CELEX: 52012JC0002
Language: en
Date: 2012-02-17
Title: Joint Proposal for a COUNCIL REGULATION concerning restrictive measures against Iran andrepealing Regulation (EU) No 961/2010

|
			
		
		
		52012JC0002
		
			Joint Proposal for a COUNCIL REGULATION concerning restrictive measures against Iran andrepealing Regulation (EU) No 961/2010 /* JOIN/2012/02 final - 2012/0030 (NLE) */
			
				
		
		
			
			   	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 423/2007[1],
in order to give effect to Council Decision 2010/413/CFSP[2]. 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 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. 
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 Iran[3],
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)              
On 25 October 2010, the Council adopted
Regulation (EU) No 961/2010 on restrictive measures against Iran and repealing
Regulation (EC) No 423/2007[4],
in order to give effect to Council Decision 2010/413/CFSP[5]. 
(2)              
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.
(3)              
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.
(4)              
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.
(5)              
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 items[6],
with the exception of certain items in Part 2 of category 5 thereof in view of
their use in public communication services in Iran.
(6)              
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. 
(7)              
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.
(8)              
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.
(9)              
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.
(13)          
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.
(14)          
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)          
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.
(18)          
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 funds[7]
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 financing[8].
(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 and exit summary declarations in Regulation (EEC) No 2913/92[9] and in Regulation (EEC) No
2454/93[10].

(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 Iran[11], 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 United Nations and the legally binding nature of the
United Nations Security 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
this Regulation should respect
Regulation (EC) No 45/2001 of the European Parliament and of the Council
of 18 December 2000 on the protection of individuals with regard to the
processing of personal data by the Community institutions and bodies and on the
free movement of such data[12]
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 data[13].
(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:
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)      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 
(ii)     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;
(f)                     
'credit institution' means a credit institution
as defined 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 institutions[14],
including its branches inside or outside the Union;
(g)                   
'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 Code[15]
and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down
provisions for the implementation of Regulation (EEC) No 2913/92[16];
(h)                   
'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;
(i)                     
'financial institution' means 
(i)      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);
(ii)     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)[17],
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 instruments[18];
(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 mediation[19], 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)                     
'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;
(k)                   
'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;
(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;
(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;
(p)                   
'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;
(q)                   
'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);
(r)                    
'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;
(s)                    
'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;
(t)                     
'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.
Chapter II
Export and import restrictions
Article 2
1.           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. 
2.           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. 
3.           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.
4.           Annexes I and II shall not
include goods and technology included in the Common Military List of the
European Union[20]
('Common Military List').
Article 3
1.           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.
2.           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.
3.           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.
4.           Exporters shall supply the
competent authorities with all relevant information required for their
application for an export authorisation.
5.           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
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.
6.           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.
7.           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 matters[21].
8.           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.
Article 4
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 5
1.           It shall be prohibited:
(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, 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)     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;
(b)     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 6
Article 2(1) shall not apply to:
(a)          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;
(b)          transactions mandated by the IAEA
technical cooperation programme; or
(c)          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.
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)         
the goods and technology, assistance or
brokering services are for food, agricultural, medical or other humanitarian
purposes; and 
(b)     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.
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.
Article 8
1.           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.
2.           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.
3.           Annex VI shall also include
key equipment and technology for the petrochemical industry in Iran.
4.           Annex VI shall not include
items included in the Common Military List, or in Annex I, Annex II or Annex III.
Article 9
It shall be prohibited:
(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.
(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)         
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
(c)         
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.

Article 11
1.           It shall be prohibited:
(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)         
to purchase crude oil or petroleum products
which are located in or which originated in Iran;
(c)         
to transport crude oil or petroleum products if
they originate in Iran, or are being exported from Iran to any other country;
and
(d)         
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.
Article 12
The prohibitions in Article 11 shall not apply to:
(a)     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;
(b)     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
(c)     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.           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.
2.           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. 
Article 14
The prohibitions in Article 13 shall
not apply to:
(a)         
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; 
(b)         
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
(c)         
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,
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 15
1.           It shall be prohibited:
(a)     to sell, supply, transfer or export,
directly or indirectly, gold, precious metals and diamonds, as listed in Annex VII,
whether or not originating in the Union, to 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; 
(b)     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
(c)     to provide, directly or indirectly, technical
assistance or brokering services, financing or financial assistance, related to
the goods referred to in points (a) and (b), to the Government of 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
Article 17
1.           The following shall be
prohibited:
(a)     the granting of any financial loan or
credit to any Iranian person, entity or body referred to in paragraph 2;
(b)     the acquisition or extension of a
participation in any Iranian person, entity or body referred to in paragraph 2;
(c)     the creation of any joint venture with
any Iranian person, entity or body referred to in
paragraph 2.
2.           The prohibition in
paragraph 1 shall apply to any Iranian person, entity or body engaged:
(a)     in the manufacture of goods or
technology listed in the Common Military List or in Annex I or II;
(b)     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:
(a)     '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;
(b)     'production of
crude oil and natural gas' includes bulk gas
transmission services for the purpose of transit or delivery to directly
interconnected grids;
(c)     'refining' means the processing,
conditioning or preparation for the ultimately final sale of fuels.
4.           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).
5.           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 within the territory of Iran or
in liquefied natural gas facilities directly connected thereto.
Article 18
1.           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.
2.           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.
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)         
the Iranian person, entity or body has committed
itself to apply appropriate end-user guarantees as regards the goods or
technology concerned;
(b)         
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
(c)         
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. 
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)          the transaction is required by an
agreement or contract concluded before 26 July 2010; and
(b)          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)          the transaction is required by an
agreement or contract concluded before 23 January 2012; and
(b)          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)          uranium mining,
(b)          uranium enrichment and
reprocessing of uranium;
(c)          the manufacture of goods or
technology included in the Nuclear Suppliers Group or Missile Technology
Control Regime lists.
Chapter IV
Freezing of funds and economic resources
Article 23
1.           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).
2.           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 to evade or
violate the provisions of this Regulation, Council Decision 2010/413/CFSP
or UNSCR 1737 (2006), UNSCR 1747 (2007), UNSCR 1803 (2008) and UNSCR 1929
(2010);
(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.
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.
5.           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. 
6.           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)         
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;
(e)         
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;
(f)           
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;
(g)         
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.
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:
(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);
(b)          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
(c)          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
1.           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
(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.
2.       The relevant Member State shall inform
the other Member States and the Commission of authorisations granted under
paragraph 1.
3.       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 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
(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;
(b)     the payment is not in breach of
Article 23(3).
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. 
Article 30
1.           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.
Chapter V
Restrictions on transfers of funds and on financial services
Article 31
1.           Transfers of funds to and
from an Iranian person, entity or body shall be processed as follows:
(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)         
(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.
(b)         
(b)        Notifications and requests for
authorisation relating to the transfer of funds 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)         
(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 competent authorities of the Member State where the initial order to
execute the transfer is given.
(d)         
(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)         
(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)           
(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.
6.           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
1.           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.
2.           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
1.           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)     exercise continuous vigilance over
account activity, particularly through their programmes on customer due
diligence;
(b)     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.
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)     branches and subsidiaries, where they
do not fall within the scope of Article 50, of credit and financial
institutions domiciled in Iran; and
(d)     credit and financial institutions that
are not domiciled in Iran but are controlled by persons and entities domiciled
in Iran.
Article 34
1.           It shall be prohibited for
credit and financial institutions falling within the scope of Article 50 to
do any of the following:
(a)     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);
(b)     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), 
(c)     to open a new representative office in
Iran or to establish a new branch or subsidiary in Iran;
(d)     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)     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);
(b)     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; 
(c)     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).
Article 35
It shall be prohibited:
(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);
(b)          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);
(c)          to assist a person, entity or
body referred to in point (a) in order to issue public or public‑guaranteed
bonds, by providing brokering services, advertising or any other service with
regard to such bonds.
Article 36
1.           It shall be prohibited to
provide insurance or re-insurance, including to arrange or broker the provision
of insurance or reinsurance, to:
(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.           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.
3.           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.
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.
Chapter VI
Restrictions on transport
Article 37
1.           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
2913/92[22]
and in Regulation (EEC) No 2454/93[23],
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.
2.           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
1.           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.
2.           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.
Chapter VII
General and final provisions 
Article 39
1.           No claims in connection
with any contract or transaction the performance of which has been affected,
directly or indirectly, in whole or in part, by the measures imposed under this
Regulation, including claims for indemnity or any other claim of this type,
such as a claim for compensation or a claim under a guarantee, notably a claim
for extension or payment of a bond, guarantee or indemnity, particularly a financial
guarantee or financial indemnity, of whatever form, shall be satisfied, if they
are made by:
(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).
2.           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.
3.           In any proceedings for the
enforcement of a claim, the onus of proving that satisfying the claim is not
prohibited by paragraph 1 shall be on the person seeking the enforcement of
that claim.
4.           This Article is without
prejudice to the right of the persons, entities and bodies referred to in
paragraph 1 to judicial review of the legality of the non-performance of
contractual obligations in accordance with this Regulation.
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.
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.           Any additional information
received directly by the Commission shall be made available to the Member State
concerned.
3.           Any information provided
or received in accordance with this Article shall be used only for the purposes
for which it was provided or received.
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.           The freezing of funds and
economic resources or the refusal to make funds or economic resources
available, carried out in good faith on the basis that such action is in
accordance with this Regulation, shall not give rise to liability of any kind
on the part of the natural or legal person, entity or body implementing it, or
its directors or employees, unless it is proved that the funds and economic
resources were frozen or withheld as a result of negligence.
2.           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.
3.           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.
Article 44
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 workers and
environmental protection are respected where cooperation with an Iranian
person, entity or body may be affected by the implementation of this
Regulation.
2.           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.
3.           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
1.           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)         
in respect of funds frozen under Article 23 and
derogations granted under Articles 24, 26 and 27;
(b)         
in respect of violations and enforcement
problems and judgments issued by national courts.
2.           The Member States shall immediately
inform each other and the Commission of any other relevant information at their
disposal which might affect the effective implementation of this Regulation.
Article 46
The Commission shall:
(a)          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;
(b)          amend Annex III, IV, V, VI, VII
and VIII on the basis of information supplied by Member States.
Article 47
1.           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.
2.           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.
3.           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 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.
4.           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.
5.           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.
6.           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
1.           Member States shall lay down the
rules on penalties applicable to infringements of this Regulation and shall
take all measures necessary to ensure that they are implemented. The penalties
provided for shall be effective, proportionate and dissuasive.
2.           Member States shall notify the
Commission of those rules without delay after the entry into force of this
Regulation and shall notify it of any subsequent amendment.
Article 49
1.           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.
2.           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.
3.           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.
Article 50
This Regulation shall apply:
(a)          within the territory of the
Union, including its airspace;
(b)          on board any aircraft or any
vessel under the jurisdiction of a Member State;
(c)          to any person inside or outside
the territory of the Union who is a national of a Member State;
(d)          to any legal person, entity or
body, inside or outside the territory of the Union, which is incorporated or
constituted under the law of a Member State;
(e)          to any legal person, entity or
body in respect of any business done in whole or in part within the Union.
Article 51
Regulation (EU) No 961/2010 is hereby
repealed. References to the repealed regulation shall be construed as
references to this Regulation.
Article 52
This Regulation shall enter into force on
the day of its publication in the Official Journal of the European Union.
This Regulation shall be binding
in its entirety and directly applicable in all Member States.
Done at Brussels, 
                                                                       For
the Council
                                                                       The
President
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 || Description 
 5A002 || "Information security" systems, equipment and components therefor, as follows: 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. 
   || 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.       Factorisation of integers in excess of 512 bits (e.g., RSA); 2.       Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or 3.       Discrete logarithms in a group other than mentioned in 5A002.a.1.b.2. in excess of 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;   
   || b.           Specific "software", as follows: 1.      "Software" having the characteristics, or performing or simulating the functions of the equipment, specified in 5A002.a.1; Note:     5D002 does not control "software" as follows: a.      "Software" required for the "use" of equipment excluded from control by the Note to 5A002; b.      "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. 
PART B
Article 6 applies to the following goods:
 Item from Annex I to Regulation (EC) No 428/2009 || Description 
 0A001 || "Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows: a.            "Nuclear reactors"; b.           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"; c.            Manipulative equipment specially designed or prepared for inserting or removing fuel in a "nuclear reactor"; d.           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; e.            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; f.            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"; 
 g.            Coolant pumps specially designed or prepared for circulating the primary coolant of "nuclear reactors"; h.            '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 the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation. i.             Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor"; j.            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 
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.               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.
2.           A reference number in the column
entitled 'Related item from Annex I to Regulation (EC) No 428/2009' means that
the characteristics of the item described in the column 'Description' lie
outside the parameters set out in the description of the dual-use entry
referred to.
3.           Definitions of terms between
'single quotation marks' are given in a technical note to the relevant item.
4.           Definitions of terms between
"double quotation marks" can be found in Annex I to Regulation (EC)
No 428/2009.
General
Notes
1.           The object of the prohibitions
contained in this Annex should not be defeated by the export of any
non-prohibited goods (including plant) containing one or more prohibited
components when the prohibited component or components are the principal
element of the goods and can feasibly be removed or used for other purposes.
N.B.: In judging whether the prohibited
component or components are to be considered the principal element, it is
necessary to weigh the factors of quantity, value and technological know-how
involved and other special circumstances which might establish the prohibited
component or components as the principal element of the goods being procured.
2.           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.           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.
2.           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.
3.           The ”technology” ”required” for
the ”development”, ”production” or ”use” of prohibited goods remains under
prohibition even when applicable to non-prohibited goods.
4.           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.
5.           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.
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.            Iodine hollow cathode lamps with windows in pure silicon or quartz b.           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: 1.           Seals 2.           Internal components 3.           Sealing, testing and measurement equipment || 0A001 
 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. || 0A001.j 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. || 0B001.c.6 2A226 
 II.A0.008 || Laser mirrors, other than those specified in 6A005.e, consisting of substrates having a thermal expansion 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. || 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 
 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. || 2B350 
 II.A0.011 || Vacuum pumps other than those specified in 0B002.f.2 or 2B231, as follows: Turbomolecular pumps having a flowrate equal to or greater than 400 l/s, Roots type vacuum roughing pumps having a volumetric aspiration flowrate greater than 200 m3/h. Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps. || 0B002.f.2, 2B231 
 II.A0.012 || Shielded enclosures for the manipulation, storage and handling of radioactive substances (Hot cells). || 0B006 
 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. || 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 || Related item from Annex I to Regulation (EC) No 428/2009 
 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 %. || – 
 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. || 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: a.            Capable of an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or b.           Having a tensile strength of 415 MPa or more at 298 K (25 °C). || 1C002.b.4, 1C202.a 
 II.A1.008 || Magnetic metals, of all types and of whatever form, having an initial relative permeability of 120 000 or more and a thickness between 0,05 and 0,1 mm. || 1C003.a 
 II.A1.009 || 'Fibrous or filamentary materials' or prepregs, as follows: 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; || 1C010.a 1C010.b 1C210.a 1C210.b 
   || 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: a.            Made from 'fibrous or filamentary materials' specified in II.A1.009 above; b.           Epoxy resin 'matrix' impregnated carbon 'fibrous or filamentary materials' (prepregs), specified in 1C010.a, 1C010.b or 1C010.c, for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm; || 1C010.e. 1C210 
   || 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. || 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). Technical Note: The phrase 'maraging steel capable of' encompasses maraging steel before or after heat treatment. || 1C216 
 II.A1.013 || Tungsten, tantalum, tungsten carbide, tantalum carbide and alloys, having both of the following characteristics: a.            In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and b.           A mass greater than 5 kg. Note:     This item does not cover tungsten, tungsten carbide and alloys defined in item 1C226. || 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 substitutional elements or precipitates to produce strengthening and age-hardening of the alloy. || — 
 II.A1.017 || Metals, metal powders and material as follows: a.            Tungsten and tungsten alloys, other than those 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; b.           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; c.            Tungsten materials in the solid form, other than those prohibited by 1C226, or II.A1.013 having material compositions as follows: 1.      Tungsten and alloys containing 97 % by weight or more of tungsten; 2.      Copper infiltrated tungsten containing 80 % by weight or more of tungsten; or 3.      Silver infiltrated tungsten containing 80 % by weight or more of tungsten. || — 
 II.A1.018 || Soft magnetic alloys having a chemical composition as follows: a)           Iron content between 30 % and 60 %, and b)         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)           Thermoset resin-impregnated continuous "yarns", "rovings", "tows", or "tapes", made from carbon "fibrous or filamentary materials"; c)           Polyacrylonitrile (PAN) continuous "yarns", "rovings", "tows" or "tapes" || — 
 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: a.            Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0,1g rms between 0,1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured 'bare table'; b.           Digital controllers, combined with specially designed vibration test 'software', with a real-time bandwidth greater than 5 kHz designed for use with vibration test systems specified in a.; c.            Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured 'bare table', and usable in vibration test systems specified in a.; d.           Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured 'bare table', and usable in vibration systems specified in a. Technical Note: 'Bare table' means a flat table, or surface, with no fixture or fittings. || 2B116 
 II.A2.002 || Machine tools and components and numerical controls for machine tools, as follows: a.            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 grinding defined in items 2B201.b and 2B001.c. b.           Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201, or under a. || 2B201.b 2B001.c 
 II.A2.003 || Balancing machines and related equipment as follows: a.            Balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics: 1.      Not capable of balancing rotors/assemblies having a mass greater than 3 kg; || 2B119 
   || 2.      Capable of balancing rotors/assemblies at speeds greater than 12500 rpm; 3.      Capable of correcting imbalance in two planes or more; and 4.      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: a.            A capability of penetrating a hot cell wall of 0,3 m or more (through the wall operation); or b.           A capability of bridging over the top of a hot cell wall with a thickness of 0,3 m or more (over the wall operation). || 2B225 
 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, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics. || 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: 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. || 2B230 
 II.A2.011 || Centrifugal separators, capable of continuous separation without the propagation of aerosols and manufactured from: 1.           Alloys with more than 25 % nickel and 20 % chromium by weight; 2.           Fluoropolymers; 3.           Glass (including vitrified or enamelled coating or glass lining); 4.           Nickel or alloys with more than 40 % nickel by weight; 5.           Tantalum or tantalum alloys; 6.           Titanium or titanium alloys; or 7.           Zirconium or zirconium alloys. Note:     This item does not cover centrifugal separators defined in item 2B352.c. || 2B352.c 
 II.A2.012 || Sintered metal filters made of nickel or nickel alloy with more than 40 % nickel by weight. Note:     This item does not cover filters defined in item 2B352.d. || 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. 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. || — 
 II.A2.014 || 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:               1.       Alloys with more than 25 % nickel and 20 % chromium by weight;               2.       Fluoropolymers;               3.       Glass (including vitrified or enamelled coating or glass lining);               4.       Graphite or 'carbon graphite';               5.       Nickel or alloys with more than 40 % nickel by weight;               6.       Tantalum or tantalum alloys;               7.       Titanium or titanium alloys; or               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. || 2B350.e 
 II.A2.015 || Industrial equipment and components, other than those specified in 2B350.d, as follows: 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:               1.       Alloys with more than 25 % nickel and 20 % chromium by weight;               2.       Fluoropolymers;               3.       Glass (including vitrified or enamelled coating or glass lining);               4.       Graphite or 'carbon graphite';               5.       Nickel or alloys with more than 40 % nickel by weight;               6.       Tantalum or tantalum alloys;               7.       Titanium or titanium alloys;               8.       Zirconium or zirconium alloys;               9.       Silicon carbide; or               10.     Titanium carbide; or 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.d 
 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:               1.       Alloys with more than 25 % nickel and 20 % chromium by weight;               2.       Ceramics;               3.       Ferrosilicon;               4.       Fluoropolymers;               5.       Glass (including vitrified or enamelled coatings or glass lining);               6.       Graphite or ‘carbon graphite’               7.       Nickel or alloys with more than 40 % nickel by weight;               8.       Tantalum or tantalum alloys;               9.       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. || 2B350.i 
 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 following characteristics: a.            Capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and b.           Current or voltage stability better than 0,1 % over a time period of four hours. Note:     This item does not cover power supplies defined in items 0B001.j.5 and 3A227. || 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: a.            Inductively coupled plasma mass spectrometers (ICP/MS); b.           Glow discharge mass spectrometers (GDMS); || 3A233 
   || c.            Thermal ionisation mass spectrometers (TIMS); d.           Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with 'materials resistant to corrosion by uranium hexafluoride UF6'; e.            Molecular beam mass spectrometers having either of the following characteristics: 1.      A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80°C) or less; or 2.      A source chamber constructed from, lined with or plated with 'materials resistant to corrosion by uranium hexafluoride (UF6)'; f.            Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides. ||   
 II.A3.003 || Frequency changers or generators, other than those prohibited by 0B001 or3A225, having all of the following characteristics, and specially designed components and software therefor: a.            Multiphase output capable of providing a power of 40 W or greater; b.           Capable of operating in the frequency range between 600 and 2000 Hz; and c.            Frequency control better (less) than 0,1 %. Technical Note: Frequency changers in II.A3.003 are also known as converters or inverters. || — 
 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 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. || 6A002 6A004.b 
 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. || 6A003 
 II.A6.004 || Argon ion "lasers" having an average output power equal to or greater than 5 W. Note:     This item does not cover argon ion 'lasers' defined in items 0B001.g.5, 6A005 and 6A205.a. || 6A005.a.6 6A205.a 
 II.A6.005 || Semiconductor "lasers" and components thereof, as follows: a.            Individual semiconductor "lasers" with an output power greater than 200 mW each, in quantities larger than 100; b.           Semiconductor "laser" arrays having an output power greater than 20 W. Notes: 1.           Semiconductor "lasers" are commonly called "laser" diodes. 2.           This item does not cover "lasers" defined in items 0B001.g.5, 0B001.h.6 and 6A005.b. 3.           This item does not cover "laser" diodes with a wavelength in the range 1200 nm – 2000 nm. || 6A005.b 
 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.           Semiconductor "lasers" are commonly called "laser" diodes. 2.           This item does not cover semiconductor "lasers" defined in items 0B001.h.6 and 6A005.b || 6A005.b 
 II.A6.007 || Solid state "tunable" "lasers" and specially designed components thereof as follows: a.            Titanium-sapphire lasers, b.           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. || 6A005.c.1 
 II.A6.008 || Neodymium-doped (other than glass) "lasers", having an output wavelength greater than 1000 nm but not 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. || 6A005.c.2 
 II.A6.009 || Components of acousto-optics, as follows: a.            Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1kHz; b.           Recurrence frequency supplies; c.            Pockels cells. || 6A203.b.4.c 
 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. Technical Note: The term Gy(silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation. || 6A203.c 
 II.A6.011 || Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics: 1.           Operating at wavelengths between 300 nm and 800 nm; 2.           An average output power greater than 10 W but not exceeding 30 W; 3.           A repetition rate greater than 1 kHz; and 4.           Pulse width less than 100 ns. Notes: 1.           This item does not cover single mode oscillators. 2.           This item does not cover tunable pulsed dye laser amplifiers and oscillators defined in item 6A205.c, 0B001.g.5 and 6A005. || 6A205.c 
 II.A6.012 || Pulsed carbon dioxide "lasers" having all of the following characteristics: 1.           Operating at wavelengths between 9000 nm and 11000 nm; 2.           A repetition rate greater than 250 Hz; 3.           An average output power greater than 100 W but not exceeding 500 W; and 4.           Pulse width 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. || 6A205.d 
 II.A6.013 || Copper vapour ‘lasers’ having both of the following characteristics: 1. Operating at wavelengths between 500 and 600 nm; and 2. An average output power equal to or greater than 15W. || 6A005.b 
 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. ||   
 A7. Navigation and Avionics 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 II.A7.001 || Inertial navigation systems and specially designed components thereof, as follows: 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 underwater) or 'spacecraft' for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof: 1.       Navigation error (free inertial) subsequent to normal alignment of 0,8 nautical mile per hour (nm/hr) 'Circular Error Probable' (CEP) or less (better); or 2.       Specified to function at linear acceleration levels exceeding 10 g; || 7A003 7A103 
 b.      Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with "Data-Based Referenced Navigation" ("DBRN") System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or "DBRN" for a period of up to four minutes, of less (better) than 10 metres 'Circular Error Probable' (CEP); c.       Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components thereof: 1.       Designed to have an Azimuth, Heading, or North Pointing 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. 
 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.       A constant power spectral density (PSD) value of 0,04 g2/Hz over a frequency interval of 15 to 1000 Hz; and b.       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; 2.       A roll and yaw rate equal to or greater than +2,62 radian/s (150 deg/s); or 3.       According to national standards equivalent to 1. or 2. above. 
 Technical Notes: 1.      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. 2.      'Circular Error Probable' (CEP) – In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located. II.           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. III.          Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in downhole well services operations. 
 A9. Aerospace and Propulsion 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 II.A9.001 || Explosive bolts. || — 
II.B. TECHNOLOGY
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 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. || – 
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.           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.
2.           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.
3.           Definitions of terms between
'single quotation marks' are given in a technical note to the relevant item.
4.           Definitions of terms between
"double quotation marks" can be found in Annex I to Regulation (EC)
No 428/2009.
General
Notes
1.           The object of the 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.
General
Technology Note (GTN)
(To be read in conjunction with Section III.B)
1.           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.
2.           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.
3.           The “technology” “required” for
the “use” of goods under control remains under control even when it is
applicable to non-controlled goods.
4.           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.
5.           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 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 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. || 0B006 
 III.A0.016 || Toxic gas monitoring systems designed for continuous operation and detection of Hydrogen Sulphide, and specially designed detectors therefore. || 0A001 0B001.c 
 III.A0.017 || Helium Leak Detectors. || 0A001 0B001.c 
 A1. Materials, chemicals, 'micro-organisms' and 'toxins' 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 III.A1.003 || Ring-shaped seals and gaskets, having an inner diameter of 400mm or less, made of any of the following materials: a.            Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching; b.           Fluorinated polyimides containing 10 % by weight or more of combined fluorine; c.            Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine; d.           Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®); e.            Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®); f.            Polytetrafluoroethylene (PTFE). ||   
 III.A1.004 || Personal equipment for detecting radiation of nuclear origin, including personal dosimeters. Note:     This item does not cover nuclear detection systems defined in item 1A004.c. || 1A004.c 
 III.A1.020 || Steel alloys in sheet or plate form, having any of the following characteristics: (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. || 1C116 1C216 
 III.A1.021 || Carbon-Carbon Composite material. || 1A002.b.1 
 III.A1.022 || Nickel alloys in crude or semi-fabricated form, containing 60% by weight or more nickel. || 1C002.c.1.a 
 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). Note: The phrase alloys 'capable of' encompasses alloys before or after heat treatment || 1C002.b.3 
 III.A1.024 || Propellants and constituent chemicals for propellants as follows: (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. || 1C111 
 III.A1.025 || ‘Lubricating materials’ containing, as their principal ingredients, any of the following: a) Perfluoroalkylether, (CAS 60164-51-4); b) Perfluoropolyalkylether, PFPE, (CAS 6991-67-9). ‘Lubricating materials’ means oils and fluids. || 1C006 
 III.A1.026 || Beryllium-Copper or Copper-Beryllium Alloys in plate, sheet, 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. || 1C002.b 
 A2. Materials Processing 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 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) being processed are made from the following materials: 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   || 2B350.e 
 III.A2.009 || Industrial equipment and components, other than those specified in 2B350.d, as follows: 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. Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.   || 2B350.d 
 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-rate greater than 5 m3/hour [measured under standard temperature (273 K or 0 °C) and pressure (101,3kPa) conditions]; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials: N.B. SEE ALSO II.A2.016     || 2B350.i 
   1.           Stainless steel;     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. 
 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)                    Ram or sinker electrode Electrical Discharge Machines; (b)                    Wire electrode Electrical Discharge Machines. Note: Electrical Discharge Machines are also known as Spark Erosion Machines or Wire Erosion Machines. || 2B001.d 
 III.A2.018 || Computer controlled or "numerically controlled" co-ordinate 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. || 2B006.a 2B206.a 
 III.A2.019 || Computer controlled or "numerically controlled" Electron Beam Welding Machines, and specially designed components therefor. || 2B001.e.1.b 
 III.A2.020 || Computer controlled or "numerically controlled" Laser Welding and Laser Cutting Machines, and specially designed components therefor. || 2B001.e.1.c 
 III.A2.021 || Computer controlled or "numerically controlled" Plasma Cutting Machines, and specially designed components therefor. || 2B001.e.1 
 III.A2.022 || Vibration Monitoring Equipment specially designed for rotors or rotating equipment and machinery, capable of measuring any frequency in the range 600-2000 Hz. || 2B116 
 III.A2.023 || Liquid Ring Vacuum Pumps, and specially designed components therefore. || 2B231 2B350.i 
 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 || 2B231 2B235.i 0B002.f 
 III.A2.025 || Air filters, as follows, having one or more physical size dimension exceeding 1000 mm: a)         High Efficiency Particulate Air (HEPA) filters; b)         Ultra-Low Penetration Air (ULPA) filters. Note: III.A2.025 does not control air filters specially designed for medical equipment. || 2B352.d 
 A3. Electronics 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 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)                    Multiphase output power of 10 W or greater; (b)                    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. || 3A225 0B001.b.13 
 A6. Sensors and Lasers 
 No || Description || Related item from Annex I to Regulation (EC) No 428/2009 
 III.A6.012 || ‘Vacuum pressure gauges’, being electrically powered and having measurement accuracy of 5% or less (better). ‘Vacuum pressure gauges’ include Pirani Gauges, Penning Gauges and Capacitance Manometers. || 0B001.b 
 III.A6.013 || Microscopes and related equipment and detectors, as follows: a)         Scanning Electron Microscopes; b)         Scanning Auger Microscopes; c)         Transmission Electron Microscopes; d)         Atomic Force Microscopes; e)         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: 1.         X-ray Photo Spectroscopy (XPS); 2.         Energy-dispersive X-ray Spectroscopy (EDX, EDS); or 3.         Electron Spectroscopy for Chemical Analysis (ESCA). || 6B 
 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 
 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. Technical Note: ‘Load Cells’ means devices and transducers for the measurement of force in both tension and in compression. 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. || 9B117 
 III.A9.003 || Electrical power generation gas turbines, components and related equipment as follows: (a)                    Gas Turbines specially designed for electrical power generation, having an output exceeding 200 MW; (b)                    Vanes, Stators, Combustion Chambers and Fuel Injection Nozzles, specially designed for electrical power generation gas turbines specified in III.A9.003.a; (c)                    Equipment specially designed for the “development” and “production” of electrical power generation gas turbines specified in III. A9.003.a.   || 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. ||   
ANNEX IV
List of 'crude oil and petroleum
products' referred to in Articles 11 and 32(1)
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
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).
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
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
ANNEX VI
List of key equipment and technology
referred to in Articles 8 and 32(1)
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.
3.           Definitions of terms between
'single quotation marks' are given in a technical note to the relevant item.
4.           Definitions of terms between
"double quotation marks" can be found in Annex I to Regulation (EC)
No 428/2009.
General
Technology Note (GTN)
1.           The "technology"
"required" for the "development", "production" or
"use" of prohibited goods remains under prohibition even when
applicable to non-prohibited goods.
2.           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.
3.           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.
Exploration
and production of crude oil and natural gas
1.A      Equipment
1.           Geophysical survey equipment,
vehicles, vessels and aircraft specially designed or adapted to acquire data
for oil and gas exploration and specially designed components therefore.
2.           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.
3.           Drilling equipment designed to
drill rock formations, specifically for the purpose of exploring for, or
producing oil, gas and other naturally occurring, hydrocarbon materials. 
4.           Drill bits, drill pipes, drill
collars, centralisers and other equipment, specially designed for use in and
with oil and gas well drilling equipment.
5.           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.      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. 
b.      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.
c.       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.
6.         Drilling and production
platforms for crude oil and natural gas.
7.           Vessels and barges incorporating
drilling and/or petroleum processing equipment used for producing oil, gas and
other naturally occurring flammable materials.
8.           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.
9.           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.
11.         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
1.           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.
2.           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.
3.           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
1.           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.
2.           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.
3.           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
1.           "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.
2.           "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.
3.           "Software" specially
designed for the "use" of petroleum production and processing
facilities or specific sub-units of such facilities.
1.E       Technology
1.           "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;
b.      Coil-wound heat exchangers specially
designed for liquefaction or sub-cooling of natural gas.
2.           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. 
3.           '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.
4.           Equipment for shipping terminals
of liquefied gases having a temperature below –120 ºC and specially
designed components therefore.
5.           Flexible and non-flexible transfer
line having a diameter greater than 50 mm for the transport of media
below –120 ºC. 
6.           Maritime vessels specially
designed for the transport of LNG.
7.           Electrostatic desalters specially
designed to remove contaminants such as salts, solids and water from crude oil
and specially designed components therefore.
8.           All crackers, including
hydrocrackers, and cokers, specially designed for conversion of vacuum gas oils
or vacuum residuum, and specially designed components therefore.
9.           Hydrotreaters specially designed
for desulphurisation of gasoline, diesel cuts and kerosene and specially
designed components therefore.
10.         Catalytic reformers specially
designed for conversion of desulphurised gasoline into high-octane gasoline,
and specially designed components therefore.
11.         Refinery units for C5-C6 cuts
isomerisation, and refinery units for alkylation of light olefins, to improve
the octane index of the hydrocarbon cuts.
12.         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. 
13.         Tubes with an outer diameter of
0.2 m or more and made from any of the following materials:
a.       Stainless steels with 23% chromium or
more by weight;
b.      Stainless steels and nickel bases
alloys with a 'Pitting resistance equivalent' number higher than 33.
Technical Note:
'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.
15.         Pig launchers and pig catchers for
the integration or removing of pigs.
16.         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.       fixed roof tanks;
b.      floating roof tanks.
17.         Subsea flexible pipes specially
designed for the transportation of hydrocarbons and injection fluids, water or
gas, having a diameter greater than 50 mm.
18.         Flexible pipes used for high
pressure for topside and subsea application.
19.         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
1.           Equipment specially
designed for testing and analysing of quality (properties) of crude oil and
fuels.
2.           Interface control systems
specially designed for controlling and optimising of the
desalting process.
2.C      Materials
1.           Diethyleneglycol (CAS 111-46-6),
Triethylene glycol (CAS 112-27-6)
2.           N-Methylpyrrolidon (CAS 872-50-4),
Sulfolane (CAS 126-33-0)
3.           Zeolites, of natural or
synthetic origin, specially designed for fluid catalytic cracking or for the
purification and/or dehydration of gases, including natural gases.
4.           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;
b.      Mixed metal species (platinum in
combination with other noble metals) on alumina type or on zeolite, specially
designed for catalytic reforming process; 
c.       Cobalt and nickel catalysts doped
with molybdenum on alumina type or on zeolite, specially designed for catalytic
desulphurisation process;
d.      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.           "Software" specially
designed for the "use" of LNG plants or specific sub-units of
such plants.
2.           "Software" specially
designed for the "development", "production" or
"use" of plants (including their sub-units) for oil refining.
2.E       Technology
1.           "Technology" for the
conditioning and purification of raw natural gas (dehydration, sweetening,
removal of impurities).
2.           "Technology" for the
liquefaction of natural gas, including "technology" required for the
"development", "production" or "use" of LNG
plants.
3.           "Technology" for the
shipment of liquefied natural gas.
4.           "Technology"
"required" for the "development", "production" or
"use" of maritime vessels specially designed for the transport of
liquefied natural gas.
5.           "Technology" for
storage of crude oil and fuels.
6.           "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
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
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’.
ANNEX VII
List of gold, precious metals and
diamonds referred to in Articles 15 and 32(1)
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
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/Sanktioner/
GERMANY
http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html
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
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
SLOVENIA
http://www.mzz.gov.si/si/zunanja_politika_in_mednarodno_pravo/zunanja_politika/mednarodna_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
[1]               OJ L 281, 27.10.2010, p. 1.
[2]               OJ L 195, 27.07.2010, p. 39.
[3]               OJ L 19 of 24.01.2012, p. 23 .
[4]               OJ L 281, 27.10.2010, p. 1.
[5]               OJ L 195, 27.07.2010, p. 39.
[6]               OJ L 134, 29.5.2009, p. 1.
[7]               OJ L 345, 8.12.2006, p. 1.
[8]               OJ L 309, 25.11.2005, p. 15.
[9]               OJ L 302, 19.10.1992, p. 1
[10]             OJ L 253, 11.10.1993, p. 1.
[11]             OJ L100, 14.4.2011, p.1
[12]             OJ L 8, 12.1.2001, p. 1.
[13]             OJ L 281, 23.11.1995, p. 31.
[14]             OJ L 177, 30.6.2006, p. 1.
[15]             OJ L 302, 19.10.1992, p. 1.
[16]             OJ L 253, 11.10.1993, p. 1.
[17]             OJ L 335, 17.12.2009, p. 1.–
[18]             OJ L 145, 30.4.2004, p. 1.
[19]             OJ L 9, 15.1.2003, p. 3.
[20]             OJ C 69, 18.3.2010, p. 19
[21]             OJ L 82, 22.3.1997, p. 1.
[22]             OJ L 302, 19.10.1992, p. 1
[23]             OJ L 253, 11.10.1993, p. 1.