an 
"accuracy" of better than ± 1 % of full scale; 
or 

2.  A  full  scale  of  200  kPa  or  greater  and  an 

"accuracy" of better than 2 kPa. 

EN 

62 

   EN 

 
A2. Materials Processing 

No 

Description 

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

II.A2.011 

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

2B352.c 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

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

Fluoropolymers; 

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

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

Tantalum or tantalum alloys; 

Titanium or titanium alloys; or 

Zirconium or zirconium alloys. 

Note:  This  item  does  not  cover  centrifugal  separators 

defined in item 2B352.c. 

EN 

63 

   EN 

 
A2. Materials Processing 

No 

Description 

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

II.A2.012 

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

2B352.d 

Note:  This  item  does  not  cover  filters  defined  in  item 

2B352.d. 

II.A2.013 

Spin-forming  machines  and  flow-forming  machines,  other 
than those controlled by 2B009, 2B109 or 2B209, having a 
roller  force  of  more  than  60  kN  and  specially  designed 
components therefor. 

— 

II.A2.014 

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. 

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  any  of  the 
following: 

N.B. SEE ALSO IV.A2.008. 

a. Made from any of the following materials: 

Alloys with more than 25 % nickel and 20 % 

1. 
chromium by weight; 

2. 

Fluoropolymers; 

2B350.e 

Glass 

3. 
coating or glass lining); 

(including  vitrified  or  enamelled 

4. 

Graphite or 'carbon graphite'; 

Nickel or alloys with more than 40 % nickel 

5. 
by weight; 

6. 

7. 

Tantalum or tantalum alloys;  

Titanium or titanium alloys; or 

EN 

64 

   EN 

 
 
 
 
 
 
 
 
A2. Materials Processing 

No 

Description 

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

8. 

Zirconium or zirconium alloys; or 

b.  Made  from  both  stainless  steel  and  one  or  more  of  the 
materials specified in  II.A2.014.a. 

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.A2.015 

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

2B350.d 

N.B. SEE ALSO IV.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 fluid(s) are any of the following: 

a. 

Made from any of the following materials: 

Alloys with more than 25 % nickel and 20 % 

1. 
chromium by weight;  

2. 

Fluoropolymers; 

Glass 

3. 
coating or glass lining); 

(including  vitrified  or  enamelled 

4. 

Graphite or 'carbon graphite'; 

Nickel or alloys with more than 40 % nickel 

5. 
by weight; 

6. 

7. 

8. 

9. 

Tantalum or tantalum alloys; 

Titanium or titanium alloys; 

Zirconium or zirconium alloys; 

Silicon carbide; or 

10.  Titanium carbide; or 

EN 

65 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
A2. Materials Processing 

No 

Description 

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

b.  Made  from  both  stainless  steel  and  one  or  more  of  the 
materials specified in II.A2.015.a. 

Note:  This item does not cover vehicle radiators. 

Technical Note: 

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

2B350.i 

II.A2.016  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  5  m3/hour 
[measured under standard temperature (273 K or 0 °C) and 
pressure  (101,3  kPa)  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 any of the following: 

NB. SEE ALSO IV.A2.010. 

a. 

Made from any of the following materials: 

Alloys with more than 25 % nickel and 20 % 

1. 
chromium by weight; 

2. 

3. 

4. 

Ceramics; 

Ferrosilicon; 

Fluoropolymers; 

Glass 

5. 
coatings or glass lining); 

(including  vitrified  or  enamelled 

6. 

Graphite or ‘carbon graphite’ 

Nickel or alloys with more than 40 % nickel 

7. 
by weight; 

EN 

66 

   EN 

 
 
 
 
 
 
 
 
 
A2. Materials Processing 

No 

Description 

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

8. 

9. 

Tantalum or tantalum alloys; 

Titanium or titanium alloys; 

10.  Zirconium or zirconium alloys; 

11.  Niobium (columbium) or niobium alloys; or 

12.  Aluminium alloys; or 

b.  Made  from  both  stainless  steel  and  one  or  more  of  the 
materials specified in  II.A2.016.a. 

Technical Note: 

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

EN 

67 

   EN 

 
 
 
 
 
 
 
 
A3. Electronics 

No 

Description 

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

II.A3.001  High voltage direct current power supplies having both of the 

3A227 

following characteristics: 

a. 

b. 

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

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

Note:  This  item does  not cover power supplies defined in 

items 0B001.j.5 and 3A227. 

II.A3.002  Mass  spectrometers,  other  than  those  specified  in  3A233 
or 0B002.g,  capable  of  measuring  ions  of  200  atomic  mass 
units  or  more  and  having  a  resolution  of  better  than  2  parts 
in 200, as follows, and ion sources thereof: 

3A233 

a. 

b. 

Inductively  coupled  plasma  mass  spectrometers 
(ICP/MS); 

Glow discharge mass spectrometers (GDMS); 

EN 

68 

   EN 

 
A3. Electronics 

No 

Description 

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

c. 

d. 

e. 

f. 

Thermal ionisation mass spectrometers (TIMS); 

Electron  bombardment  mass  spectrometers  which 
have a source chamber constructed from, lined with 
or  plated  with  'materials  resistant  to  corrosion  by 
uranium hexafluoride UF6'; 

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 
corrosion by uranium hexafluoride (UF6)'; 

spectrometers 

a 
Mass 
microfluorination  ion  source  designed  for  actinides 
or actinide fluorides. 

equipped 

with 

EN 

69 

   EN 

 
 
 
A3. Electronics 

No 

Description 

II.A3.003 

Frequency  changers  or  generators,  other 
those 
prohibited  by  0B001  or3A225,  having  all  of  the  following 
characteristics,  and  specially  designed  components  and 
software therefor: 

than 

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

— 

a. 

b. 

c. 

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

Capable  of  operating 
between 600 and 2000 Hz; and 

in 

the  frequency  range 

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

Technical Note: 

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

EN 

70 

   EN 

 
 
A6. Sensors and Lasers 

No 

Description 

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

II.A6.001  Yttrium aluminium garnet (YAG) rods 

– 

II.A6.002  Optical  equipment  and  components,  other 

than 

those 

6A002 

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

Infrared optics in the wavelength range 9000 nm – 17000 nm 
and components thereof, including cadmium telluride (CdTe) 
components. 

II.A6.003  Wave  front  corrector  systems  for  use  with  a  laser  beam 
having  a  diameter  exceeding  4  mm,  and  specially  designed 
components  thereof,  including  control  systems,  phase  front 
sensors and 'deformable mirrors' including bimorph mirrors. 

Note:  This  item  does  not  cover  mirrors  defined  in 

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

6A004.b 

6A003 

II.A6.004  Argon ion "lasers" having an average output power equal to 

6A005.a.6 

or greater than 5 W. 

6A205.a 

Note:  This  item  does  not  cover  argon  ion  'lasers'  defined 

in items 0B001.g.5, 6A005 and 6A205.a. 

EN 

71 

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A6. Sensors and Lasers 

No 

Description 

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

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 1200 nm – 2000 nm. 

EN 

72 

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

6A005.b 

A6. Sensors and Lasers 

No 

Description 

II.A6.006 

Tunable  semiconductor  "lasers"  and  tunable  semiconductor 
'laser' arrays, of a wavelength between 9 μm and 17 μm, as 
well  as  array  stacks  of  semiconductor  'lasers'  containing  at 
least  one  tunable  semiconductor 
'laser'  array  of  such 
wavelength. 

Notes: 

1. 

2. 

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

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

II.A6.007 

Solid  state  "tunable"  "lasers"  and  specially  designed 
components thereof as follows: 

6A005.c.1 

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. 

EN 

73 

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A6. Sensors and Lasers 

No 

Description 

II.A6.008  Neodymium-doped  (other  than  glass)  "lasers",  having  an 
than  1000  nm  but  not 
output  wavelength  greater 
exceeding 1100  nm  and  output  energy  exceeding  10  J 
per pulse. 

Note:  This  item  does  not  cover  neodymium-doped  (other 

than glass) 'lasers' defined in item 6A005.c.2.b. 

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

6A005.c.2 

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. 

II.A6.010  Radiation-hardened  cameras,  or  lenses  thereof,  other  than 
those  specified  in  6A203.c.,  specially  designed,  or  rated  as 
radiation-hardened,  to  withstand  a  total  radiation  dose 
greater  than  50  ×  103  Gy(silicon)  (5  ×  106  rad  (silicon)) 
without operational degradation. 

6A203.c 

Technical Note: 

The  term  Gy(silicon)  refers  to  the  energy  in  Joules  per 
kilogram  absorbed  by  an  unshielded  silicon  sample  when 
exposed to ionising radiation. 

EN 

74 

   EN 

 
A6. Sensors and Lasers 

No 

Description 

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

II.A6.011 

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

6A205.c 

1. 

2. 

3. 

4. 

Notes: 

1. 

2. 

Operating  at  wavelengths  between  300  nm 
and 800 nm; 

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

A repetition rate greater than 1 kHz; and 

Pulse width less than 100 ns. 

This item does not cover single mode oscillators. 

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

EN 

75 

   EN 

 
A6. Sensors and Lasers 

No 

Description 

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

II.A6.012 

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

6A205.d 

1. 

2. 

3. 

4. 

Operating  at  wavelengths  between  9000  nm  and 
11000 nm; 

A repetition rate greater than 250 Hz; 

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

Pulse width less than 200 ns. 

Note:  This  item  does  not  cover  pulsed  carbon  dioxide 
laser  amplifiers  and  oscillators  defined  in  item 
6A205.d., 0B001.h.6. and 6A005.d. 

II.A6.013  Copper  vapour  ‘lasers’  having  both  of  the  following 

6A005.b 

characteristics: 

1. Operating at wavelengths between 500 and 600 nm; and 

2. An average output power equal to or greater than 15W. 

II.A6.014 

Pulsed carbon monoxide ‘lasers’ having all of the following 
characteristics: 

1. Operating at wavelengths between 5000 and 6000 nm; 

2. A repetition rate greater than 250 Hz; 

3. An average output power greater than 100 W; and 

4. Pulse width of less than 200 ns. 

Note: This item does not control the higher power (typically 
1  to  5  kW)  industrial  carbon  monoxide  lasers  used  in 
applications  such  as  cutting  and  welding,  as  these  latter 
lasers are either continuous wave or are pulsed with a pulse 
width greater than 200 ns. 

EN 

76 

   EN 

 
 
 
A7. Navigation and Avionics 

No 

Description 

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

II.A7.001 

Inertial  navigation 
systems 
components thereof, as follows: 

and 

specially  designed 

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  attitude, 
underwater)  or 
the 
guidance  or  control,  having  any  of 
following 
specially 
characteristics, 
designed components thereof: 

'spacecraft' 

and 

1.  Navigation 

(free 

error 

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

2. 

Specified 
acceleration levels exceeding 10 g; 

function 

to 

at 

linear 

EN 

77 

   EN 

 
A7. Navigation and Avionics 

No 

Description 

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

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) 
'Circular  Error  Probable' 
than  10  metres 
(CEP); 

c. 

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

specially 

and 

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

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

EN 

78 

   EN 

 
A7. Navigation and Avionics 

No 

Description 

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

Note: The parameters of I.a. and I.b. are applicable 
with  any  of  the  following  environmental 
conditions: 

1. 

Input  random  vibration  with  an  overall 
magnitude  of  7,7  g  rms  in  the  first  half 
hour and a total test duration of one and 
a half hours per axis in each of the three 
perpendicular  axes,  when  the  random 
vibration meets the following: 

a. 

b. 

A  constant  power  spectral  density 
(PSD)  value  of  0,04  g2/Hz  over  a 
frequency  interval  of  15  to  1000 
Hz; and 

The  PSD  attenuates  with  a 
frequency from 0,04 g2/Hz to 0,01 
g2/Hz  over  a  frequency  interval 
from 1000 to 2000 Hz; 

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

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

standards 

2. 

3. 

EN 

79 

   EN 

 
A7. Navigation and Avionics 

No 

Description 

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

Technical Notes: 

1. 

2. 

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 
individual 
containing  50  percent  of 
measurements  being  made,  or  the  radius  of 
the  circle  within  which  there  is  a  50  percent 
probability of being located. 

the 

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. 

Inertial  or  other  equipment  using  accelerometers 
in  7A001  or  7A101,  where  such 
specified 
and 
accelerometers 
developed  as  MWD  (Measurement  While  Drilling) 
sensors 
in  downhole  well  services 
operations. 

specially 

designed 

for  use 

are 

II. 

III. 

EN 

80 

   EN 

 
 
A9. Aerospace and Propulsion 

No 

Description 

II.A9.001 

Explosive bolts. 

II.B. TECHNOLOGY 

No 

Description 

II.B.001 

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

II.B.002 

Technology  required  for  the  development  or  production  of 
the items in Part IV A. (Goods) of Annex IV. 

Technical Note: 

The term 'technology' includes software. 

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

— 

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

– 

– 

EN 

81 

   EN 

 
 
ANNEX III 

Goods and technology referred to in Articles 3(1), (3) and (5), 5(2), 8(4), 18(1), 46 and 32(1) 

Introductory Notes 

1. 

2. 

3. 

4. 

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. 

EN 

82 

   EN 

 
General Notes 

1. 

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. 

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

(To be read in conjunction with Section III.B) 

General Technology Note (GTN) 

1. 

2. 

3. 

The  sale,  supply,  transfer  or  export  of  ”technology”  which  is  “required”  for  the  “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 III.B. 

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

The  “technology”  “required”  for  the  “use”  of  goods  under  control  remains  under  control 
even when it is applicable to non-controlled goods. 

EN 

83 

   EN 

 
4. 

5. 

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 or This Regulation. 

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. 

III.A. GOODS 

A0. Nuclear Materials, Facilities, and Equipment 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

0B006 

No 

Description 

III.A0.015 

‘Glove Boxes’, specially designed for radioactive isotopes, 
radioactive sources or radionuclides. 

Technical Note: 

‘Glove Boxes‘ means equipment providing protection to the user, 
from  hazardous  vapour,  particles  or  radiation,  from  materials 
inside  the  equipment  being  handled  or  processed  by  a  person 
outside  the  equipment,  by  means  of  manipulators  or  gloves 
integrated into the equipment. 

III.A0.016  Toxic gas monitoring systems designed for continuous operation 

0A001 

and detection of Hydrogen Sulphide, and specially designed 
detectors therefore. 

III.A0.017   Helium Leak Detectors. 

0B001.c 

0A001 

0B001.c 

EN 

84 

   EN 

 
 
A1. Materials, chemicals, 'micro-organisms' and 'toxins' 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

III.A1.003  Ring-shaped  seals  and  gaskets,  having  an  inner  diameter  of 

400mm or less, made of any of the following materials: 

a. 

b. 

c. 

d. 

e. 

f. 

Copolymers of vinylidene fluoride having 75 % or more 
beta crystalline structure without stretching; 

Fluorinated  polyimides  containing  10 %  by  weight  or 
more of combined fluorine; 

Fluorinated phosphazene elastomers containing 30 % by 
weight or more of combined fluorine; 

Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®); 

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

Polytetrafluoroethylene (PTFE). 

III.A1.004  Personal  equipment  for  detecting  radiation  of  nuclear  origin, 

1A004.c 

including personal dosimeters. 

Note:  This  item  does  not  cover  nuclear  detection  systems 

defined in item 1A004.c. 

III.A1.020  Steel  alloys  in  sheet  or  plate  form,  having  any  of  the  following 

1C116 

characteristics: 

1C216 

(a) 

Steel alloys ‘capable of’ ultimate tensile strength of 1200 
MPa or more, at 293K (20oC); or  

(b) 

Nitrogen-stabilised duplex stainless steel. 

Note: The phrase alloys 'capable of' encompasses alloys before or 
after heat treatment 

Technical Note: ‘Nitrogen-stabilised duplex stainless steel’ has a 
two-phase  microstructure  consisting  of  grains  of  ferritic  and 
austenitic  steel  with  the  addition  of  nitrogen  to  stabilise  the 
microstructure. 

III.A1.021  Carbon-Carbon Composite material.  

1A002.b.1 

III.A1.022  Nickel  alloys  in  crude  or  semi-fabricated  form,  containing  60%  1C002.c.1.a

EN 

85 

   EN 

 
 
A1. Materials, chemicals, 'micro-organisms' and 'toxins' 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

by weight or more nickel. 

III.A1.023  Titanium  alloys  in  sheet  or  plate  form  'capable  of'  an  ultimate 
tensile strength of 900 MPa or more at 293 K (20°C). 

1C002.b.3 

Note: The phrase alloys 'capable of' encompasses alloys before or 
after heat treatment 

III.A1.024  Propellants and constituent chemicals for propellants as follows: 

1C111 

(a)  Toluene Diisocyanate (TDI) 

(b)  Methyl Diphenyl Diisocyanate (MDI) 

(c) 

Isophorone Diiscocyanate (IPDI) 

(d)  Sodium Perchlorate 

(e)  Xylidine 

(f)  Hydroxy Terminated Polyether (HTPE) 

(g)  Hydroxy Terminated Caprolactone Ether (HTCE) 

Technical  Note:  This  item  refers  to  pure  substance  and  any 
mixture  containing  at  least  50%  of  one  of  the  chemicals 
mentioned above. 

III.A1.025 

‘Lubricating materials’ containing, as their principal ingredients, 
any of the following: 

1C006 

a) Perfluoroalkylether, (CAS 60164-51-4); 

b) Perfluoropolyalkylether, PFPE, (CAS 6991-67-9). 

‘Lubricating materials’ means oils and fluids. 

III.A1.026  Beryllium-Copper or Copper-Beryllium Alloys in plate, sheet, 

1C002.b 

strip or rolled bar form, having a composition comprising Copper 
as the major element by weight and other elements including less 
than 2% by weight Beryllium. 

EN 

86 

   EN 

 
 
A2. Materials Processing 

No 

Description 

III.A2.008 

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) 
the 
being 
following materials: 

are  made 

processed 

from 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B350.e 

N.B. SEE ALSO II.A2.014 

1. 

Stainless steel. 

Note:  for  stainless  steel  with  more  than  25%  nickel  and  20% 

chromium by weight see entry II.A2.014.a 

III.A2.009 

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

2B350.d 

N.B. SEE ALSO II.A2.015 

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 the following materials: 

1. 

Stainless steel. 

Note  1:  for  stainless  steel  with  more  than  25%  nickel  and  20% 

chromium by weight see entry II.A2.015a 

Note 2: This item does not cover vehicle radiators. 

EN 

87 

   EN 

 
 
 
 
A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Technical Note: 

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

EN 

88 

   EN 

 
 
A2. Materials Processing 

No 

Description 

III.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-
than  5  m3/hour 
[measured  under  standard 
rate  greater 
temperature 
(101,3kPa) 
(273  K  or  0 °C)  and  pressure 
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) 
the 
being 
following materials: 

are  made 

processed 

from 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B350.i 

N.B. SEE ALSO II.A2.016 

EN 

89 

   EN 

 
 
 
A2. Materials Processing 

No 

Description 

1. 

Stainless steel;  

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

Note:  for  stainless  steel  with  more  than  25%  nickel  and  20% 
chromium by weight see entry II.A2.016a 

Technical Note: 

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

EN 

90 

   EN 

 
 
 
 
A2. Materials Processing 

No 

Description 

III.A2.017 

Electrical Discharge Machine (EDM) tools for removing or 
cutting metals, ceramics or “composites”, as follows, and 
specially designed ram, sinker or wire electrodes therefor: 

(a) 

(b) 

Ram or sinker electrode Electrical Discharge Machines; 

Wire electrode Electrical Discharge Machines. 

Note:  Electrical  Discharge  Machines  are  also  known  as  Spark 
Erosion Machines or Wire Erosion Machines. 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B001.d 

EN 

91 

   EN 

 
A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

III.A2.018  Computer controlled or "numerically controlled" co-ordinate 

2B006.a 

measuring machines (CMM), or dimensional inspection 
machines, having a three dimensional (volumetric) maximum 
permissible error of indication (MPPE) at any point in the 
operating range of the machine (i.e. within the length axes) equal 
to or less (better) than (3 + L/1000) µm (L is the measured length 
in mm), tested according to ISO 10360-2 (2001), and 
measurement probes designed therefor. 

2B206.a 

EN 

92 

   EN 

 
A2. Materials Processing 

No 

Description 

III.A2.019  Computer controlled or "numerically controlled" Electron Beam 
Welding Machines, and specially designed components therefor. 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B001.e.1.b

EN 

93 

   EN 

 
A2. Materials Processing 

No 

Description 

III.A2.020  Computer controlled or "numerically controlled" Laser Welding 
and Laser Cutting Machines, and specially designed components 
therefor. 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B001.e.1.c

EN 

94 

   EN 

 
A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

III.A2.021  Computer controlled or "numerically controlled" Plasma Cutting 

2B001.e.1 

Machines, and specially designed components therefor. 

EN 

95 

   EN 

 
A2. Materials Processing 

No 

Description 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

III.A2.022  Vibration Monitoring Equipment specially designed for rotors or 

2B116 

rotating equipment and machinery, capable of measuring any 
frequency in the range 600-2000 Hz. 

EN 

96 

   EN 

 
A2. Materials Processing 

No 

Description 

III.A2.023 

Liquid Ring Vacuum Pumps, and specially designed components 
therefore. 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B231 

2B350.i 

EN 

97 

   EN 

 
A2. Materials Processing 

No 

Description 

III.A2.024 

Rotary Vane Vacuum Pumps, and specially designed 
components therefore. 

Note 1: III.A2.024 does not control rotary vane vacuum pumps 
that are specially designed for specific other equipment. 

Note 2: The control status of rotary vane vacuum pumps that are 
specially designed for specific other equipment is determined by 
the control status of the other equipment 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B231 

2B235.i 

0B002.f 

EN 

98 

   EN 

 
A2. Materials Processing 

No 

Description 

III.A2.025 

Air filters, as follows, having one or more physical size 
dimension exceeding 1000 mm: 

a) 

b) 

High Efficiency Particulate Air (HEPA) filters; 

Ultra-Low Penetration Air (ULPA) filters. 

Note: III.A2.025 does not control air filters specially designed 
for medical equipment. 

Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

2B352.d 

EN 

99 

   EN 

 
 
Related 
item from 
Annex I to 
Regulation 
(EC) No 42
8/2009 

3A225 

0B001.b.13 

A3. Electronics 

No 

Description 

III.A3.004 

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

III.A3.005 

‘Frequency Changers’, Frequency Generators and Variable 
Speed electrical drives, having all the following characteristics: 

(a) 

(b) 

Multiphase output power of 10 W or greater; 

Capable of operating at a frequency of 600 Hz or more; 
and 

(c) 

Frequency control better (less) than 0.2%. 

Technical Note:  

‘Frequency Changers’ includes frequency converters and 
frequency inverters. 

Notes: 

1.  Item  III.A3.005  does  not  control  frequency  changers  that 
include  communication  protocols  or  interfaces  designed  for 
specific  industrial  machinery  (such  as  machine  tools,  spinning 
machines, printed circuit board machines) so that the frequency 
changers  cannot  be  used  for  other  purposes  while  meeting  the 
performance characteristics above. 

2. Item III.A3.005 does not control frequency changers specially 
designed for vehicles and which operate with a control sequence 
that  is  mutually  communicated  between  the  frequency  changer 
and the vehicle control unit. 

EN 

100 

   EN 

 
 
A6. Sensors and Lasers 

No 

Description 

III.A6.012 

‘Vacuum pressure gauges’, being electrically powered and 
having measurement accuracy of 5% or less (better).  

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

0B001.b 

‘Vacuum  pressure  gauges’  include  Pirani  Gauges,  Penning 
Gauges and Capacitance Manometers.  

III.A6.013 

Microscopes and related equipment and detectors, as 
follows: 

6B 

a) 

b) 

c) 

d) 

e) 

Scanning Electron Microscopes; 

Scanning Auger Microscopes; 

Transmission Electron Microscopes; 

Atomic Force Microscopes;  

Scanning Force Microscopes; 

f) 
Equipment and detectors, specially designed for use 
with the microscopes specified in III.A6.013 a) to e) above, 
employing any of the following materials analysis 
techniques: 

X-ray Photo Spectroscopy (XPS); 

Energy-dispersive X-ray Spectroscopy (EDX, EDS); 

1. 

2. 
or 

Electron Spectroscopy for Chemical Analysis 

3. 
(ESCA). 

EN 

101 

   EN 

 
A7. Navigation and Avionics 

No 

Description 

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

III.A7.002  Accelerometers  containing  piezoelectric  ceramic  transducer 
element, having a sensitivity of 1000 mV/g or better (higher) 

7A001 

EN 

102 

   EN 

 
A9. Aerospace and Propulsion 

No 

Description 

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

III.A9.002 

‘Load  Cells’  capable  of  measuring  rocket  motor  thrust 
having a capacity exceeding 30kN. 

9B117 

Technical Note: 

‘Load  Cells’  means  devices  and 
measurement of force in both tension and in compression. 

transducers 

for 

the 

Note:  III.A9.002  does  not  include  equipment,  devices  or 
transducers,  specially  designed  for  the  measurement  of  the 
weight of vehicles, e.g. weigh bridges.  

III.A9.003  Electrical power generation gas turbines, components and 

related equipment as follows: 

(a) 

(b) 

(c) 

Gas Turbines specially designed for electrical power 
generation, having an output exceeding 200 MW; 

Vanes,  Stators,  Combustion  Chambers  and  Fuel 
Injection  Nozzles,  specially  designed  for  electrical 
in 
power  generation  gas 
III.A9.003.a;  

specified 

turbines 

specially 

Equipment 
the 
“development” and “production” of electrical power 
generation gas turbines specified in III. A9.003.a. 

designed 

for 

9A001 

9A002 

9A003 

9B001 

9B003 

9B004 

III.B. TECHNOLOGY 

No 

Description 

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

III.B.001 

’Technology’  required  for  the  use  of  the  items  in 
Part III.A. (Goods) above. 

Technical Note: 

The term 'technology' includes software. 

EN 

103 

   EN 

 
 
 
 
List of 'crude oil and petroleum products' referred to in Articles 11 and 32(1) 

ANNEX IV 

HS Code 

Description 

2707  Oils and other products of the distillation of high temperature coal tar; similar products in 
which  the  weight  of  the  aromatic  constituents  exceeds  that  of  the  non-aromatic 
constituents. 

2709 00 Petroleum oils and oils obtained from bituminous minerals, crude.  

2709 00 10  Natural gas condensates 

2709 00 90  Other 

2710 

Petroleum  oils  and  oils  obtained  from  bituminous  minerals,  other  than  crude; 
preparations not elsewhere specified or included, containing by weight 70 % or more 
of petroleum oils or of oils obtained from bituminous minerals, these oils being the 
basic constituents of the preparations; waste oils (save that the purchase, in Iran, of 
kerosene jet fuel of CN code 2710 19 21 is not prohibited provided that it is intended 
and  used  solely  for  the  purpose  of  the  continuation  of  the  flight  operation  of  the 
aircraft into which it is loaded).  

2710 11 

Light oils and preparations 

2710 19 

Other 

2711 

Petroleum gases and other gaseous hydrocarbons 

2711 11 

Natural gas 

2711 12 Propane 

2711 13 

Butanes 

2711 14 

Ethylene, propylene, butylene and butadiene 

2711 19 Liquefied petroleum gas 

2711 21 

Natural gas 

2711 29 

Other 

2712 

Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, 
lignite  wax,  peat  wax,  other  mineral  waxes,  and  similar  products  obtained  by 
synthesis or by other processes, whether or not coloured. 

2712 10 

Petroleum jelly 

2712 20 

Paraffin wax containing by weight less than 0,75 % of oil 

2712 90 

Other 

EN 

104 

   EN 

 
2713 

Petroleum  coke,  petroleum  bitumen  and  other  residues  of  petroleum  oils  or  of  oils 
obtained from bituminous minerals.  

2713 90 

Other residues of petroleum oils or of oils obtained from bituminous minerals 

2714 

Bitumen and asphalt, natural; bituminous or oil-shale and tar sands; asphaltites and 
asphaltic rocks.  

2715 00 00  Bituminous  mixtures  based  on  natural  asphalt,  on  natural  bitumen,  on  petroleum 
bitumen,  on  mineral  tar  or  on  mineral  tar  pitch  (for  example,  bituminous  mastics, 
cut-backs). 

EN 

105 

   EN 

 
 
ANNEX V 

List of 'petrochemical products' referred to in Articles 13 and 32(1) 

HS Code 

Description 

2707 10 

Benzol (benzene) 

2707 20 

Toluol (toluene) 

2707 30 

Xylol (xylenes) 

2707 40 

Naphthalene 

2711 14 

Ethylene, propylene, butadiene 

2901 21 

Ethylene 

2901 22 

Propene (propylene) 

2902 20 

Benzene 

2902 30 

Toluene 

2902 41 

o-Xylene 

2902 42 

m-Xylene 

2902 43 

p-Xylene 

2902 44 

Mixed xylene isomers 

2910 10 

Oxirane (ethylene oxide) 

2905 31 

Ethylene glycol (ethanediol) 

2910 20 

Methyloxirane (propylene oxide) 

2905 12 

Propan-1-ol (propyl alcohol) and propan-2-ol (isopropyl alcohol) 

2914 11 

Acetone 

2917 35 

Phthalic anhydride (PA) 

2917 14 

Maleic anhydride (MA) 

2707 99 80 

Phenols 

2907 11 to 2907 19  Phenols 

2902 50 

Styrene 

3901 10 

Polyethylene having a specific gravity of less than 0,94 

EN 

106 

   EN 

 
 
3901 20 

Polyethylene having a specific gravity of 0,94 or more 

3901 30 00 

Ethylene-vinyl acetate copolymers 

3901 90 

Other 

2902 70 

Cumene 

2905 13 

Butan-1-ol (n-butyl alcohol) 

2917 36 

Terephthalic acid and its salts 

2917 37 

Dimethyl terephthalate (DMT) 

2926 10 

Acrylonitrile 

2812 10 

Phosgene (carbonyl chloride) 

2929 10 

Methylene diphenyl diisocyanate (MDI)  

2929 10 

Hexamethylene diisocyanate (HDI)  

2929 10 

Toluene diisocyanate (TDI)  

2905 11 

Methanol (methyl alcohol) 

2814 10 to 2814 20  Ammonia  

3102 10 

Urea 

EN 

107 

   EN 

 
 
ANNEX VI 

List of key equipment and technology referred to in Articles 8 and 32(1) 

General Notes 

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

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

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

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 Technology Note (GTN) 

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

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

Prohibitions on "technology" transfer do not apply to information "in the public domain", 
to  "basic  scientific 
for 
patent applications. 

the  minimum  necessary 

research"  or 

information 

to 

Exploration and production of crude oil and natural gas 

1.A  Equipment 

Geophysical survey equipment, vehicles, vessels and aircraft specially designed or adapted 
to acquire data for oil and gas exploration and specially designed components therefore. 

Sensors  specially  designed  for  downhole  well  operations  in  oil  and  gas  wells,  including 
sensors  used  for  measurement  whilst  drilling  and  the  associated  equipment  specially 
designed to acquire and store data from such sensors. 

Drilling  equipment  designed  to  drill  rock  formations,  specifically  for  the  purpose  of 
exploring for, or producing oil, gas and other naturally occurring, hydrocarbon materials.  

1. 

2. 

3. 

4. 

1. 

2. 

3. 

1. 

2. 

3. 

EN 

108 

   EN 

 
4. 

5. 

6. 

7. 

8. 

9. 

Drill bits, drill pipes, drill collars, centralisers and other equipment, specially designed for 
use in and with oil and gas well drilling equipment. 

Drilling  wellheads,  'blowout  preventers'  and  'Christmas  or  production  trees'  and  the 
specially  designed  components  thereof,  meeting  the  'API  and  ISO  specifications'  for  use 
with oil and gas wells. 

Technical Notes: 

a. 

b. 

c. 

A  'blowout  preventer'  is  a  device  typically  used  at  ground  level  (or  if  drilling 
underwater, at the seabed) during drilling to prevent the uncontrolled escape of oil 
and/or gas from the well.  

A  'Christmas  tree  or  production  tree'  is  a  device  typically  used  to  control  flow  of 
fluids from the well when it is complete and oil and/or gas production has started. 

For  the  purpose  of  this  item,  'API  and  ISO  specifications'  refers  to  the  American 
Petroleum  Institute  specifications  6A,  16A,  17D  and  11IW  and/or  the  International 
Standards  Organisation  specifications  10423  and  13533  for  blowout  preventers, 
wellhead and Christmas trees for use on oil and/or gas wells. 

Drilling and production platforms for crude oil and natural gas. 

Vessels and barges incorporating drilling and/or petroleum processing equipment used for 
producing oil, gas and other naturally occurring flammable materials. 

Liquid/gas  separators  meeting  API  specification  12J,  specially  designed  to  process  the 
production from an oil or gas well, to separate the petroleum liquids from any water and 
any gas from the liquids. 

Gas compressor with a design pressure of 40 bar (PN 40 and/or ANSI 300) or more and 
having a suction volume capacity of 300 000 Nm3/h or more, for the initial processing and 
transmission of natural gas, excluded gas compressors for CNG (Compressed Natural Gas) 
filling stations, and specially designed components therefore. 

10. 

Subsea  production  control  equipment  and  the  components  thereof  meeting  'API  and  ISO 
specifications' for use with oil and gas wells.  

Technical Note:  

For  the  purposes  of  this  entry,  'API  and  ISO  specifications'  refers  to  the  American 
Petroleum  Institute  specification  17  F  and/or  the  International  Standards  Organisation 
specification 13268 for subsea production control systems. 

Pumps,  typically  high  capacity  and/or  high  pressure  (in  excess  of  0.3  m3  per  minute 
and/or 40  bar),  specially  designed  to  pump  drilling  muds  and/or  cement  into  oil  and 
gas wells. 

1.B 

Test and inspection equipment 

Equipment specially designed for sampling, testing and analysing the properties of drilling 
mud, oil well cements and other materials specially designed and/or formulated for use in 
oil and gas wells. 

11. 

1. 

EN 

109 

   EN 

 
2. 

3. 

1. 

2. 

3. 

1. 

2. 

3. 

1. 

Equipment  specially  designed  for  sampling,  testing  and  analysing  the  properties  of  rock 
samples, liquid and gaseous samples and other materials taken from an oil and/or gas well 
either during or after drilling, or from the initial processing facilities attached thereto. 

Equipment  specially  designed  for  collecting  and  interpreting  information  about  the 
physical and mechanical condition of an oil and/or gas well, and for determining the in situ 
properties of the rock and reservoir formation. 

1.C  Materials 

Drilling mud, drilling mud additives and the components thereof, specially formulated to 
stabilise  oil  and  gas  wells  during  drilling,  to  recover  drill  cuttings  to  the  surface  and  to 
lubricate and cool the drilling equipment in the well. 

Cements  and  other  materials  meeting  the  'API  and  ISO  specifications'  for  use  in  oil  and 
gas wells.  

Technical Note: 

'API and ISO specification' refers to the American Petroleum Institute specification 10A or 
the  International  Standards  Organisation  specification  10426  for  oil  well  cements  and 
other materials specially formulated for use in the cementing of oil and gas wells. 

Corrosion inhibiting, emulsion treatment, defoaming agents and other chemicals specially 
formulated to be used in the drilling for, and the initial processing of, petroleum produced 
from an oil and/or gas well. 

1.D 

Software 

"Software"  specially  designed  to  collect  and  interpret  data  acquired  from  seismic, 
electromagnetic,  magnetic  or  gravity  surveys  for  the  purpose  of  establishing  oil  or 
gas prospectivity. 

"Software" specially designed for storing, analysing and interpreting information acquired 
during drilling and production to assess the physical characteristics and behaviour of oil or 
gas reservoirs. 

"Software"  specially  designed  for  the  "use"  of  petroleum  production  and  processing 
facilities or specific sub-units of such facilities. 

1.E 

Technology 

"Technology"  "required"  for  the  "development",  "production"  and  "use"  of  equipment 
specified in 1.A.01 – 1.A.11. 

Refining of crude oil and liquefaction of natural gas 

2.A  Equipment  

1. 

Heat exchangers as follows and specially designed components therefore: 

a. 

Plate-fin  heat  exchangers  with  a  surface/volume  ratio  greater  than  500  m2/m3, 
specially designed for pre-cooling of natural gas; 

EN 

110 

   EN 

 
2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

b. 

Coil-wound  heat  exchangers  specially  designed  for  liquefaction  or  sub-cooling  of 
natural gas. 

Cryogenic  pumps  for  the  transport  of  media  at  a  temperature  below  -120 ºC  having  a 
transport capacity of more than 500 m3/h and specially designed components therefore.  

'Coldbox' and 'coldbox' equipment not specified by 2.A.1. 

Technical Note:  

'Coldbox' equipment' refers to a specially designed construction, which is specific for LNG 
plants  and  incorporates  the  process  stage  of  liquefaction.  The  'coldbox'  comprises  heat 
exchangers, piping, other instrumentation and thermal insulators. The temperature inside 
the 'coldbox' is below –120 ºC (conditions for condensation of natural gas). The function of 
the 'coldbox' is the thermal insulation of the above described equipment. 

Equipment for shipping terminals of liquefied gases having a temperature below –120 ºC 
and specially designed components therefore. 

Flexible  and  non-flexible  transfer  line  having  a  diameter  greater  than  50  mm  for  the 
transport of media below –120 ºC.  

Maritime vessels specially designed for the transport of LNG. 

Electrostatic desalters specially designed to remove contaminants such as salts, solids and 
water from crude oil and specially designed components therefore. 

All  crackers,  including  hydrocrackers,  and  cokers,  specially  designed  for  conversion  of 
vacuum gas oils or vacuum residuum, and specially designed components therefore. 

Hydrotreaters specially designed for desulphurisation of gasoline, diesel cuts and kerosene 
and specially designed components therefore. 

Catalytic reformers specially designed for conversion of desulphurised gasoline into high-
octane gasoline, and specially designed components therefore. 

Refinery  units  for  C5-C6  cuts  isomerisation,  and  refinery  units  for  alkylation  of  light 
olefins, to improve the octane index of the hydrocarbon cuts. 

Pumps  specially  designed  for  the  transport  of  crude  oil  and  fuels,  having  a  capacity 
of 50 m3/h or more and specially designed components therefore.  

Tubes  with  an  outer  diameter  of  0.2  m  or  more  and  made  from  any  of  the 
following materials: 

a. 

b. 

Stainless steels with 23% chromium or more by weight; 

Stainless steels and nickel bases alloys with a 'Pitting resistance equivalent' number 
higher than 33. 

Technical Note: 

EN 

111 

   EN 

 
'Pitting  resistance  equivalent'  (PRE)  number  characterises  the  corrosion  resistance  of 
stainless steels and nickel alloys to pitting or crevice corrosion. The pitting resistance of 
stainless steels and nickel alloys is primarily determined by their compositions, primarily: 
chromium, molybdenum, and nitrogen. The formula to calculate the PRE number is: PRE 
= Cr + 3.3% Mo + 30% N 

14. 

'Pigs' (Pipeline Inspection Gauge(s)) and specially designed components therefore. 

Technical Note: 

'Pig'  is  a  device  typically  used  for  cleaning  or  inspection  of  a  pipeline  from  inside 
(corrosion  state  or  crack  formation)  and  is  propelled  by  the  pressure  of  the  product  in 
the pipeline. 

Pig launchers and pig catchers for the integration or removing of pigs. 

Tanks  for  the  storage  of  crude  oil  and  fuels  with  a  volume  greater  than  1000 m3 
(1 000 000 litres) as follows, and specially designed components therefore:  

a. 

b. 

fixed roof tanks; 

floating roof tanks. 

Subsea  flexible  pipes  specially  designed  for  the  transportation  of  hydrocarbons  and 
injection fluids, water or gas, having a diameter greater than 50 mm. 

Flexible pipes used for high pressure for topside and subsea application. 

Isomeration equipment specially designed for production of high-octane gasoline based on 
light hydrocarbons as feed, and specially designed components therefore. 

2.B 

Test and inspection equipment 

Equipment specially designed for testing and analysing of quality (properties) of crude oil 
and fuels. 

Interface  control  systems  specially  designed  for  controlling  and  optimising  of  the 
desalting process. 

2.C  Materials 

Diethyleneglycol (CAS 111-46-6), Triethylene glycol (CAS 112-27-6) 

N-Methylpyrrolidon (CAS 872-50-4), Sulfolane (CAS 126-33-0) 

Zeolites, of natural or synthetic origin, specially designed for fluid catalytic cracking or for 
the purification and/or dehydration of gases, including natural gases. 

Catalysts for the cracking and conversion of hydrocarbons as follows: 

a. 

Single metal (platinum group) on alumina type or on zeolite, specially designed for 
catalytic reforming process; 

15. 

16. 

17. 

18. 

19. 

1. 

2. 

1. 

2. 

3. 

4. 

EN 

112 

   EN 

 
b.  Mixed metal species (platinum in combination with other noble metals) on alumina 

type or on zeolite, specially designed for catalytic reforming process;  

c. 

d. 

Cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, 
specially designed for catalytic desulphurisation process; 

Palladium,  nickel,  chromium  and  tungsten  catalysts  on  alumina  type  or  on  zeolite, 
specially designed for catalytic hydrocracking process. 

5. 

Gasoline additives specially formulated for increasing the octane number of gasoline. 

Note: 

This entry includes Ethyl tertiary butyl ether(ETBE) (CAS 637-92-3) and Methyl tertiary butyl ether 
(MTBE) CAS 1634-04-4). 

2.D 

Software 

1. 

2. 

1. 

2. 

3. 

4. 

5. 

6. 

"Software"  specially  designed  for  the  "use"  of  LNG  plants  or  specific  sub-units  of 
such plants. 

"Software"  specially  designed  for  the  "development",  "production"  or  "use"  of  plants 
(including their sub-units) for oil refining. 

2.E 

Technology 

"Technology"  for  the  conditioning  and  purification  of  raw  natural  gas  (dehydration, 
sweetening, removal of impurities). 

"Technology"  for  the  liquefaction  of  natural gas,  including  "technology"  required  for  the 
"development", "production" or "use" of LNG plants. 

"Technology" for the shipment of liquefied natural gas. 

"Technology" "required" for the "development", "production" or "use" of maritime vessels 
specially designed for the transport of liquefied natural gas. 

"Technology" for storage of crude oil and fuels. 

"Technology" "required" for the "development", "production" or "use" of a refinery plant, 
such as: 

6.1.  "Technology" for conversion of light olefin to gasoline; 

6.2.  Catalytic reforming and isomerisation technology; 

6.3.  Catalytic and thermal cracking technology. 

Petrochemical industry 

3.A  Equipment  

1. Reactors 

EN 

113 

   EN 

 
a.  specially  designed  for  production  of  phosgene  (CAS  506-77-4)  and  specially  designed 
components therefor, with the exception of secondary reactors, and the relevant software developed 
therefor; 

b. for phosgenation specially designed for the production of HDI, TDI, MDI and specially designed 
components therefor, with the exception of secondary reactors, and the relevant software developed 
therefor; 

c.  specially  designed  for  polymerisation  of  ethylene  and  propylene  and  specially  designed 
components therefore, and the relevant software developed therefor;  

d. specially designed for the thermal cracking of EDC (ethylene dichloride) and specially designed 
components therefor, with the exception of secondary reactors, and the relevant software developed 
therefor;  

e.  specially  designed  for  chlorination  and  oxychlorination  in  the  production  of  vinyl  chloride  and 
specially designed components therefor, with the exception of secondary reactors, and the relevant 
software developed therefor;  

2.  Catalysts  applicable  to  processes  of  production  of  trinitrotoluene,  ammonium  nitrate  and  other 
chemical and petrochemical processes used for explosive manufacturing, and the relevant software 
developed therefor; 

3. Catalysts used for the production of monomers such as ethylene and propylene (steam cracking 
units and/or Gas to petrochemicals units), and the relevant software developed therefor; 

4.  Thin  film  evaporators  and  falling  film  evaporators  consisting  of  materials  resistant  to  hot 
concentrated  acetic  acid  and  specially  designed  components  therefor,  and  the  relevant  software 
developed therefor;  

5. Plants for the separation of hydrochloric acid by electrolysis and specially designed components 
therefore, and the relevant software developed therefor;  

6. Columns having a diameter larger than 5000 mm and specially designed components therefor;  

7. Ball valves and plug valves with ceramic balls or plugs, having a nominal diameter of 10mm or 
more, and specially designed components therefor;  

8. Centrifugal and/or reciprocating compressor having an installed power above 2MW and meeting 
specification API610; 

3.B 

Test and inspection equipment 

3.C  Materials 

3.D 

Software 

1. “Software”, specially designed for the “use” in Gas-To-Liquid (GTL) or Gas-To-Petrochemicals 
(GTP) plants; 

3.E 

Technology 

EN 

114 

   EN 

 
1. “Technology” for the “development”, “production” or “use” of Gas-To-Liquid (GTL) or Gas-To-
Petrochemicals (GTP) processes or for GTL- or GTP- plants; 

2. Technology” for the “production” of ammonia, urea and methanol; 

Note: 

″Technology″ means specific information necessary for the ″development″, ″production″ or ″use″ of 
goods. This information takes the form of ’technical data’ or ’technical assistance’. 

EN 

115 

   EN 

 
List of gold, precious metals and diamonds referred to in Articles 15 and 32(1) 

ANNEX VII 

HS Code 

Description 

7102  Diamonds, whether or not worked, but not mounted or set 

7106 

Silver (including silver plated with gold or platinum), unwrought or in semi- manufactured 
forms, or in powder form 

7108  Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or 

in powder form 

7109  Base metals or silver, clad with gold, not further worked than semi-manufactured. 

7110 

Platinum, unwrought or in semi-manufactured forms, or in powder form 

7111  Base  metals,  silver  or  gold,  clad  with  platinum,  not  further  worked  than  semi-

manufactured. 

7112  Waste and scrap of precious metal or of metal clad with precious metal; other waste and 
scrap containing precious metal or precious-metal compounds, of a kind used principally 
for the recovery of precious metal 

7502  Unwrought nickel 

7503  Nickel waste and scrap 

7504  Nickel powders and flakes 

8112  Rhenium, Indium, Germanium 

8103 

Tantalum and articles thereof, including waste and scrap 

EN 

116 

   EN 

 
ANNEX VIII 

Web sites for information on the competent authorities referred to in 
Articles 3(2),(4),(5),(6) and (7), 5(2) and (3), 7(1), 10(1), 12(1), 14(1), 18(1), 19(1), 20, 21, 
24(1), 25, 26(1) and (3), 27(1), 28, 29(1), 30(1), 31(1),(3) and (4), 32(1) and (2), 33(1), 37(1), 
38(1),(2) and (3), 40, 41(1) and 49(1) and (2),  
and address for notifications to the European Commission 

BELGIUM 

http://www.diplomatie.be/eusanctions 

BULGARIA 

http://www.mfa.government.bg 

CZECH REPUBLIC 

http://www.mfcr.cz/mezinarodnisankce 

DENMARK 

http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktio
ner/ 

GERMANY 

http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.h
tml 

ESTONIA 

http://www.vm.ee/est/kat_622/ 

IRELAND 

http://www.dfa.ie/home/index.aspx?id=28519 

GREECE 

http://www1.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html 

SPAIN 

http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_
%20Internacionales.aspx 

FRANCE 

http://www.diplomatie.gouv.fr/autorites-sanctions/ 

ITALY 

EN 

117 

   EN 

 
http://www.esteri.it/UE/deroghe.html 

CYPRUS 

http://www.mfa.gov.cy/sanctions 

LATVIA 

http://www.mfa.gov.lv/en/security/4539 

LITHUANIA 

http://www.urm.lt 

LUXEMBOURG 

http://www.mae.lu/sanctions 

HUNGARY 

http://www.kormany.hu/download/5/35/50000/ENSZBT-ET-szankcios-tajekoztato.pdf 

MALTA 

http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp 

NETHERLANDS 

http://www.minbuza.nl/sancties 

AUSTRIA 

http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version= 

POLAND 

http://www.msz.gov.pl 

PORTUGAL 

http://www.min-nestrangeiros.pt 

ROMANIA 

http://www.mae.ro/index.php?unde=doc&id=32311&idlnk=1&cat=3 

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118 

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SLOVENIA 

http://www.mzz.gov.si/si/zunanja_politika_in_mednarodno_pravo/zunanja_politika/mednarod
na_varnost/omejevalni_ukrepi/ SLOVAKIA 

http://www.foreign.gov.sk 

FINLAND 

http://formin.finland.fi/kvyhteistyo/pakotteet 

SWEDEN 

http://www.ud.se/sanktioner 

UNITED KINGDOM 

www.fco.gov.uk/competentauthorities 

Address for notifications to the European Commission: 

European Commission 

Service for Foreign Policy Instruments 

Office EEAS 02/309 

B-1049 Bruxelles/Brussel (Belgium) 

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

EN 

119 

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