CELEX: 52012JC0033
Language: en
Date: 2012-11-23
Title: Joint Proposal for a COUNCIL REGULATION amending Regulation (EU) No 267/2012 concerning restrictive measures against Iran

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		52012JC0033
		
			Joint Proposal for a COUNCIL REGULATION amending Regulation (EU) No 267/2012 concerning restrictive measures against Iran /* JOIN/2012/033 final - 2012/0338 (NLE) */
			
				
		
		
			
			   	EXPLANATORY
MEMORANDUM
(1)                   
Council Regulation (EU) No 267/2012 of 23 March
2012 gives effect to the measures provided for in Decision 2010/413/CFSP
concerning restrictive measures against Iran. On 15 October 2012 the Council
adopted Decision 2012/635/CFSP which amends Council Decision 2010/413/CFSP and
provides for additional restrictive measures against Iran.
(2)                   
These additional measures comprise, in
particular, additional restrictions on key
equipment and technology which could be used in the petrochemical industry, a
ban on the import of Iranian natural gas, as well as an export prohibition on
key naval equipment and technology for ship-building, maintenance or refit.
Moreover, a ban was imposed on trade in graphite, certain
raw or semi-finished metals, such as aluminium and steel, and software for certain industrial processes.
(3)                   
Decision 2012/635/CFSP also called for the
review of restrictive measures concerning dual-use 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.
(4)                   
In view of Article 215 TFEU, further action by
the Union is needed to give effect to these measures.
(5)                   
The High Representative for Foreign Affairs and
Security Policy and the Commission should therefore propose to amend Regulation
(EU) No 267/2012 accordingly.
2012/0338 (NLE)
Joint Proposal for a
COUNCIL REGULATION
amending Regulation (EU) No 267/2012
concerning restrictive measures against Iran
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
2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and
repealing Common Position 2007/140/CFSP [1],
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)              
Council Regulation (EU) No 267/2012[2] of 23 March 2012 gives effect
to the measures provided for in Decision 2010/413/CFSP concerning restrictive
measures against Iran. On 15 October 2012 the Council adopted Decision
2012/635/CFSP[3]
which amends Council Decision 2010/413/CFSP and provides for additional
restrictive measures against Iran.
(2)              
Those additional restrictive measures comprise,
in particular, additional restrictions on key
equipment and technology which could be used in the petrochemical industry, as
well as an export prohibition on key naval equipment and technology for
ship-building, maintenance or refit. Moreover, trade in graphite, raw or semi-finished metals, such as aluminium and steel,
and software for certain industrial processes should
be prohibited.
(3)              
The additional restrictive measures also include
a ban on the import, purchase or transport of Iranian natural gas. Effective
implementation of this prohibition requires that measures be taken to prohibit
swaps of natural gas that are known to increase the export of natural gas from
Iran in circumvention of the prohibition, or there is reasonable cause to
suspect this. The contracts satisfied by use of a pipeline directly connected
to the natural gas transmission grid of the European Union without any inlet
point directly or indirectly connected to the Iranian natural gas transmission
grid should not be affected by the prohibition on natural gas imports.
(4)              
Decision 2012/635/CFSP called for the review of
restrictive measures concerning dual-use 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[4],
with a view to including certain items in Part 2 of category 5 thereof which
might be relevant to industries controlled directly
or indirectly by the Iranian Revolutionary Guard Corps or which might be
relevant to Iran's nuclear, military or ballistic missile programme while
taking into account the need to avoid unintended effects on the civilian
population in Iran. 
(5)              
In order to ensure the effective implementation
of the prohibition on the sale, supply, transfer or export to Iran of
additional 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. 
(6)              
For the same reason, lists of items subject to
trade restrictions on natural gas, graphite, raw or semi-finished metals, such
as aluminium and steel, and software for certain industrial processes should also
be provided.
(7)              
Decision 2012/635/CFSP also prohibits transactions
between Union and Iranian banks and financial institutions, unless authorised
in advance by the relevant Member State.
(8)              
Furthermore, Decision 2012/635/CFSP provides for prohibitions on the provision
of flagging and classification services to Iranian oil tankers and cargo
vessels as well as regarding the supply of vessels designed for the transport
or storage of oil and petrochemical products to Iranian persons and entities or
to other persons and entities for the purpose of transporting or storing
Iranian oil and petrochemical products.
(9)              
These measures fall within the scope of the
Treaty on the Functioning of the European Union and regulatory action at the
level of the Union is therefore necessary in order to implement it, in
particular with a view to ensuring its uniform application by economic
operators in all Member States.
(10)          
Regulation (EU) No 267/2012 should therefore be
amended accordingly,
HAS ADOPTED THIS REGULATION:
Article 1
Regulation (EU) No 267/2012 is amended as
follows:
(1)                   
In Article 2, paragraph 2 is replaced by the
following:
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, except for certain goods and technology as
specified in part A and, until 15 April 2013, in part C of Annex I to this
Regulation.
(2)                   
The following Article 2a is inserted:
"Article 2a
1. The prohibition in Article 2(1) shall
not apply to: 
(a)                   
the execution, until 15 April 2013, of contracts
concluded before 16 October 2012 for the sale, supply, transfer or export of
goods and technology as specified in Part C of Annex I to this Regulation or
ancillary contracts necessary for the execution of such contracts.
(b)                   
the execution, until 15 April 2013, of contracts
concluded before 16 October 2012 for the provision of technical assistance or
financing or financial assistance related to goods and technology as specified
in Part C of Annex I to this Regulation."
(3)                   
Article 8 is replaced by the following:
"Article 8
1. It shall be prohibited to sell, supply,
transfer or export key equipment or technology listed in Annex VI and VIA,
directly or indirectly, to any Iranian person, entity or body or for use in,
Iran.
2. Annex VI and VIA 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 and VIA shall also include key
equipment and technology for the petrochemical industry in Iran.
4. Annex VI and VIA shall not include items
included in the Common Military List, or in Annex I, Annex II or Annex III."
(4)                   
Article 10 is replaced be the following:
"Article 10
1. The prohibitions in Articles 8 and 9 shall
not apply to:
(a)                   
execution, until 15 April 2013, of transactions
required by a trade contract concerning key equipment or technology in the
exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, liquefaction of natural gas as listed in Annex VI concluded
before 27 October 2010, or ancillary contracts necessary for the execution of
such contracts, 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 therefrom; or
(b)                   
execution, until 15 April 2013, of transactions
required by a trade contract concerning key equipment or technology for the
petrochemical industry as listed in Annex VI concluded before 24 March 2012, or
of ancillary contracts necessary for the execution of such contracts, 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 therefrom; or
(c)                   
execution, until 15 April 2013, of transactions
required by a trade contract concerning key equipment or technology in the
exploration of crude oil and natural gas, production of crude oil and natural
gas, refining, liquefaction of natural gas and for the petrochemical industry
as listed in Annex VIA concluded before 16 October 2012, or of ancillary
contracts necessary for the execution of such contracts, or by a contract or
agreement concluded before 16 October 2012 and relating to an investment in
Iran made before 23 January 2012, nor shall they prevent the execution of an obligation
arising therefrom;
provided that the natural or legal person,
entity or body seeking to engage in such transactions, 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.
2. Paragraph 1 shall
be without prejudice to the execution of obligations arising from contracts
referred to in Article 12(1)(b) and 14(1)b provided that those obligations
arise from service contracts or ancillary contracts necessary for their
execution and provided that the execution of those obligations has been authorised in advance by the competent authority concerned and
the competent authority has informed the other competent authorities and the
Commission of its intention to grant an authorisation."
(5)                   
The following Articles 10a, 10b and 10c are
added:
"Article 10a
1. It shall be prohibited to sell, supply,
transfer or export equipment or technology listed in Annex VIB, directly or
indirectly, to any Iranian person, entity or body or for use in Iran.
2. Annex VIB shall include key naval equipment
or technology for ship building, maintenance or refit, including equipment or
technology used in the construction of oil tankers.
Article 10b
1. 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 VIB, or related to the provision, manufacture, maintenance and
use of goods listed in Annex VIB, 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 VIB, to any Iranian person, entity or body of for use in Iran.
Article 10c
1. The prohibitions in Articles 10a and 10b
shall be without prejudice to the supply of key naval equipment and technology
to a vessel which is not owned or controlled by an Iranian person, entity or
body and which has been forced into a port in Iran, or into Iranian territorial
waters, under force majeure.
2. The prohibitions in Articles 10a and 10b
shall not apply to the execution, until 15 February 2013, of contracts
concluded before 16 October 2012 or ancillary contracts necessary for the
execution of such contracts." 
(6)                   
The following Articles 10d, 10e and 10f are inserted:
"Article 10d
1. It shall be prohibited to sell, supply,
transfer or export software for integrating industrial processes as listed in Annex
VIIA, directly or indirectly, to any Iranian person, entity or body or for use
in Iran;
2. Annex VIIA shall include software for
integrating industrial processes which is relevant to industries controlled
directly or indirectly by the Iranian Revolutionary Guard Corps or which is
relevant to Iran's nuclear, military or ballistic missile programme.
Article 10e
1. It shall be prohibited:
(a)                   
to provide, directly or indirectly, technical
assistance or brokering services related to the software listed in Annex VIIA,
or related to the provision, manufacture, maintenance and use of goods listed
in Annex VIIA, 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 software listed in Annex VIIA, to any
Iranian person, entity or body of for use in Iran.
Article 10f
1. The prohibitions in Articles 10d and 10e
shall not apply to the execution, until 15 January 2013, of contracts concluded
before 16 October 2012 or ancillary contracts necessary for the execution of
such contracts."
(7)                   
The following Article 14a is inserted:
"Article 14a
1. It shall be prohibited: 
(a)                   
(to import natural gas into the Union if it: 
(i)       originates in Iran; or
(ii)      has been exported from Iran; 
(b)                   
to purchase natural gas which is located in,
transited through or which originated from Iran; 
(c)                   
to transport natural gas if it originates in
Iran, or has been exported from Iran to any other country; 
(d)                   
to swap natural gas if it originates in Iran, or
has been exported from Iran to any other country; and
(e)                   
to provide, directly or indirectly, brokering
services, financing or financial assistance, including financial derivatives,
as well as insurance and re-insurance and brokering services relating to
insurance and re-insurance, related to the import, purchase or transport of
natural gas of Iranian origin or that has been imported from Iran. 
2. Natural gas means the products listed in
Annex IVA. 
3. For the purposes of paragraph 1, 'to
swap' means to exchange natural gas streams of different origins.
4. The prohibitions in paragraph 1 (a),
(b), (c) and (e) shall not apply to the execution of contracts for the delivery
of natural gas originating in a State other than Iran, nor to acts and
transactions carried out with regard to entities listed in Annex IX which hold
rights derived from an original award before 27 October 2010, by a sovereign
Government other than Iran, of a production sharing agreement, as referred to
in Article 39, insofar as such acts and transactions relate to those entities'
participation in that agreement.
(8)                   
The following Articles 15a, 15b, 15c and 15d is
inserted:
"Article 15a
1. It shall be prohibited to sell, supply,
transfer or export graphite and raw or semi-finished metals as listed in Annex
VIIB, directly or indirectly, to any Iranian person, entity or body or for use
in Iran;
2. Annex VIIB shall include graphite and
raw or semi-finished metals, such as aluminium and steel, which are relevant to
industries controlled directly or indirectly by the Iranian Revolutionary Guard
Corps or which are relevant to Iran's nuclear, military or ballistic missile
programme.
3. The prohibition in paragraph 1 shall not
apply to the goods listed in Annex III. 
"Article 15b
1. It shall be prohibited:
(a)                   
to provide, directly or indirectly, technical
assistance or brokering services related to the goods as listed in Annex VIIB,
or related to the provision, manufacture, maintenance and use of goods listed
in Annex VIIB, 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 goods listed Annex VIIB, to any Iranian
person, entity or body or for use in Iran.
2. The prohibitions in paragraph 1 shall
not apply in relation to the goods listed in Annex III." 
"Article 15c
The prohibitions in Article 15a shall not
apply to the execution, until 15 April 2013, of contracts concluded before 16
October 2012 or ancillary contracts necessary for the execution of such
contracts."
(9)                   
Article 23 is amended as follows:
(a)                   
in paragraph 2, points (c) and (d) are replaced
by the following:
(c)         
"(c) being a senior 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 or more of its members, or
natural or legal persons acting on their behalf or providing insurance and
other essential services to them; 
(d)         
(d) being other persons, entities or bodies that
provide support, such as material, logistical or financial support, to the
Government of Iran and entities owned or controlled by them, or persons and
entities associated with them;"
(b)                   
paragraph 4 is replaced by the following: 
"4. Without prejudice to the
derogations provided for in Articles 24, 25, 26, 27, 28, 28a or 29, it shall be
prohibited to supply specialised financial messaging services, which are used
to exchange financial data to the natural or legal persons, entities or bodies
listed in Annexes VIII and IX."
(10)               
Article 28 is replaced by the following:
"Article
28
By way of derogation from Articles 23(2)
and (3), the competent authorities may also authorise, under such conditions as
they deem appropriate:
(a)                   
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, or
the servicing of trade loans; or
(b)                   
the release of certain frozen funds or economic
resources held by 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 execution
of a contract or agreement concluded by an Iranian person, entity or body
before 16 October 2012 where such a contract or agreement provides for the
reimbursement of outstanding amounts to persons, entities or bodies under the
jurisdiction of Member States; 
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."
(11)               
Article 30 is replaced by the following Articles
30, 30a and 30b:
"Article 30
1. Transfers of funds to and from an
Iranian person, entity or body which are not prohibited under Article 30a shall
be processed as follows:
(a)                   
transfers due on transactions regarding
foodstuffs, healthcare, medical equipment, or for agricultural or humanitarian
purposes shall be carried out without any prior authorisation. 
(b)                   
The transfer shall be notified in advance in
writing to the competent authority of the Member State concerned if above EUR
10 000 or equivalent;
(c)                   
any other transfer below EUR 40 000 shall be
carried out without any prior authorisation. 
(d)                   
The transfer shall be notified in advance in
writing to the competent authority of the Member State concerned if above EUR
10 000 or equivalent;
(e)                   
any other transfer above EUR 40 000 or
equivalent shall require a prior authorisation of the competent authority of
the Member State concerned. 
The competent authorities shall inform each
other of any authorisation rejected at three-monthly intervals.
2. Transfers of funds below EUR 10 000
shall not require any prior authorisation or notification.
Article 30a
1. It shall be prohibited to transfer funds
between financial and credit institutions falling within the scope of this
Regulation, and 
(a)                   
bureaux de change and credit and financial
institutions domiciled in Iran;
(b)                   
branches and subsidiaries, where they fall
within the scope of this Regulation, of credit and financial institutions and
bureaux de change domiciled in Iran;
(c)                   
branches and subsidiaries, where they do not
fall within the scope of this Regulation, of credit and financial institutions
and bureaux de change domiciled in Iran; and
(d)                   
bureaux de change and credit and financial
institutions that are not domiciled in Iran but are controlled by persons,
entities or bodies domiciled in Iran.
2. By way of derogation from paragraph 1
and subject to paragraph 4 and Article 30b(1), the competent authorities may authorise,
under such conditions as they deem appropriate, and in accordance with the
conditions laid down in paragraph 3, the following transfers:
(a)                   
transfers regarding foodstuffs, healthcare,
medical equipment, or for agricultural or humanitarian purposes;
(b)                   
transfers regarding personal remittances; 
(c)                   
transfers in connection with a specific trade
contract provided that such transaction is not prohibited under this
Regulation;
(d)                   
transfers regarding diplomatic missions or
consular posts or international organisations enjoying immunities in accordance
with international law, insofar as such transactions are intended to be used
for official purposes of the diplomatic missions or consular posts or organisations
enjoying immunities in accordance with international law;
(e)                   
transfers regarding payment to satisfy claims
against an Iranian person, entity or body, or transfers of similar nature
provided that they do not contribute to the activities prohibited under this
Regulation, on a case by case basis, if the Member State concerned has notified
the other Members States and the Commission of its intention to grant an
authorisation. 
3. Transfers of funds which may be authorised
under paragraph 2 shall be processed as follows: 
(a)                   
transfers due on transactions regarding
foodstuffs, healthcare, medical equipment, or for agricultural or humanitarian
purposes, below EUR 100.000, and transfers due on transactions regarding
personal remittances, below EUR 40 000, shall be carried out without any prior
authorisation. 
The transfer shall be notified in advance in
writing to the competent authority of the Member State concerned if above EUR
10 000 or equivalent;
(b)                   
transfers due on transactions regarding
foodstuffs, healthcare, medical equipment, or for agricultural or humanitarian
purposes, above EUR 100.000 or equivalent, and transfers due on transactions regarding
personal remittances, above EUR 40 000 or equivalent, shall require prior
authorisation of the competent authority of the Member State concerned pursuant
to paragraph 2. 
The competent authorities shall inform each
other of any authorisation granted at three-monthly intervals;
(c)                   
any other transfer above EUR 10 000 or
equivalent shall require prior authorisation of the competent authority of the
Member State concerned pursuant to paragraph 2. 
The competent authorities shall inform each
other of any authorisation granted at three-monthly intervals. 
4. Transfers of funds below EUR 10 000
shall not require any prior authorisation or notification.
Article 30b
1. Where an authorisation has been granted in
accordance with Articles 24, 25, 26, 27, 28 or 28a, the authorisation referred
to in Articles 30(1)(c), 30a(3)(b) and 30a(3)(c) shall not be required and
Articles 30, 30a and 30b shall not apply.
2. Articles 30(1) and 30a(3)
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 Regulation, "operations which appear to be linked" includes:
(a)          a series of consecutive
transfers from or to the same Iranian person, entity or body which are made in
connection with a single obligation to a transfer of funds, where each
individual transfer falls below the threshold set out in paragraph 1 but which,
in the aggregate, meet the criteria for notification or authorisation; or
(b)          a chain of transfers
involving different payment service providers or natural or legal persons 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)                   
In the case of electronic transfers of funds
processed by credit or financial institutions, notifications and requests for
authorisation relating to the transfer of funds shall be processed as follows:
(i)      Notifications and requests for
authorisation relating to the transfer of funds to an Iranian person, entity or
body which is located outside the Union, shall be addressed by or on behalf of
the payment service provider of the payer to the competent authorities of the
Member State where the initial order to execute the transfer is given.
(ii)     Notifications and requests for
authorisation relating to the transfer of funds from an Iranian person, entity
or body which is located outside the Union, shall be addressed by or on behalf
of the payment service provider of the payee to the competent authorities of
the Member State in which the payee is resident or the payment service provider
is established.
(iii)     If the payment service provider of the
payer or of the payee does not fall under the scope of this
Regulation, notifications and requests for authorisation
shall be addressed, in the case of a transfer to an Iranian person, entity or
body, by the payer, and in the case of a transfer from an Iranian person, entity
or body by the payee to the competent authorities of the Member State in which,
respectively, the payer or payee is resident.
(iv)    Notifications and requests for
authorisation relating to the transfer of funds to an Iranian person, entity or
body which is located within the Union, shall be addressed by or on behalf of
the payment service provider of the payee to the competent authorities of the
Member States in which the payee is resident or the payment service provider is
established.
(v)     Notifications and requests for
authorisation relating to the transfer of funds from an Iranian person, entity
or body which is located within the Union, shall be addressed by or on behalf
of the payment service provider of the payer to the competent authorities of the
Member States where the initial order to execute the transfer is given.
(vi)    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 this Regulation but a payment service provider
which does fall under the scope of this Regulation 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.
(vii)    Where there is more than one payment
service provider involved in a series of linked transfers of funds, transfers
within the Union shall include a reference to the authorisation granted under
Article 30 or 30a.
(b)                   
In the case of transfers of funds which are made by
non-electronic means, notifications and requests for authorisation relating to
the transfer of funds shall be processed as follows:
(i)      Notifications and requests for
authorisation relating to transfers to an Iranian person, entity or body shall
be addressed by the payer to the competent authorities of the Member State
where the payer is resident.
(ii)     Notifications and requests for
authorisation relating to the transfers from an Iranian person, entity or body
shall be addressed by the payee to the competent authorities of the Member
State in which the payee is resident.
4. For the purposes of Articles 30(1)(c),
30a(3)(b) and 30a(3)(c), the competent authorities shall grant the
authorisation, under such terms and conditions as they deem appropriate, 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 or
obligations in this Regulation.
A competent authority may charge a fee for the
assessment of requests for authorisation.
5. For the purposes of Article 30(1)(c), 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.
6. The following persons, entities or bodies do
not fall within the scope of Articles 30 and 30a:
(a)                   
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;
(b)                   
persons, entities or bodies who provide credit or
financial institutions solely with a message or other support system for
transmitting funds; or 
(c)                   
persons, entities or bodies who provide credit or
financial institutions solely with clearing and settlement systems."
(12)               
Article 31 is replaced by the following:
"Article 31
1. Branches and subsidiaries, falling within
the scope of this Regulation, 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, IVA, V, VI, VIA, VIB, VII, VIIA and VIIB 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 notified competent authorities shall
without delay transmit the information on notifications referred to in
paragraph 1, 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."
(13)               
Article 32 is deleted.
(14)               
In Articles 33 and 34 references to Article
32(2) are replaced by references to Article 30a(1).
(15)               
The following Articles 37a and 37b are inserted:
"Article 37a
1. The provision of the following services in
respect of oil tankers and cargo vessels flying the flag of the Islamic
Republic of Iran or owned, controlled, or operated, directly or indirectly, by
an Iranian person, entity or body shall be prohibited:
(a)                   
the provision of classification services of any
kind, including but not limited to: 
(i)      the production and application of classification rules or technical specifications
concerning the design, construction, equipment and maintenance of ships, 
(ii)     the carrying out of surveys and inspections in accordance with classification rules
and procedures, 
(iii)     the assignment of
a class notation and the delivery, endorsement or renewal of certificates of
compliance with classification rules or specifications;
(b)                   
the supervision of the design, construction and
repair of ships and their parts including blocks, elements, machinery,
electrical installations and control installation;
(c)                   
the inspection, testing and certification of
marine equipment, materials and components as well as the supervision of their
installation on board and system integration;
(d)                   
the carrying out of surveys, inspections, audits
and visits and the issuance, renewal or endorsement of the relevant
certificates and documents of compliance, on behalf of the flag State
administration, in accordance with the International Convention for the Safety
of Life at Sea, 1974, as amended (SOLAS 1974) and its 1988 Protocol; the
International Convention for the Prevention of Pollution from Ships, 1973, as
modified by the Protocol of 1978 relating thereto, as amended (MARPOL 73/78);
the Convention on the International Regulations for Preventing Collisions at
Sea, 1972, as amended (COLREG 1972); the International Convention on Load
Lines, 1966 (LL 1966) and its 1988 Protocol; the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as
amended (STCW) and the International Convention on Tonnage Measurement of
Ships, 1969 (TONNAGE 1969);
2. The prohibition in paragraph 1 shall
apply from 15 January 2013.
Article 37b
1. It shall be prohibited to supply vessels
designed for the transport or storage of oil and petrochemical products: 
(i)      to any Iranian person, entity or
body; or
(ii)     where the providers of the service
have reasonable grounds to determine that the vessels will be used to carry oil
or petrochemical products that originate in Iran or have been exported from
Iran.
2. The prohibition in paragraph 1 shall be
without prejudice to the execution of obligations arising from contracts
referred to in Article 12(1)(b) provided that the execution of those
obligations has been authorised in advance by the
competent authority concerned and the competent authority has informed the
other competent authorities and the Commission of its intention to grant an
authorisation.
3. The authorisation referred to in
paragraph 2 shall not be required where the authorisation has been granted in
accordance with Article 28a(b)." 
(16)               
Article 41 is replaced by the following:
"Article 41
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 Articles 2, 5, 8, 9, 10a, 10b, 10d, 10e,
11, 13, 14a, 15a, 15b, 17, 22, 23,30a, 34, 35, 37a or 37b."
(17)               
In Article 45, paragraph b is replaced by the
following:
"(b) amend Annexes III, IV, IVA, V, VI,
VIA, VIB, VII, VIIA, VIIB and X on the basis of information supply by Member
States."
(18)               
Annex I is replaced by the text set out in Annex
I to this Regulation.
(19)               
The text set out in Annex II is inserted as
Annex IVA. 
(20)               
The text set out in Annex III is inserted as
Annex VIA. 
(21)               
The text set out in Annex IV is inserted as
Annex VIB. 
(22)               
The text set out in Annex V is inserted as Annex
VIIA. 
(23)               
The text set out in Annex VI is inserted as
Annex VIIB. 
Article 2 
This Regulation shall enter into force on
the day following that 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
"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 31(1)
This Annex comprises all goods and
technology listed in Annex I to Regulation (EC) No 428/2009, as defined
therein, with the exception of those listed in Part A as well as with the
exception, until 15 April 2013, of those listed in Part C.
 Item from Annex I to Regulation (EC) No 428/2009 || Description 
 1. || "Information security" systems, equipment and components therefor for use in public telecommunication services, internet service providing or for the protection of these services, as follows: a.            Systems, equipment, application specific “electronic assemblies”, modules and integrated circuits for “information security”, as follows, and components therefor specially designed for “information security”: N.B.: For the control of Global Navigation Satellite Systems (GNSS) receiving equipment containing or employing decryption (i.e., GPS or GLONASS), see 7A005 of Annex I to Regulation (EC) No 428/2009. 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: 1.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 1.a.1.b.2. in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve); 
 2. || "Software" as follows, for use in public telecommunication services, internet service providing or for the protection of these services: a.            "Software" specially designed or modified for the "use" of equipment specified in 1.a.1 or "software" specified in 2.b.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;   
 3. || "Technology" according to the General Technology Note for the "use" of equipment specified in 1.a.1 or "software" specified in 2.a. or 2.b.1 of this list, , for use in public telecommunication services, internet service providing or for the protection of these services. 
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 
PART C
 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; c.            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. 
ANNEX
II
"ANNEX
IVA
Products referred to in articles 14a and
31(1) 
Natural gas and other gaseous hydrocarbons
 HS code || Description 
 2709 00 10 || Natural gas condensates 
 2711 11 00 || Natural Gas – in liquefied state 
 2711 21 00 || Natural Gas – in gaseous state 
 2711 12 || Propane 
 2711 13 || Butanes 
 2711 19 00 || Other 
 2711 29 00 || Other" 
ANNEX
III
"ANNEX
VIA
Key equipment and technology referred to
Articles 8, 10(1)(c) and 31(1)
 HS code || Description 
 7304    || Tubes, pipes and hollow profiles, seamless, of iron (other than cast iron) or steel 
 7305    || Other tubes and pipes (for example, welded, riveted or similarly closed), having circular cross-sections, the external diameter of which exceeds 406,4 mm, of iron or steel, with a chrome content of 1% or more and with a cold resistance that can go below -120°C 
 7306 || Other tubes, pipes and hollow profiles (for example, open seam or welded, riveted or similarly closed), of iron or steel 
 7309 00 || Reservoirs, tanks, vats and similar containers for any material (other than compressed or liquefied gas), of iron or steel, of a capacity exceeding 300 l, whether or not lined or heat-insulated, but not fitted with mechanical or thermal equipment 
 7310 || Tanks, casks, drums, cans, boxes and similar containers, for any material (other than compressed or liquefied gas), of iron or steel, of a capacity not exceeding 300 l, whether or not lined or heat-insulated, but not fitted with mechanical or thermal equipment 
 7311 00 || Containers for compressed or liquefied gas, of iron or steel 
 7613    || Aluminium containers for compressed or liquefied gas" 
ANNEX
IV
"ANNEX
VIB
Key equipment and technology referred to
in Articles 10a, 10b, 10c and 31(1)
 HS code || Description 
 8406 10 00 || Turbines for marine propulsion 
 8406 90 || Parts of turbines for marine propulsion 
 8407 21 || Outboard spark-ignition reciprocating or rotary internal combustion piston engines for marine propulsion 
 8408 10 || Marine propulsion engines 
 8409 91 00 || Parts suitable for use solely or principally with machines of subheadings 8407 21, 8707 29 or 8408 10 
 8411 81 || Other gas turbine of a power not exceeding 5000 kW 
 8411 82 || Other gas turbines of a power exceeding 5000 kW 
 8468      || Machinery and apparatus for soldering, brazing or welding whether or not capable of cutting, other than those of heading 8515; gas-operated surface tempering machines and appliances: 
 8483      || Transmission shafts (including cam shafts and crank shafts) and cranks; bearing housings and plain shaft bearings; gears and gearing; ball or roller screws; gear boxes and other speed changers, including torque converters; flywheels and pulleys, including pulley blocks; clutches and shaft couplings (including universal joints), designed for the propulsion of vessels at the maximum possible deadweight tonnage at scantling draught of 55 000 dwt or more 
 8487 10 || Ships' or boats' propellers and blades therefor 
 8515    || Electric (including electrically heated gas), laser or other light or photon beam, ultrasonic, electron beam, magnetic pulse or plasma arc soldering, brazing or welding machines and apparatus, whether or not capable of cutting; electric machines and apparatus for hot spraying of metals or cermets: 
 9014 10 00 || Direction finding compasses 
 9014 80 00      || Other navigational instruments and appliances 
 9014 90 00 || Parts and accessories of subheadings 9014 10 00 and 9014 80 00 
 9015      || Surveying (including photogram metrical surveying), hydro graphic, oceanographic, hydrological, meteorological or geophysical instruments and appliances, excluding compasses; rangefinders " 
   ||   
ANNEX
V
"ANNEX
VIIA 
Software
for integrating industrial processes referred to in Article 10d, 10e, 10f and
31(1)
1. Enterprise Resource Planning software. 
Explanatory note: Enterprise Resource Planning
software is software used for financial accounting, management accounting,
human resources, manufacturing, supply chain management, project management,
customer relationship management, data services, and access control." 
ANNEX
VI
"ANNEX
VIIB
Graphite
and raw or semi-finished metals referred to in Article 15a, 15b, 15c and 31(1)
 1. Graphite 
 HS code || Description 
 2504    || Natural graphite 
 3801 || Artificial graphite; colloidal or semi-colloidal graphite; preparations based on graphite or other carbon in the form of pastes, blocks, plates or other semi-manufactures 
 681510 || Non-electrical articles of graphite or other carbon, incl. carbon fibres 
 690310 || Retorts, crucibles, mufflers, nozzles, plugs, supports, cupels, tubes, pipes, sheaths, rods and other refractory ceramic goods (excl. refractory bricks, blocks, tiles and similar refractory ceramic constructional goods). Other than those of siliceous fossil meals or of similar siliceous earths, containing, by weight, more than 50% of graphite, or other carbon or of a mixture of these products 
 8545 11 00 || Electrodes of a kind used for furnaces 
 8545 90 90 10 || Nipples used for graphite electrodes of a kind used for electric furnaces, with an apparent density of 1,65 g/cm³ or more and an electrical resistance of 6.0 μΩ.m or less 
 2. Iron and Steel 
 HS code || Description 
 7201    || Pig iron and spiegeleisen in pigs, blocks or other primary forms 
 7202    || Ferro-alloys 
 7203 || Ferrous products obtained by direct reduction of iron ore and other spongy ferrous products, in lumps, pellets or similar forms; iron having a minimum purity by weight of 99,94 %, in lumps, pellets or similar forms 
 7204 || Ferrous waste and scrap; remelting scrap ingots of iron or steel 
 7205 || Granules and powders, of pig iron, spiegeleisen, iron or steel 
 7206 || Iron and non-alloy steel in ingots or other primary forms 
 7207    || Semi-finished products of iron or non-alloy steel 
 7208 || Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, hot-rolled, not clad, plated or coated 
 7209 || Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, cold-rolled (coldreduced), not clad, plated or coated 
 7210 || Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, clad, plated or coated 
 7211 || Flat-rolled products of iron or non-alloy steel, of a width of less than 600 mm, not clad, plated or coated 
 7212 || Flat-rolled products of iron or non-alloy steel, of a width of less than 600 mm, clad, plated or coated 
 7213    || Bars and rods, hot-rolled, in irregularly wound coils, of iron or non-alloy steel 
 7214 || Other bars and rods of iron or non-alloy steel, not further worked than forged, hot-rolled, hot-drawn or hot-extruded, but including those twisted after rolling 
 7215    || Other bars and rods of iron or non-alloy steel 
 7216    || Angles, shapes and sections of iron or non-alloy steel 
 7217 || Wire of iron or non-alloy steel 
 7218 || Stainless steel in ingots or other primary forms; semi-finished products of stainless steel 
 7219    || Flat-rolled products of stainless steel, of a width of 600 mm or more 
 7220    || Flat-rolled products of stainless steel, of a width of less than 600 mm 
 7221 00 || Bars and rods, hot-rolled, in irregularly wound coils, of stainless steel 
 7222    || Other bars and rods of stainless steel; angles, shapes and sections of stainless 
 7223 00 || Wire of stainless steel 
 7224 || Other alloy steel in ingots or other primary forms; semi-finished products of other alloy steel 
 7225    || Flat-rolled products of other alloy steel, of a width of 600 mm or more 
 7226 || Flat-rolled products of other alloy steel, of a width of less than 600 mm 
 7227 || Bars and rods, hot-rolled, in irregularly wound coils, of other alloy steel 
 7228 || Other bars and rods of other alloy steel; angles, shapes and sections, of other alloy steel; hollow drill bars and rods, of alloy or non-alloy steel 
 7229    || Wire of other alloy steel 
 7301 || Sheet piling of iron or steel, whether or not drilled, punched or made from assembled elements; welded angles, shapes and sections, of iron or steel 
 7303 00 || Tubes, pipes and hollow profiles, of cast iron 
 7307 || Tube or pipe fittings (for example, couplings, elbows, sleeves), of iron or steel 
 7312 || Stranded wire, ropes, cables, plaited bands, slings and the like, of iron or steel, not electrically insulated 
   ||   
   ||   
   ||   
 3. Copper and articles thereof 
 HS code || Description 
 7401 00 00 || Copper mattes; cement copper (precipitated copper) 
 7402 00 00 || Unrefined copper; copper anodes for electrolytic refining 
 7403    || Refined copper and copper alloys, unwrought 
 7404 00 || Copper waste and scrap 
 7405 00 00 || Master alloys of copper 
 7406    || Copper powders and flakes 
 7407    || Copper bars, rods and profiles 
 7408    || Copper wire 
 7409    || Copper plates, sheets and strip, of a thickness exceeding 0,15 mm 
 7410 || Copper foil (whether or not printed or backed with paper, paperboard, plastics or similar backing materials) of a thickness (excluding any backing) not exceeding 0,15 mm 
 7411    || Copper tubes and pipes 
 7412 || Copper tube or pipe fittings (for example, couplings, elbows, sleeves) 
 7413 00 00 || Stranded wire, cables, plaited bands and the like, of copper, not electrically insulated 
 4. Nickel and articles thereof 
 HS code || Description 
 7501 || Nickel mattes, nickel oxide sinters and other intermediate products of nickel metallurgy 
 7502    || Unwrought nickel 
 7503 00 || Nickel waste and scrap 
 7504 00 00 || Nickel powders and flakes 
 7505    || Nickel bars, rods, profiles and wire 
 7506 || Nickel plates, sheets, strip and foil 
 7507 || Nickel tubes, pipes and tube or pipe fittings (for example, couplings, elbows, sleeves) 
 5. Aluminium 
 HS code || Description 
 7601 || Unwrought aluminium 
 7602 || Aluminium waste and scrap 
 7603 || Aluminium powders and flakes 
 7604 || Aluminium bars, rods and profiles 
 7605 || Aluminium wire 
 7606 || Aluminium plates, sheets and strip, of a thickness exceeding 0,2 mm 
 7607 || Aluminium foil (whether or not printed or backed with paper, paperboard, plastics or similar backing materials) of a thickness (excluding any backing) not exceeding 0,2 mm 
 7608 || Aluminium tubes and pipes 
 7609 00 00 || Aluminium tube or pipe fittings (for example, couplings, elbows, sleeves) 
 7614 || Stranded wire, cables, plaited bands and the like, of aluminium, not electrically insulated 
            
 6. Lead 
 HS code || Description 
 7801    || Unwrought lead 
 7802 00 00 || Lead waste and scrap 
 7804    || Lead plates, sheets, strip and foil; lead powders and flakes 
   ||   
 7. Zinc 
 HS code || Description 
 7901    || Unwrought zinc 
 7902 00 00 || Zinc waste and scrap 
 7903    || Zinc dust, powders and flakes 
 7904 00 00 || Zinc bars, rods, profiles and wire 
 7905 00 00 || Zinc plates, sheets, strip and foil 
   ||   
            
 8. Tin 
 HS code || Description 
 8001    || Unwrought tin 
 8002 00 00 || Tin waste and scrap 
 8003 00 00 || Tin bars, rods, profiles and wire 
   ||   
 9. Other base metals, cermets, articles thereof 
 HS code || Description 
 8101    || Tungsten (wolfram) and articles thereof, including waste and scrap 
 8102    || Molybdenum and articles thereof, including waste and scrap 
 8103 || Tantalum and articles thereof, including waste and scrap 
 8104    || Magnesium and articles thereof, including waste and scrap 
 8105 || Cobalt mattes and other intermediate products of cobalt metallurgy; cobalt and articles thereof, including waste and scrap 
 8106 00 || Bismuth and articles thereof, including waste and scrap 
 8107    || Cadmium and articles thereof, including waste and scrap 
 8108    || Titanium and articles thereof, including waste and scrap 
 8109 || Zirconium and articles thereof, including waste and scrap 
 8110 || Antimony and articles thereof, including waste and scrap 
 8111 00 || Manganese and articles thereof, including waste and scrap 
 8112 || Beryllium, chromium, germanium, vanadium, gallium, hafnium, indium, niobium (columbium), rhenium and thallium, and articles of these metals, including waste and scrap 
 8113 00 || Cermets and articles thereof, including waste and scrap" 
[1]               OJ L 195, 27.7.2010. p. 39.
[2]               OJ L88, 24.3.2012, p. 1.
[3]               OJ L 282, 16.10.2012, p. 58.
[4]               OJ L 134, 29.5.2009, p. 1.