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Document 02014R0833-20220722

Consolidated text: Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

ELI: http://data.europa.eu/eli/reg/2014/833/2022-07-22

02014R0833 — EN — 22.07.2022 — 010.002


This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

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COUNCIL REGULATION (EU) No 833/2014

of 31 July 2014

concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

(OJ L 229 31.7.2014, p. 1)

Amended by:

 

 

Official Journal

  No

page

date

►M1

COUNCIL REGULATION (EU) No 960/2014 of 8 September 2014

  L 271

3

12.9.2014

►M2

COUNCIL REGULATION (EU) No 1290/2014 of 4 December 2014

  L 349

20

5.12.2014

►M3

COUNCIL REGULATION (EU) 2015/1797 of 7 October 2015

  L 263

10

8.10.2015

►M4

COUNCIL REGULATION (EU) 2017/2212 of 30 November 2017

  L 316

15

1.12.2017

 M5

COMMISSION IMPLEMENTING REGULATION (EU) 2019/1163 of 5 July 2019

  L 182

33

8.7.2019

►M6

COUNCIL REGULATION (EU) 2022/262 of 23 February 2022

  L 42I

74

23.2.2022

►M7

COUNCIL REGULATION (EU) 2022/328 of 25 February 2022

  L 49

1

25.2.2022

►M8

COUNCIL REGULATION (EU) 2022/334 of 28 February 2022

  L 57

1

28.2.2022

►M9

COUNCIL REGULATION (EU) 2022/345 of 1 March 2022

  L 63

1

2.3.2022

►M10

COUNCIL REGULATION (EU) 2022/350 of 1 March 2022

  L 65

1

2.3.2022

►M11

COUNCIL REGULATION (EU) 2022/394 of 9 March 2022

  L 81

1

9.3.2022

►M12

COUNCIL REGULATION (EU) 2022/428 of 15 March 2022

  L 87I

13

15.3.2022

►M13

COUNCIL REGULATION (EU) 2022/576 of 8 April 2022

  L 111

1

8.4.2022

►M14

COMMISSION IMPLEMENTING REGULATION (EU) 2022/595 of 11 April 2022

  L 114

60

12.4.2022

►M15

COUNCIL REGULATION (EU) 2022/879 of 3 June 2022

  L 153

53

3.6.2022

►M16

COUNCIL REGULATION (EU) 2022/1269 of 21 July 2022

  L 193

1

21.7.2022


Corrected by:

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Corrigendum, OJ L 246, 21.8.2014, p.  59 (833/2014)

 C2

Corrigendum, OJ L 114, 12.4.2022, p.  214 (No 833/2014)

 C3

Corrigendum, OJ L 114, 12.4.2022, p.  212 (2022/328)

 C4

Corrigendum, OJ L 119, 21.4.2022, p.  114 (2022/394)

►C5

Corrigendum, OJ L 190, 19.7.2022, p.  191 (2022/576)

 C6

Corrigendum, OJ L 202, 2.8.2022, p.  58 (2022/576)




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COUNCIL REGULATION (EU) No 833/2014

of 31 July 2014

concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine



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Article 1

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

(a) 

‘dual-use goods and technology’ means the items listed in Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council ( 1 );

(b) 

‘competent authorities’ means the competent authorities of the Member States as identified on the websites listed in Annex I;

(c) 

‘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;

(d) 

‘brokering services’ means:

(i) 

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

(ii) 

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

(e) 

‘investment services’ means the following services and activities:

(i) 

reception and transmission of orders in relation to one or more financial instruments;

(ii) 

execution of orders on behalf of clients;

(iii) 

dealing on own account;

(iv) 

portfolio management;

(v) 

investment advice;

(vi) 

underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;

(vii) 

placing of financial instruments without a firm commitment basis;

(viii) 

any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

(f) 

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‘transferable securities’ means the following classes of securities, including in the form of crypto-assets, which are negotiable on the capital market, with the exception of instruments of payment:

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(i) 

shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares,

(ii) 

bonds or other forms of securitised debt, including depositary receipts in respect of such securities,

(iii) 

any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities;

(g) 

‘money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment;

(h) 

‘credit institution’ means an undertaking, the business of which is to take deposits or other repayable funds from the public and to grant credit for its own account;

(i) 

‘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;

(j) 

‘central securities depository’ means a legal person as defined in point 1 of Article 2(1) of Regulation (EU) No 909/2014 of the European Parliament and of the Council ( 2 );

(k) 

‘deposit’ means a credit balance which results from funds left in an account or from temporary situations deriving from normal banking transactions and which a credit institution is required to repay under the legal and contractual conditions applicable, including a fixed-term deposit and a savings deposit, but excluding a credit balance where:

(i) 

its existence can only be proven by a financial instrument as defined in Article 4(1)(15) of Directive 2014/65/EU of the European Parliament and of the Council ( 3 ), unless it is a savings product which is evidenced by a certificate of deposit made out to a named person and which exists in a Member State on 2 July 2014;

(ii) 

its principal is not repayable at par;

(iii) 

its principal is only repayable at par under a particular guarantee or agreement provided by the credit institution or a third party;

(l) 

‘investor citizenship schemes’ (or ‘golden passports’) means the procedures put in place by a Member State, which allow third-country nationals to acquire its nationality in exchange for pre-determined payments and investments;

(m) 

‘investor residence schemes’ (or ‘golden visas’) means the procedures put in place by a Member State, which allow third-country nationals to obtain a residence permit in a Member State in exchange for pre-determined payments and investments;

(n) 

‘trading venue’, as defined in Article 4(1)(24) of Directive 2014/65/EU, means a regulated market, a multilateral trading facility (MTF) or an organised trading facility (OTF);

(o) 

‘financing or financial assistance’ means any action, irrespective of the particular means chosen, whereby the person, entity or body concerned, conditionally or unconditionally, disburses or commits to disburse its own funds or economic resources, including but not limited to grants, loans, guarantees, suretyships, bonds, letters of credit, supplier credits, buyer credits, import or export advances and all types of insurance and reinsurance, including export credit insurance; payment as well as terms and conditions of payment of the agreed price for a good or a service, made in line with normal business practice, do not constitute financing or financial assistance;

(p) 

‘partner country’ means a country applying a set of export control measures substantially equivalent to those set out in this Regulation, as identified in Annex VIII;

(q) 

‘consumer communication devices’ means devices used by private individuals such as personal computers and peripherals (including hard drives and printers), mobile telephones, smart televisions, memory devices (USB drives), and consumer software for all of these items;

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(r) 

‘Russian air carrier’ means an air transport undertaking holding a valid operating licence or equivalent issued by the competent authorities of the Russian Federation;

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(s) 

‘credit rating’ means an opinion regarding the creditworthiness of an entity, a debt or financial obligation, debt security, preferred share or other financial instrument, or of an issuer of such a debt or financial obligation, debt security, preferred share or other financial instrument, issued using an established and defined ranking system of rating categories;

(t) 

‘credit rating activities’ means data and information analysis and the evaluation, approval, issuing and review of credit ratings;

(u) 

‘energy sector’ means a sector covering the following activities with the exception of civil nuclear related activities:

(i) 

the exploration, production, distribution within Russia or mining of crude oil, natural gas or solid fossil fuels, the refining of fuels, the liquefaction of natural gas or regasification;

(ii) 

the manufacture or distribution within Russia of solid fossil fuel products, refined petroleum products or gas; or

(iii) 

the construction of facilities or installation of equipment for, or the provision of services, equipment or technology for, activities related to power generation or electricity production;

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(v) 

‘public procurement Directives’ means Directives 2014/23/EU ( 4 ), 2014/24/EU ( 5 ), 2014/25/EU ( 6 ) and 2009/81/EC ( 7 ) of the European Parliament and of the Council;

(w) 

‘road transport undertaking’ means any natural or legal person, entity or body engaged with a commercial purpose in the transport of freight by means of motor vehicles or combinations of vehicles.

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Article 2

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, dual-use goods and technology, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

3.  

Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibitions in paragraphs 1 and 2 of this Article shall not apply to the sale, supply, transfer or export of dual-use goods and technology or to the related provision of technical and financial assistance, for non-military use and for a non-military end user, intended for:

(a) 

humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment or as a response to natural disasters;

(b) 

medical or pharmaceutical purposes;

(c) 

temporary export of items for use by news media;

(d) 

software updates;

(e) 

use as consumer communication devices; or

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(g) 

personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

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With the exception of point (g) of the first subparagraph, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

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4.  

By way of derogation from paragraphs 1 and 2 of this Article, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the sale, supply, transfer or export of dual-use goods and technology or the provision of related technical or financial assistance, for non-military use and for a non-military end user, after having determined that such goods or technology or the related technical or financial assistance are:

(a) 

intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

(b) 

intended for intergovernmental cooperation in space programmes;

(c) 

intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;

(d) 

intended for maritime safety;

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(e) 

intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;

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(f) 

intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country;

(g) 

intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;

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(h) 

intended for ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government.

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5.  
By way of derogation from paragraphs 1 and 2 of this Article, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the sale, supply, transfer or export of dual-use goods and technology or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are due under contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before 1 May 2022.
6.  
All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.
7.  

When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:

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(i) 

the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use, unless the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is allowed under paragraph 1(a) of Article 2b;

(ii) 

the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry, unless such sale, supply, transfer or export or the provision of related technical or financial assistance is allowed under paragraph 4(b); or

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(iii) 

the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for the energy sector, unless such a sale, supply, transfer or export or the related technical or financial assistance is allowed under the exceptions referred to in paragraphs 3 to 6 of Article 3.

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8.  
The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

Article 2a

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology which might contribute to Russia’s military and technological enhancement, or the development of the defence and security sector, as listed in Annex VII, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

3.  

The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for:

(a) 

humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;

(b) 

medical or pharmaceutical purposes;

(c) 

temporary export of items for use by news media;

(d) 

software updates;

(e) 

use as consumer communication devices; or

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(g) 

personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

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With the exception of point (g) of the first subparagraph, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

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4.  

By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are:

(a) 

intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

(b) 

intended for intergovernmental cooperation in space programmes;

(c) 

intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;

(d) 

intended for maritime safety;

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(e) 

intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;

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(f) 

intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country; or

(g) 

intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions; or

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(h) 

intended for ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government.

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5.  
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are due under contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before 1 May 2022.
6.  
All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.
7.  

When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:

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(i) 

the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use, unless the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is allowed under paragraph 1 of Article 2b;

(ii) 

the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry, unless such sale, supply, transfer or export or the provision of related technical or financial assistance is allowed under paragraph 4(b); or

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(iii) 

the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for the energy sector, unless such a sale, supply, transfer or export or the related technical or financial assistance is allowed under the exceptions referred to in paragraphs 3 to 6 of Article 3.

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8.  
The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

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Article 2b

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1.  

With regard to the natural or legal persons, entities or bodies listed in Annex IV, by way of derogation from Article 2(1) and (2) and Article 2a(1) and (2), and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may only authorise the sale, supply, transfer or export of dual use goods and technology, and goods and technology listed in Annex VII, or the provision of related technical or financial assistance after having determined that:

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(a) 

such goods or technology or the related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment; or

(b) 

such goods or technology or the related technical or financial assistance are due under contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before 1 May 2022.

2.  
All authorisations required under this Article shall be granted by the competent authorities of the Member State in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union.
3.  
The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraph 1 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.

Article 2c

1.  
The notification to the competent authority referred to in Articles 2(3) and 2a(3) shall be submitted by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX.
2.  
All authorisations referred to in Articles 2, 2a and 2b shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX.

Article 2d

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1.  
The competent authorities shall exchange information on authorisations granted and denials issued pursuant to Articles 2, 2a and 2b with the other Member States and the Commission. The exchange of information shall be carried out using the electronic system provided pursuant to Article 23(6) of Regulation (EU) 2021/821.

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2.  
Information received as a result of the application of this Article shall be used only for the purpose for which it was requested, including the exchanges mentioned in paragraph 4.

Member States and the Commission shall ensure the protection of confidential information acquired in application of this Article in accordance with Union law and the respective national law.

Member States and the Commission shall ensure that classified information provided or exchanged under this Article is not downgraded or declassified without the prior written consent of the originator.

3.  
Before a Member State grants an authorisation in accordance with Articles 2, 2a and 2b 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, it shall first consult the Member State or Member 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.

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3a.  
When a Member State grants an authorisation in accordance with Articles 2(4)(d), 2a(4)(d) and 3f(4) for the sale, supply, transfer or export of the goods and technology intended for maritime safety, it shall inform the other Member States and the Commission within two weeks of the authorisation.

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4.  
The Commission, in consultation with the Member States shall, where appropriate and on the basis of reciprocity, exchange information with partner countries, with a view to supporting the effectiveness of export control measures under this Regulation and the consistent application of export control measures applied by partner countries.

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Article 2e

1.  
It shall be prohibited to provide public financing or financial assistance for trade with, or investment in, Russia.
2.  

The prohibition in paragraph 1 shall not apply to:

(a) 

binding financing or financial assistance commitments established prior to 26 February 2022;

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(b) 

the provision of public financing or financial assistance up to the total value of 10 000 000  EUR per project benefiting small and medium-sized enterprises established in the Union; or

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(c) 

the provision of public financing or financial assistance for trade in food, and for agricultural, medical or humanitarian purposes.

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3.  
It shall be prohibited to invest, participate or otherwise contribute to projects co-financed by the Russian Direct Investment Fund.
4.  
By way of derogation from paragraph 3, the competent authorities may authorise, under such conditions as they deem appropriate, an investment participation in, or contribution to, projects co-financed by the Russian Direct Investment Fund, after having determined that such an investment participation or contribution is due under contracts concluded before 2 March 2022 or ancillary contracts necessary for the execution of such contracts.

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Article 2f

1.  
It shall be prohibited for operators to broadcast or to enable, facilitate or otherwise contribute to broadcast, any content by the legal persons, entities or bodies listed in Annex XV, including through transmission or distribution by any means such as cable, satellite, IP-TV, internet service providers, internet video-sharing platforms or applications, whether new or pre-installed.
2.  
Any broadcasting licence or authorisation, transmission and distribution arrangement with the legal persons, entities or bodies listed in Annex XV shall be suspended.

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3.  
It shall be prohibited to advertise products or services in any content produced or broadcast by the legal persons, entities or bodies listed in Annex XV, including through transmission or distribution by any of the means referred to in paragraph 1.

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Article 3

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods or technology, as listed in Annex II, whether or not originating in the Union, to any natural or legal person, entity or body in Russia, including its Exclusive Economic Zone and Continental Shelf, or for use in Russia, including its Exclusive Economic Zone and Continental Shelf.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

3.  

The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of goods or technology, or to the provision of technical or financial assistance, necessary for:

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(a) 

the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 3m or 3n, from or through Russia into the Union; or

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(b) 

the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.

4.  
The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 17 September 2022 of an obligation arising from a contract concluded before 16 March 2022, or ancillary contracts necessary for the execution of such a contract, provided that the competent authority has been informed at least five working days in advance.
5.  
The prohibitions in paragraph 2 shall not apply to the provision of insurance or reinsurance to any legal person, entity or body that is incorporated or constituted under the law of a Member State with regard to its activities outside the energy sector in Russia.
6.  

By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export and the provision of technical or financial assistance, after having determined that:

(a) 

it is necessary for ensuring critical energy supply within the Union; or

(b) 

it is intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State.

7.  
The Member State or Member States concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 6 within two weeks of the authorisation.

Article 3a

1.  

It shall be prohibited to:

(a) 

acquire any new or extend any existing participation in any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia;

(b) 

grant or be part of any arrangement to grant any new loan or credit or otherwise provide financing, including equity capital, to any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia, or for the documented purpose of financing such a legal person, entity or body;

(c) 

create any new joint venture with any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia;

(d) 

provide investment services directly related to the activities referred to in points (a), (b) and (c).

2.  

By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, any activity referred to in paragraph 1 after having determined that:

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(a) 

it is necessary for ensuring critical energy supply within the Union, as well as the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 3m or 3n, from or through Russia into the Union; or

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(b) 

it exclusively concerns a legal person, entity or body operating in the energy sector in Russia owned by a legal person, entity or body which is incorporated or constituted under the law of a Member State.

3.  
The Member State or Member States concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 2 within two weeks of the authorisation.

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Article 3b

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1.  
It shall be prohibited to sell, supply, transfer, or export, directly or indirectly, goods and technology suited for use in oil refining and liquefaction of natural gas, as listed in Annex X, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

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2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any person, entity or body in Russia or for use in Russia.

3.  
The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 27 May 2022 of contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such contracts.
4.  
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods and technology listed in Annex X or the provision of related technical or financial assistance, after having determined that such goods or technology or the provision of related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.

In duly justified cases of emergency, the sale, supply, transfer or export may proceed without prior authorisation, provided that the exporter notifies the competent authority within five working days after the sale, supply, transfer or export has taken place, providing detail about the relevant justification for the sale, supply, transfer or export without prior authorisation.

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5.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within two weeks of the authorisation.

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Article 3c

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1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology suited for use in aviation or the space industry, as listed in Annex XI, and jet fuel and fuel additives as listed in Annex XX, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

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2.  
It shall be prohibited to provide insurance and reinsurance, directly or indirectly, in relation to goods and technology listed in Annex XI to any person, entity or body in Russia or for use in Russia.
3.  
It shall be prohibited to provide any one or any combination of the following activities: overhaul, repair, inspection, replacement, modification or defect rectification of an aircraft or component, with the exception of pre-flight inspection, in relation to the goods and technology listed in Annex XI, directly or indirectly, to any natural or legal person, entity or body in Russia or for use in Russia.
4.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

5.  
With regard to the goods listed in Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution until 28 March 2022 of contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such contracts.

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6.  

By way of derogation from paragraphs 1 and 4, the national competent authorities may authorise, under such conditions as they deem appropriate, the execution of an aircraft financial lease concluded before 26 February 2022 after having determined that:

(a) 

it is strictly necessary to ensure lease re-payments to a legal person, entity or body incorporated or constituted under the law of a Member State which does not fall under any of the restrictive measures provided for in this Regulation; and

(b) 

no economic resources will be made available to the Russian counterpart, with the exception of the transfer of ownership of the aircraft after full reimbursement of the financial lease.

7.  
The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under this Article within two weeks of the authorisation.
8.  
The prohibition in paragraph 1 shall be without prejudice to Articles 2(4)(b) and 2a(4)(b).

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9.  
The prohibition in paragraph 4 point (a) shall not apply to the exchange of information aimed at establishing technical standards in the framework of the International Civil Aviation Organization in relation to goods and technology referred to in paragraph 1.

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Article 3d

1.  
It shall be prohibited for any aircraft operated by Russian air carriers, including as a marketing carrier in code-sharing or blocked-space arrangements, or for any Russian registered aircraft, or for any non-Russian-registered aircraft which is owned or chartered, or otherwise controlled by any Russian natural or legal person, entity or body, to land in, take off from or overfly the territory of the Union.
2.  
Paragraph 1 shall not apply in the case of an emergency landing or an emergency overflight.
3.  
By way of derogation from paragraph 1, the competent authorities may authorise an aircraft to land in, take off from, or overfly, the territory of the Union if the competent authorities have determined that such landing, take-off or overflight is required for humanitarian purposes or for any other purpose consistent with the objectives of this Regulation.
4.  
The Member State or Member States concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 3 within two weeks of the authorisation.

Article 3e

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1.  
The Network Manager for air traffic management network functions of the single European sky shall support the Commission and the Member States in ensuring the implementation of, and compliance with, Article 3d. The Network Manager shall, in particular, reject all flight plans filed by aircraft operators indicating an intent to carry out activities over the territory of the Union that constitute a violation of this Regulation, such that the pilot is not permitted to fly.

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2.  
The Network Manager shall regularly supply to the Commission and the Member States, based on the analysis of flight plans, reports on the implementation of Article 3d.

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Article 3ea

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1.  
It shall be prohibited to provide access, after 16 April 2022, to ports and, after 29 July 2022, to locks in the territory of the Union, to any vessel registered under the flag of Russia, with the exception of access to locks for the purpose of leaving the territory of the Union.

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2.  
Paragraph 1 shall apply to vessels that have changed their Russian flag or their registration, to the flag or register of any other State after 24 February 2022.
3.  

For the purposes of this Article, a vessel means:

(a) 

a ship falling within the scope of the relevant international conventions;

(b) 

a yacht, of 15 metres in length or more, which does not carry cargo and carrying no more than 12 passengers; or

(c) 

recreational craft or personal watercraft as defined in Directive 2013/53/EU of the European Parliament and of the Council ( 8 ).

4.  
Paragraph 1 shall not apply in the case of a vessel in need of assistance seeking a place of refuge, of an emergency port call for reasons of maritime safety, or for saving life at sea.
5.  
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By way of derogation from paragraph 1, the competent authorities may authorise a vessel to access a port or lock, under such conditions as they deem appropriate, after having determined that the access is necessary for:

 ◄

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(a) 

unless prohibited under Article 3m or 3n, the purchase, import or transport into the Union of natural gas and oil, including refined petroleum products, titanium, aluminium, copper, nickel, palladium and iron ore, as well as certain chemical and iron products as listed in Annex XXIV;

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(b) 

the purchase, import or transport of pharmaceutical, medical, agricultural and food products, including wheat and fertilisers whose import, purchase and transport is allowed under this Regulation;

(c) 

humanitarian purposes;

(d) 

transport of nuclear fuel and other goods strictly necessary for the functioning of civil nuclear capabilities; or

(e) 

the purchase, import or transport into the Union of coal and other solid fossil fuels, as listed in Annex XXII until 10 August 2022.

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5a.  

By way of derogation from paragraph 2, the competent authorities may authorise vessels that have changed their Russian flag or their registration, to the flag or register of any other State prior to 16 April 2022, to access a port or a lock, under such conditions as they deem appropriate, after having determined that:

(a) 

a Russian flag or registration was required by contract; and

(b) 

the access is necessary for the unloading of goods strictly necessary for the completion of renewable energy projects in the Union, provided that the import of such goods is not otherwise prohibited under this Regulation.

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6.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 5 and 5a within two weeks of the authorisation.

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Article 3f

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, maritime navigation goods and technology, as listed in Annex XVI, whether or not originating in the Union, to any natural or legal person, entity or body in Russia, for use in Russia, or for the placing on board of a Russian-flagged vessel.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

3.  
The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters.
4.  
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are intended for maritime safety.

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5.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within two weeks of the authorisation.

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Article 3g

1.  

It shall be prohibited:

(a) 

to import, directly or indirectly, iron and steel products as listed in Annex XVII into the Union if they:

(i) 

originate in Russia; or

(ii) 

have been exported from Russia;

(b) 

to purchase, directly or indirectly, iron and steel products as listed in Annex XVII which are located or which originated in Russia;

(c) 

to transport iron and steel products as listed in Annex XVII if they originated in Russia or are being exported from Russia to any other country;

(d) 

to provide, directly or indirectly, technical assistance, brokering services, financing or financial assistance, including financial derivatives, as well as insurance and re-insurance, related to the prohibitions in points (a), (b) and (c).

2.  
The prohibitions in paragraph 1 shall not apply to the execution until 17 June 2022 of contracts concluded before 16 March 2022, or ancillary contracts necessary for the execution of such contracts.

Article 3h

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, luxury goods as listed in Annex XVIII, to any natural or legal person, entity or body in Russia or for use in Russia.
2.  
The prohibition referred to in paragraph 1 shall apply to luxury goods listed in Annex XVIII insofar as their value exceeds EUR 300 per item unless otherwise specified in the Annex.
3.  
The prohibition referred to in paragraph 1 shall not apply to goods which are necessary for the official purposes of diplomatic or consular missions of Member States or partner countries in Russia or of international organisations enjoying immunities in accordance with international law, or to the personal effects of their staff.

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3a.  
The prohibition in paragraph 1 shall not apply to goods falling under CN 7113 00 00 and CN 7114 00 00 as listed in Annex XVIII for personal use of natural persons travelling from the European Union or members of their immediate families travelling with them, owned by those individuals and not intended for sale.

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4.  
By way of derogation from paragraph 1, the competent authorities may authorise the transfer or export to Russia of cultural goods which are on loan in the context of formal cultural cooperation with Russia.
5.  
The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under paragraph 4 within two weeks of the authorisation.

Article 3i

1.  
It shall be prohibited to purchase, import, or transfer, directly or indirectly, goods which generate significant revenues for Russia thereby enabling its actions destabilising the situation in Ukraine, as listed in Annex XXI into the Union if they originate in Russia or are exported from Russia.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly in relation to the prohibition in paragraph 1;

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any purchase, import or transfer of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly in relation to the prohibition in paragraph 1.

3.  
The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 10 July 2022 of contracts concluded before 9 April 2022, or ancillary contracts necessary for the execution of such contracts.
4.  

As of 10 July 2022, the prohibitions in paragraphs 1 and 2 shall not apply to the import, purchase or transport, or the related technical or financial assistance, necessary for the import into the Union, of:

(a) 

837 570 metric tonnes of potassium chloride of CN 3104 20 between 10 July of a given year and 9 July of the following year;

(b) 

1 577 807 metric tonnes combined of the other products listed in Annex XXI under CN 3105 20 , 3105 60 and 3105 90 between 10 July of a given year and 9 July of the following year.

5.  
The import volume quotas set out in paragraph 4 shall be managed by the Commission and the Member States in accordance with the management system for tariff-rate quotas provided for in Articles 49 to 54 of Commission Implementing Regulation (EU) 2015/2447 ( 9 ).

Article 3j

1.  
It shall be prohibited to purchase, import, or transfer, directly or indirectly, coal and other solid fossil fuels, as listed in Annex XXII into the Union if they originate in Russia or are exported from Russia.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly in relation to the prohibition in paragraph 1.

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any purchase, import or transfer of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly in relation to the prohibition in paragraph 1.

3.  
The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 10 August 2022 of contracts concluded before 9 April 2022, or ancillary contracts necessary for the execution of such contracts.

Article 3k

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods which could contribute in particular to the enhancement of Russian industrial capacities as listed in Annex XXIII, to any natural or legal person, entity or body in Russia or for use in Russia.
2.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;

(b) 

provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

3.  
The prohibitions in paragraph 1 and 2 shall not apply to the execution until 10 July 2022 of contracts concluded before 9 April 2022 or ancillary contracts necessary for the execution of such contracts.
4.  
The prohibitions referred to in paragraph 1 and 2 shall not apply to goods which are necessary for the official purposes of diplomatic or consular missions of Member States or partner countries in Russia or of international organisations enjoying immunities in accordance with international law, or to the personal effects of their staff.

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5.  

The competent authorities of the Member States may authorise, under the conditions they deem appropriate, the sale, supply, transfer or export of the goods and technology listed in Annex XXIII, or the provision of related technical or financial assistance, after having determined that such goods or technology or the provision of related technical or financial assistance are necessary for:

(a) 

medical or pharmaceutical purposes, or for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or

(b) 

the exclusive use and under the full control of the authorising Member State and in order to fulfil its maintenance obligations in areas which are under a long-term lease agreement between that Member State and the Russian Federation.

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6.  
When deciding on requests for authorisations for medical or pharmaceutical purposes in accordance with paragraph 5, the competent authorities shall not grant an authorisation for exports to any natural or legal person, entity or body in Russia or for use in Russia, if they have reasonable grounds to believe that the goods might have a military end-use.
7.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 5 within two weeks of the authorisation.

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Article 3l

1.  
It shall be prohibited for any road transport undertaking established in Russia to transport goods by road within the territory of the Union, including in transit.
2.  

The prohibition in paragraph 1 shall not apply to road transport undertakings transporting:

(a) 

mail as a universal service;

(b) 

goods in transit though the Union between the Kaliningrad Oblast and Russia, provided that the transport of such goods is not otherwise prohibited under this Regulation.

3.  

The prohibition in paragraph 1 shall not apply until 16 April 2022 to the transport of goods that started before 9 April 2022, provided that the vehicle of the road transport undertaking:

(a) 

was already in the territory of the Union on 9 April 2022, or

(b) 

needs to transit through the Union in order to return to Russia.

4.  

By way of derogation from paragraph 1, the competent authorities of a Member State may authorise the transport of goods by a road transport undertaking established in Russia if the competent authorities have determined that such transport is necessary for:

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(a) 

unless prohibited under Article 3m or 3n, the purchase, import or transport into the Union of natural gas and oil, including refined petroleum products, as well as titanium, aluminium, copper, nickel, palladium and iron ore;

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(b) 

the purchase, import or transport of pharmaceutical, medical, agricultural and food products, including wheat and fertilisers whose import, purchase and transport is allowed under this Regulation;

(c) 

humanitarian purposes;

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(d) 

the functioning of diplomatic and consular representations in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law; or

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(e) 

the transfer or export to Russia of cultural goods which are on loan in the context of formal cultural cooperation with Russia.

5.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within two weeks of the authorisation.

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Article 3m

1.  
It shall be prohibited to purchase, import or transfer, directly or indirectly, crude oil or petroleum products, as listed in Annex XXV, if they originate in Russia or are exported from Russia.
2.  
It shall be prohibited to provide, directly or indirectly, technical assistance, brokering services, financing or financial assistance or any other services related to the prohibition in paragraph 1.
3.  

The prohibitions in paragraphs 1 and 2 shall not apply:

(a) 

until 5 December 2022, to one-off transactions for near-term delivery, concluded and executed before that date, or to the execution of contracts for the purchase, import or transfer of goods falling under CN 2709 00 concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts, provided that those contracts have been notified by the relevant Member States to the Commission by 24 June 2022 and that the one-off transactions for near-term delivery are notified by the relevant Member States to the Commission within 10 days of their completion;

(b) 

until 5 February 2023, to one-off transactions for near-term delivery, concluded and executed before this date, or to the execution of contracts for the purchase, import or transfer of goods falling under CN 2710 concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts, provided that those contracts have been notified by the relevant Member States to the Commission by 24 June 2022 and that the one-off transactions for near-term delivery are notified by the relevant Member States to the Commission within 10 days of their completion;

(c) 

to the purchase, import or transfer of seaborne crude oil and of petroleum products listed in Annex XXV where those goods originate in a third country and are only being loaded in, departing from or transiting through Russia, provided that both the origin and the owner of those goods are non-Russian;

(d) 

to crude oil falling under CN 2709 00 which is delivered by pipeline from Russia into Member States, until the Council decides that the prohibitions in paragraphs 1 and 2 shall apply.

4  
If the supply of crude oil by pipeline from Russia to a landlocked Member State is interrupted for reasons outside the control of that Member State, seaborne crude oil from Russia falling under CN 2709 00 may be imported into that Member State, by way of an exceptional temporary derogation from paragraphs 1 and 2, until the supply is resumed or until the Council decision referred to in paragraph 3(d) applies with regard to that Member State, whichever is the earliest.
5.  
As of 5 December 2022, and by way of derogation from paragraphs 1 and 2, the competent authorities of Bulgaria may authorise the execution until 31 December 2024 of contracts concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts, for the purchase, import or transfer of seaborne crude oil and of petroleum products listed in Annex XXV originating in Russia or exported from Russia.
6.  

As of 5 February 2023, and by way of derogation from paragraphs 1 and 2, the competent authorities of Croatia may authorise until 31 December 2023 the purchase, import or transfer of vacuum gas oil falling under CN 2710 19 71 originating in Russia or exported from Russia, provided that the following conditions are fulfilled:

(a) 

no alternative supply of vacuum gas oil is available; and

(b) 

Croatia has notified the Commission, at least two weeks prior to the authorisation, of the grounds on which it considers that a specific authorisation should be granted, and the Commission has not objected within that period.

7.  
The goods imported following a derogation granted by a competent authority under paragraph 5 or 6 shall not be sold on to buyers located in another Member State or in a third country.
8.  
The transfer or transport of crude oil delivered by pipeline into Member States as referred to in paragraph 3(d) to other Member States or to third countries, or its sale to purchasers in other Member States or in third countries, shall be prohibited.

All consignments and containers of such crude oil shall be clearly marked as 'REBCO: export prohibited'.

As from 5 February 2023, where crude oil has been delivered by pipeline into a Member State as referred to in paragraph 3(d), it shall be prohibited to transfer or transport petroleum products falling under CN 2710 which are obtained from such crude oil to other Member States or to third countries, or to sell such petroleum products to purchasers in other Member States or in third countries.

By way of temporary derogation, the prohibitions referred to in the third subparagraph shall apply as from 5 December 2023 to the import and transfer into Czechia, and to the sale to purchasers in Czechia, of petroleum products obtained from crude oil which has been delivered by pipeline into another Member State as referred to in paragraph 3(d). If alternative supplies for such petroleum products are made available to Czechia before that date, the Council shall terminate that temporary derogation. During the period until 5 December 2023, the volumes of such petroleum products imported into Czechia from other Member States shall not exceed the average volumes imported into Czechia from those other Member States over the same period during the previous five years.

9.  
The prohibitions in paragraph 1 shall not apply to purchases in Russia of goods listed in Annex XXV which are required in order to meet the essential needs of the purchaser in Russia or of humanitarian projects in Russia.
10.  
Member States shall report to the Commission by no later than 8 June 2022 and every three months thereafter on the amounts of crude oil falling under CN 2709 00 imported by pipeline, as referred to in paragraph 3(d). Such import figures shall be broken down per pipeline. In the event that the exceptional temporary derogation referred to in paragraph 4 applies with regard to a landlocked Member State, that Member State shall report to the Commission every three months on the amounts of seaborne crude oil falling under CN 2709 00 which it imports from Russia, for as long as that derogation applies.

During the period until 5 December 2023 referred to in the fourth subparagraph of paragraph 8, Member States shall report to the Commission every three months on the amounts which they export to Czechia of petroleum products falling under CN 2710 obtained from crude oil which has been delivered by pipeline as referred to in paragraph 3(d).

Article 3n

1.  
It shall be prohibited to provide, directly or indirectly, technical assistance, brokering services or financing or financial assistance, related to the transport, including through ship-to-ship transfers, to third countries of crude oil or petroleum products as listed in Annex XXV which originate in Russia or which have been exported from Russia.
2.  

The prohibition in paragraph 1 shall not apply to:

(a) 

the execution until 5 December 2022 of contracts concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts; or

(b) 

the transport of crude oil or petroleum products as listed in Annex XXV where those goods originate in a third country and are only being loaded in, departing from or transiting through Russia, provided that both the origin and the owner of those goods are non-Russian.

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Article 3o

1.  
It shall be prohibited to purchase, import, or transfer, directly or indirectly, gold, as listed in Annex XXVI if it originates in Russia and it has been exported from Russia into the Union or to any third country after 22 July 2022.
2.  
It shall be prohibited to purchase, import, or transfer, directly or indirectly the products listed in Annex XXVI when processed in a third country incorporating the products prohibited in paragraph 1.
3.  
It shall be prohibited to purchase, import, or transfer, directly or indirectly, gold, as listed in Annex XXVII if it originates in Russia and it has been exported from Russia into the Union after 22 July 2022.
4.  

It shall be prohibited to:

(a) 

provide technical assistance, brokering services or other services related to the goods referred to in paragraphs 1, 2 and 3 and to the provision, manufacture, maintenance and use of those goods, directly or indirectly in relation to the prohibition in paragraphs 1, 2 and 3;

(b) 

provide financing or financial assistance related to the goods referred to in paragraphs 1, 2 and 3 for any purchase, import or transfer of those goods, or for the provision of related technical assistance, brokering services or other services, directly or indirectly in relation to the prohibition in paragraphs 1, 2 and 3.

5.  
The prohibitions in paragraphs 1, 2 and 3 shall not apply to gold which is necessary for the official purposes of diplomatic missions, consular posts or international organisations in Russia enjoying immunities in accordance with international law.
6.  
The prohibition in paragraph 3 shall not apply to goods as listed in Annex XXVII for personal use of natural persons travelling to the European Union or members of their immediate families travelling with them, owned by those individuals and not intended for sale.
7.  
By way of derogation from paragraphs 1, 2 and 3, the competent authorities may authorise the transfer or import of cultural goods which are on loan in the context of formal cultural cooperation with Russia.

▼B

Article 4

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 ( 10 ), or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person, entity or body in Russia or for use in Russia;

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(b) 

to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List, including in particular grants, loans and export credit insurance or guarantee, as well as insurance and reinsurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance, to any natural or legal person, entity or body in Russia or for use in Russia.

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2.  

The prohibitions in paragraph 1 shall be without prejudice to the assistance for:

(a) 

the import, purchase or transport related to: (i) the provision of spare parts and services necessary for the maintenance and safety of existing capabilities within the Union; or (ii) the execution of contracts concluded before 1 August 2014, or ancillary contracts necessary for the execution of such contracts; or

(b) 

the sale, supply, transfer or export of spare parts and services necessary for the maintenance, repair and safety of existing capabilities within the Union.

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2a.  

The prohibitions in points (a) and (b) of paragraph 1 shall not apply to the provision, directly or indirectly, of technical assistance, financing or financial assistance, related to the following operations:

(a) 

the sale, supply, transfer or export and to the import, purchase or transport of Hydrazine (CAS 302-01-2) in concentrations of 70 per cent or more, provided that that technical assistance, financing or financial assistance refers to an amount of Hydrazine calculated in accordance with the launch or launches or the satellites for which it is made, and which does not exceed a total quantity of 800 kg for each individual launch or satellite;

(b) 

the import, purchase or transport of Unsymmetrical dimethyl hydrazine (CAS 57-14-7);

(c) 

the sale, supply, transfer or export and to the import, purchase or transport of monomethyl hydrazine (CAS60-34-4), provided that that technical assistance, financing or financial assistance refers to an amount of Monomethyl Hydrazine calculated in accordance with the launch or launches or the satellites for which it is made,

insofar as the substances mentioned in points (a), (b) and (c) of this paragraph are destined for the use of launchers operated by European launch service providers, for the use of launches of European space programmes, or for the fuelling of satellites by European satellites manufacturers.

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2aa.  

The prohibitions in points (a) and (b) of paragraph 1 shall not apply to the provision, directly or indirectly, of technical assistance, financing or financial assistance related to the sale, supply, transfer or export and the import, purchase or transport of hydrazine (CAS 302-01-2) in concentrations of 70 % or more, provided that that technical assistance, financing or financial assistance refers to hydrazine destined for:

(a) 

the tests and flight of the ExoMars descent module in the framework of the ExoMars 2020 mission, in an amount calculated in accordance with the needs of each phase of that mission, which does not exceed a total of 5 000  kg for the entire duration of the mission; or

(b) 

the flight of the ExoMars carrier module in the framework of the ExoMars 2020 mission, in an amount calculated in accordance with the needs of the flight, which does not exceed a total of 300 kg.

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2b.  
The provision, directly or indirectly, of technical assistance, financing or financial assistance, related to the operations referred to in paragraphs 2a and 2aa shall be subject to prior authorisation by the competent authorities.

Applicants for authorisation shall supply the competent authorities with all relevant information required.

The competent authorities shall inform the Commission of all the authorisations granted.

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3.  

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

(a) 

technical assistance or brokering services related to items listed in Annex II and to the provision, manufacture, maintenance and use of those items, directly or indirectly, to any natural or legal person, entity or body in Russia, including its Exclusive Economic Zone and Continental Shelf or, if such assistance concerns items for use in Russia, including its Exclusive Economic Zone and Continental Shelf, to any person, entity or body in any other State;

(b) 

financing or financial assistance related to items referred to in Annex II, 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 natural or legal person, entity or body in Russia, including its Exclusive Economic Zone and Continental Shelf or, if such assistance concerns items for use in Russia, including its Exclusive Economic Zone and Continental Shelf, to any person, entity or body in any other State.

In duly justified cases of emergency referred to in Article 3(5), the provision of services referred to in this paragraph may proceed without prior authorisation, on condition that the provider notifies the competent authority within five working days after the provision of services.

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4.  
Where authorisations are requested pursuant to paragraph 3 of this Article, Article 3, and in particular paragraphs 2 and 5 thereof, shall apply mutatis mutandis.

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Article 5

1.  

It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 90 days, issued after 1 August 2014 to 12 September 2014, or with a maturity exceeding 30 days, issued after 12 September 2014 to 12 April 2022 or any transferable securities and money market instruments issued after 12 April 2022 by:

(a) 

a major credit institution, or other major institution having an explicit mandate to promote competitiveness of the Russian economy, its diversification and encouragement of investment, established in Russia with over 50 % public ownership or control as of 1 August 2014, as listed in Annex III; or

(b) 

a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex III; or

(c) 

a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (b) of this paragraph or listed in Annex III.

2.  

It shall be prohibited to directly or indirectly, purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments issued after 12 April 2022 by:

(a) 

any major credit institution, or other institution with over 50 % public ownership or control as of 26 February 2022 or any other credit institution having a significant role in supporting the activities of Russia, its government or the Central Bank and established in Russia, as listed in Annex XII; or

(b) 

a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XII; or

(c) 

a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

3.  

It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 30 days, issued after 12 September 2014 to 12 April 2022 or any transferable securities and money market instruments issued after 12 April 2022 by:

(a) 

a legal person, entity or body established in Russia predominantly engaged, and with major activities, in the conception, production, sales or export of military equipment or services, as listed in Annex V, except legal persons, entities or bodies active in the space or the nuclear energy sectors;

(b) 

a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and having estimated total assets of over RUB 1 trillion and whose estimated revenues originate for at least 50 % from the sale or transportation of crude oil or petroleum products, as listed in Annex VI;

(c) 

a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in point (a) or (b) of this paragraph; or

(d) 

a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a), (b) or (c) of this paragraph.

4.  

It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments, issued after 12 April 2022 by:

(a) 

a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and in which Russia, its Government or Central Bank has the right to participate in profits or with which Russia, its Government or Central Bank has other substantial economic relationships, as listed in Annex XIII; or

(b) 

a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed Annex XIII; or

(c) 

a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

5.  
It shall be prohibited to list and provide services as of 12 April 2022 on trading venues registered or recognised in the Union for the transferable securities of any legal person, entity or body established in Russia and with over 50 % public ownership.
6.  

It shall be prohibited to directly or indirectly make or be part of any arrangement to make

(i) 

new loans or credit with a maturity exceeding 30 days to any legal person, entity or body referred to in paragraph 1 or 3, after 12 September 2014 to 26 February 2022; or

(ii) 

any new loans or credit to any legal person, entity or body referred to in paragraph 1, 2, 3 or 4 after 26 February 2022.

The prohibition shall not apply to:

(a) 

loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of goods and non-financial services between the Union and any third State, including the expenditure for goods and services from another third State that is necessary for executing the export or import contracts; or

(b) 

loans that have a specific and documented objective to provide emergency funding to meet solvency and liquidity criteria for legal persons established in the Union, whose proprietary rights are owned for more than 50 % by any entity referred to in Annex III.

7.  

The prohibition in paragraph 6 shall not apply to drawdown or disbursements made under a contract concluded before 26 February 2022 provided that the following conditions are met:

(a) 

all the terms and conditions of such drawdown or disbursements:

(i) 

were agreed before 26 February 2022; and

(ii) 

have not been modified on or after that date; and

(b) 

before 26 February 2022 a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract; and

(c) 

at the time of its conclusion the contract was not in breach of the prohibitions of this Regulation in force at that time.

The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.

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Article 5a

1.  

It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments issued after 9 March 2022 by:

(a) 

Russia and its government; or

(b) 

the Central Bank of Russia; or

(c) 

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

2.  
It shall be prohibited to directly or indirectly make or be part of any arrangement to make any new loans or credit to any legal person, entity or body referred to in paragraph 1 after 23 February 2022.

The prohibition shall not apply to loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of goods and non-financial services between the Union and any third State, including the expenditure for goods and services from another third State that is necessary for executing the export or import contracts.

3.  

The prohibition in paragraph 2 shall not apply to drawdown or disbursements made under a contract concluded before 23 February 2022 provided that the following conditions are met:

(a) 

all the terms and conditions of such drawdown or disbursements:

(i) 

were agreed before 23 February 2022; and

(ii) 

have not been modified on or after that date; and

(b) 

before 23 February 2022 a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract.

The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.

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4.  
Transactions related to the management of reserves as well as of assets of the Central Bank of Russia, including transactions with any legal person, entity or body acting on behalf of, or at the direction of, the Central Bank of Russia, such as the Russian National Wealth Fund, are prohibited.

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5.  
By way of derogation from paragraph 4, the competent authorities may authorise a transaction provided that it is strictly necessary to ensure the financial stability of the Union as a whole or of the Member State concerned.
6.  
The Member State concerned shall immediately inform the other Member States and the Commission of its intention to grant an authorisation under paragraph 5.

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Article 5aa

1.  

It shall be prohibited to directly or indirectly engage in any transaction with:

(a) 

a legal person, entity or body established in Russia, which is publically controlled or with over 50 % public ownership or in which Russia, its Government or Central Bank has the right to participate in profits or with which Russia, its Government or Central Bank has other substantial economic relationship, as listed in Annex XIX;

(b) 

a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XIX; or

(c) 

a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

2.  
The prohibition in paragraph 1 shall not apply to the execution until 15 May 2022 of contracts concluded before 16 March 2022 or ancillary contracts necessary for the execution of such contracts.

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2a.  
The prohibition in paragraph 1 shall not apply to the reception of payments due by the legal persons, entities or bodies referred to therein pursuant to contracts performed before 15 May 2022.

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3.  

The prohibition in paragraph 1 shall not apply to:

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(a) 

transactions which are strictly necessary for the direct or indirect purchase, import or transport of natural gas, titanium, aluminium, copper, nickel, palladium and iron ore from or through Russia into the Union, a country member of the European Economic Area, Switzerland, or the Western Balkans;

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(aa) 

unless prohibited under Article 3m or 3n, transactions which are strictly necessary for the direct or indirect purchase, import or transport of oil, including refined petroleum products, from or through Russia;

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(b) 

transactions related to energy projects outside Russia in which a legal person, entity or body listed in Annex XIX is a minority shareholder;

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(c) 

transactions for the purchase, import or transport into the Union of coal and other solid fossil fuels, as listed in Annex XXII until 10 August 2022;

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(d) 

transactions, including sales, which are strictly necessary for the wind-down, by 31 December 2022, of a joint venture or similar legal arrangement concluded before 16 March 2022, involving a legal person, entity or body referred to in paragraph 1;

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(e) 

transactions related to the provision of electronic communication services, data center services, and the provision of services and equipment necessary for their operation, maintenance, security, including the provision of firewalls, and call center services, to a legal person, entity or body listed in Annex XIX;

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(f) 

transactions which are necessary for the purchase, import or transport of pharmaceutical, medical, agricultural and food products, including wheat and fertilisers whose import, purchase and transport is allowed under this Regulation;

(g) 

transactions which are strictly necessary to ensure access to judicial, administrative or arbitral proceedings in a Member State, as well as for the recognition or enforcement of a judgment or an arbitration award rendered in a Member State and if such transactions are consistent with the objectives of this Regulation and Regulation (EU) No 269/2014.

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Article 5b

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1.  
It shall be prohibited to accept any deposits from Russian nationals or natural persons residing in Russia, legal persons, entities or bodies established in Russia or a legal person, entity or body established outside the Union and whose proprietary rights are directly or indirectly owned for more than 50 % by Russian nationals or natural persons residing in Russia, if the total value of deposits of that natural or legal person, entity or body per credit institution exceeds EUR 100 000 .

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2.  
It shall be prohibited to provide crypto-asset wallet, account or custody services to Russian nationals or natural persons residing in Russia, or legal persons, entities or bodies established in Russia, if the total value of crypto-assets of the natural or legal person, entity or body per wallet, account or custody provider exceeds EUR 10 000 .
3.  
Paragraphs 1 and 2 shall not apply to nationals of a Member State, of a country member of the European Economic Area or of Switzerland, or to natural persons having a temporary or permanent residence permit in a Member State, in a country member of the European Economic Area or in Switzerland.

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Article 5c

1.  

By way of derogation from Articles 5b(1) and (2), the competent authorities may authorise the acceptance of such a deposit or the provision of wallet, account or custody service, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit or the provision of wallet, account or custody service is:

(a) 

necessary to satisfy the basic needs of natural or legal persons, entities or bodies referred to in Article 5b(1) and their dependent family members, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

(b) 

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

(c) 

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

(d) 

necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation; or

(e) 

necessary for official purposes of a diplomatic mission or consular post or international organisation; or

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(f) 

necessary for non-prohibited cross-border trade in goods and services between the Union and Russia.

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2.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1, points (a), (b), (c) or (e), within two weeks of the authorisation.

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Article 5d

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1.  

By way of derogation from Articles 5b(1) and (2), the competent authorities may authorise the acceptance of such a deposit or provision of wallet, account or custody service, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit or provision of wallet, account or custody service is:

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(a) 

necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or

(b) 

necessary for civil society activities that directly promote democracy, human rights or the rule of law in Russia.

2.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation.

Article 5e

1.  
It shall be prohibited for Union central securities depositories to provide any services as defined in the Annex of Regulation (EU) No 909/2014 for transferable securities issued after 12 April 2022 to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.

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2.  
Paragraph 1 shall not apply to nationals of a Member State, of a country member of the European Economic Area or of Switzerland, or to natural persons having a temporary or permanent residence permit in a Member State, in a country member of the European Economic Area or in Switzerland.

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Article 5f

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1.  
It shall be prohibited to sell transferable securities denominated in any official currency of a Member State issued after 12 April 2022 or units in collective investment undertakings providing exposure to such securities, to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.

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2.  
Paragraph 1 shall not apply to nationals of a Member State, of a country member of the European Economic Area or of Switzerland, or to natural persons having a temporary or permanent residence permit in a Member State, in a country member of the European Economic Area or in Switzerland.

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Article 5g

1.  

Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, credit institutions shall:

(a) 

supply to the national competent authority of the Member State where they are located or to the Commission by no later than 27 May 2022, a list of deposits exceeding 100 000  EUR held by Russian nationals or natural persons residing in Russia, or by legal persons, entities or bodies established in Russia. They shall provide updates regarding the amounts of such deposits every 12 months.

(b) 

supply to the national competent authority of the Member State where they are located information on deposits exceeding EUR 100 000 held by Russian nationals or natural persons residing in Russia who have acquired the citizenship of a Member State or residence rights in a Member State through an investor citizenship scheme or an investor residence scheme.

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Article 5h

1.  
It shall be prohibited to provide specialised financial messaging services, which are used to exchange financial data, to the legal persons, entities or bodies listed in Annex XIV or to any legal person, entity or body established in Russia whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XIV.
2.  
For each legal person, entity or body listed in Annex XIV, the prohibition set out in paragraph 1 shall apply as of the date mentioned for it in that Annex. The prohibition shall apply as of the same date to any legal person, entity or body established in Russia whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XIV.

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Article 5i

1.  
It shall be prohibited to sell, supply, transfer or export banknotes denominated in any official currency of a Member State to Russia or to any natural or legal person, entity or body in Russia, including the government and the Central Bank of Russia, or for use in Russia.
2.  

The prohibition in paragraph 1 shall not apply to the sale, supply, transfer or export of banknotes denominated in any official currency of a Member State provided that such sale, supply, transfer or export is necessary for:

(a) 

the personal use of natural persons travelling to Russia or members of their immediate families travelling with them; or

(b) 

the official purposes of diplomatic missions, consular posts or international organisations in Russia enjoying immunities in accordance with international law.

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Article 5j

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1.  
It shall be prohibited to provide credit rating services to or on any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.

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2.  
It shall be prohibited as of 15 April 2022 to provide access to any subscription services in relation to credit rating activities to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.
3.  
Paragraphs 1 and 2 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State.

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Article 5k

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1.  

It shall be prohibited to award or continue the execution of any public or concession contract falling within the scope of the public procurement Directives, as well as Article 10(1), (3), (6) points (a) to (e), (8), (9) and (10), Articles 11, 12, 13 and 14 of Directive 2014/23/EU, Article 7, points (a) to (d), and Article 8, Article 10 points (b) to (f) and (h) to (j) of Directive 2014/24/EU, Article 18, Article 21 points (b) to (e) and (g) to (i), Articles 29 and 30 of Directive 2014/25/EU and Article 13 points (a) to (d), (f) to (h) and (j) of Directive 2009/81/EC, and Title VII of Regulation (EU, Euratom) 2018/1046, to or with:

(a) 

a Russian national, a natural person residing in Russia, or a legal person, entity or body established in Russia;

(b) 

a legal person, entity or body whose proprietary rights are directly or indirectly owned for more than 50 % by an entity referred to in point (a) of this paragraph; or

(c) 

a natural or legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph,

including, where they account for more than 10 % of the contract value, subcontractors, suppliers or entities whose capacities are being relied on within the meaning of the public procurement Directives.

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2.  

By way of derogation from paragraph 1, the competent authorities may authorise the award and continued execution of contracts intended for:

(a) 

the operation, maintenance, decommissioning and radioactive waste management, fuel supply and retreatment and safety of civil nuclear capabilities, and the continuation of design, construction and commissioning required for the completion of civil nuclear facilities, as well as the supply of precursor material for the production of medical radioisotopes and similar medical applications, critical technology for environmental radiation monitoring, as well as civil nuclear cooperation, in particular in the field of research and development;

(b) 

intergovernmental cooperation in space programmes;

(c) 

the provision of strictly necessary goods or services which can only be provided, or which can only be provided in sufficient quantities, by the persons referred to in paragraph 1;

(d) 

the functioning of diplomatic and consular representations of the Union and of the Member States in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law;

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(e) 

unless prohibited under Article 3m or 3n, the purchase, import or transport of natural gas and oil, including refined petroleum products, as well as titanium, aluminium, copper, nickel, palladium and iron ore from or through Russia into the Union; or

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(f) 

the purchase, import or transport into the Union of coal and other solid fossil fuels, as listed in Annex XXII until 10 August 2022.

3.  
The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under this Article within two weeks of the authorisation.
4.  
The prohibitions in paragraph 1 shall not apply to the execution until 10 October 2022 of contracts concluded before 9 April 2022.

Article 5l

1.  
It shall be prohibited to provide direct or indirect support, including financing and financial assistance or any other benefit under a Union, Euratom or Member State national programme and contracts within the meaning of Regulation (EU, Euratom) 2018/1046 ( 11 ), to any legal person, entity or body established in Russia with over 50 % public ownership or public control.
2.  

The prohibition in paragraph 1 shall not apply to:

(a) 

humanitarian purposes, public health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;

(b) 

phytosanitary and veterinary programmes;

(c) 

intergovernmental cooperation in space programmes and under the International Thermonuclear Experimental Reactor Agreement;

(d) 

the operation, maintenance, decommissioning and radioactive waste management, fuel supply and retreatment and safety of civil nuclear capabilities, as well as supply of precursor material for the production of medical radioisotopes and similar medical applications, critical technology for environmental radiation monitoring, as well as civil nuclear cooperation, in particular in the field of research and development;

(e) 

mobility exchanges for individuals and people-to-people contacts;

(f) 

climate and environmental programmes, with the exception of support in the context of research and innovation;

(g) 

the functioning of diplomatic and consular representations of the Union and of the Member States in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law.

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Article 5m

1.  

It shall be prohibited to register, provide a registered office, business or administrative address as well as management services to, a trust or any similar legal arrangement having as a trustor or a beneficiary:

(a) 

Russian nationals or natural persons residing in Russia;

(b) 

legal persons, entities or bodies established in Russia;

(c) 

legal persons, entities or bodies whose proprietary rights are directly or indirectly owned for more than 50 % by a natural or legal person, entity or body referred to in points (a) or (b);

(d) 

legal persons, entities or bodies controlled by a natural or legal person, entity or body referred to in points (a), (b) or (c);

(e) 

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

2.  
It shall be prohibited as of 5 July 2022 to act as, or arrange for another person to act as, a trustee, nominee shareholder, director, secretary or a similar position, for a trust or similar legal arrangement as referred to in paragraph 1.
3.  
Paragraphs 1 and 2 shall not apply to the operations that are strictly necessary for the termination by 5 July 2022 of contracts which are not compliant with this Article concluded before 9 April 2022 or of ancillary contracts necessary for the execution of such contracts.

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4.  
Paragraphs 1 and 2 shall not apply when the trustor or beneficiary is a national of a Member State or a natural person having a temporary or permanent residence permit in a Member State, in a country member of the European Economic Area, or in Switzerland.

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5.  

By way of derogation from paragraph 2, the competent authorities may authorise, under such conditions as they deem appropriate, the services referred to in paragraph 2 to continue beyond 5 July 2022, for:

(a) 

the completion by 5 September 2022 of operations strictly necessary for the termination of contracts referred to in paragraph 3, provided that such operations were initiated before 11 May 2022; or

(b) 

other reasons, provided that the service providers do not accept from, or make available to, the persons referred to in paragraph 1 any funds or economic resources, directly or indirectly, or otherwise provide such persons with any benefit from assets placed in a trust.

6.  

By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the services referred to in those paragraphs, under such conditions as they deem appropriate, after having determined that this is necessary for:

(a) 

humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations;

(b) 

civil society activities that directly promote democracy, human rights or the rule of law in Russia; or

(c) 

the operation of trusts whose purpose is the administration of occupational pension schemes, insurance policies or employee share scheme, charities, amateur sports clubs, and funds for minors or vulnerable adults.

7.  
The Member State concerned shall inform the Commission of any authorisation granted under paragraph 5 or 6 within two weeks of such authorisation.

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Article 5n

1.  

It shall be prohibited to provide, directly or indirectly, accounting, auditing, including statutory audit, bookkeeping or tax consulting services, or business and management consulting or public relations services to:

(a) 

the Government of Russia; or

(b) 

legal persons, entities or bodies established in Russia.

2.  
Paragraph 1 shall not apply to the provision of services that are strictly necessary for the termination by 5 July 2022 of contracts which are not compliant with this Article concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts.
3.  
Paragraph 1 shall not apply to the provision of services that are strictly necessary for the exercise of the right of defence in judicial proceedings and the right to an effective legal remedy.

▼M16

4.  
Paragraph 1 shall not apply to the provision of services intended for the exclusive use of legal persons, entities or bodies established in Russia that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State, a country member of the European Economic Area, or of Switzerland.

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5.  

By way of derogation from paragraph 1, the competent authorities may authorise the services referred to therein, under such conditions as they deem appropriate, after having determined that this is necessary for:

(a) 

humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or

(b) 

civil society activities that directly promote democracy, human rights or the rule of law in Russia.

▼M16

6.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 5 within two weeks of the authorisation.

▼M7

Article 6

1.  

The Member States and the Commission 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, in particular information in respect of:

(a) 

authorisations granted under this Regulation;

(b) 

information received under Article 5g;

(c) 

violation and enforcement problems and judgments handed down by national courts;

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(d) 

detected instances of breach, circumvention and attempts at breach or circumvention of the prohibitions set out in this Regulation through the use of crypto-assets.

▼M7

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.
3.  
Any information provided or received in accordance with this Article shall be used for the purposes for which it was provided or received, including ensuring the effectiveness of the measures set out in this Regulation.

Article 7

The Commission shall be empowered to amend Annexes I and IX on the basis of information supplied by Member States.

▼B

Article 8

▼M15

1.  
Member States shall lay down the rules on penalties, including as appropriate criminal penalties, applicable to infringements of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive. Member States shall also provide for appropriate measures of confiscation of the proceeds of such infringements.

▼B

2.  
Member States shall notify the rules referred to in paragraph 1 to the Commission without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 9

1.  
Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex I. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex I.
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 I.

Article 10

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

▼M7

Article 11

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:

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(a) 

legal persons, entities or bodies listed in the Annexes to this Regulation or legal persons, entities or bodies established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by them;

▼M7

(b) 

any other Russian person, entity or body;

(c) 

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

2.  
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.
3.  
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.

▼M12

Article 12

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent prohibitions in this Regulation.

▼M7

Article 12a

1.  
The Commission shall process personal data in order to carry out its tasks under this Regulation. These tasks include the handling of information on deposits and information on authorisations granted by the competent authorities.
2.  
For the purposes of this Regulation, the Commission service listed in Annex I is designated as ‘controller’ for the Commission within the meaning of Article 3(8) of Regulation (EU) 2018/1725 ( 12 ) in relation to the processing activities necessary to accomplish the tasks referred to in paragraph 1.

▼M16

3.  
The competent authorities of the Member States, including enforcement authorities and administrators of official registers where natural persons, legal persons, entities and bodies as well as immovable or movable property are registered, shall process and exchange information including personal data, with other competent authorities of the Member States and the European Commission.
4.  
Any processing of personal data shall be carried out in accordance with this Regulation and Regulations (EU) 2016/679 ( 13 ) and (EU) 2018/1725 ( 14 ) of the European Parliament and of the Council and only in so far as necessary for the application of this Regulation and to ensure effective cooperation between Member States as well as with the European Commission in the application of this Regulation.

▼B

Article 13

This Regulation shall apply:

(a) 

within the territory of the Union;

(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 14

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.

▼M14




ANNEX I

BELGIUM

https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions

BULGARIA

https://www.mfa.bg/en/EU-sanctions

CZECHIA

www.financnianalytickyurad.cz/mezinarodni-sankce.html

DENMARK

http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/

GERMANY

https://www.bmwi.de/Redaktion/DE/Artikel/Aussenwirtschaft/embargos-aussenwirtschaftsrecht.html

ESTONIA

https://vm.ee/et/rahvusvahelised-sanktsioonid

IRELAND

https://www.dfa.ie/our-role-policies/ireland-in-the-eu/eu-restrictive-measures/

GREECE

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

SPAIN

https://www.exteriores.gob.es/es/PoliticaExterior/Paginas/SancionesInternacionales.aspx

FRANCE

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

CROATIA

https://mvep.gov.hr/vanjska-politika/medjunarodne-mjere-ogranicavanja/22955

ITALY

https://www.esteri.it/it/politica-estera-e-cooperazione-allo-sviluppo/politica_europea/misure_deroghe/

CYPRUS

https://mfa.gov.cy/themes/

LATVIA

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

LITHUANIA

http://www.urm.lt/sanctions

LUXEMBOURG

https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/organisations-economiques-int/mesures-restrictives.html

HUNGARY

https://kormany.hu/kulgazdasagi-es-kulugyminiszterium/ensz-eu-szankcios-tajekoztato

MALTA

https://foreignandeu.gov.mt/en/Government/SMB/Pages/SMB-Home.aspx

NETHERLANDS

https://www.rijksoverheid.nl/onderwerpen/internationale-sancties

AUSTRIA

https://www.bmeia.gv.at/themen/aussenpolitik/europa/eu-sanktionen-nationale-behoerden/

POLAND

https://www.gov.pl/web/dyplomacja/sankcje-miedzynarodowe

https://www.gov.pl/web/diplomacy/international-sanctions

PORTUGAL

https://www.portaldiplomatico.mne.gov.pt/politica-externa/medidas-restritivas

ROMANIA

http://www.mae.ro/node/1548

SLOVENIA

http://www.mzz.gov.si/si/omejevalni_ukrepi

SLOVAKIA

https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu

FINLAND

https://um.fi/pakotteet

SWEDEN

https://www.regeringen.se/sanktioner

Address for notifications to the European Commission:

European Commission

Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA)

Rue de Spa 2

B-1049 Brussels, Belgium

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

▼B




ANNEX II

▼M2

List of items referred to in Article 3

▼B



CN code

Description

7304 11 00

Line pipe of a kind used for oil or gas pipelines, seamless, of stainless steel

7304 19 10

Line pipe of a kind used for oil or gas pipelines, seamless, of iron or steel, of an external diameter not exceeding 168,3 mm (excl. products of stainless steel or of cast iron)

7304 19 30

Line pipe of a kind used for oil or gas pipelines, seamless, of iron or steel, of an external diameter exceeding 168,3 mm but not exceeding 406,4 mm (excl. products of stainless steel or of cast iron)

7304 19 90

Line pipe of a kind used for oil or gas pipelines, seamless, of iron or steel, of an external diameter exceeding 406,4 mm (excl. products of stainless steel or of cast iron)

7304 22 00

Drill pipe, seamless, of stainless steel, of a kind used in drilling for oil or gas

7304 23 00

Drill pipe, seamless, of a kind used in drilling for oil or gas, of iron or steel (excl. products of stainless steel or of cast iron)

7304 29 10

Casing and tubing of a kind used for drilling for oil or gas, seamless, of iron or steel, of an external diameter not exceeding 168,3 mm (excl. products of cast iron)

7304 29 30

Casing and tubing of a kind used for drilling for oil or gas, seamless, of iron or steel, of an external diameter exceeding 168,3 mm, but not exceeding 406,4 mm (excl. products of cast iron)

7304 29 90

Casing and tubing of a kind used for drilling for oil or gas, seamless, of iron or steel, of an external diameter exceeding 406,4 mm (excl. products of cast iron)

7305 11 00

Line pipe of a kind used for oil or gas pipelines, having circular cross-sections and an external diameter of exceeding 406,4 mm, of iron or steel, longitudinally submerged arc welded

7305 12 00

Line pipe of a kind used for oil or gas pipelines, having circular cross-sections and an external diameter of exceeding 406,4 mm, of iron or steel, longitudinally arc welded (excl. products longitudinally submerged arc welded)

7305 19 00

Line pipe of a kind used for oil or gas pipelines, having circular cross-sections and an external diameter of exceeding 406,4 mm, of flat-rolled products of iron or steel (excl. products longitudinally arc welded)

7305 20 00

Casing of a kind used in drilling for oil or gas, having circular cross-sections and an external diameter of exceeding 406,4 mm, of flat-rolled products of iron or steel

7306 11

Line pipe of a kind used for oil or gas pipelines, welded, of flat-rolled products of stainless steel, of an external diameter of not exceeding 406,4 mm

7306 19

Line pipe of a kind used for oil or gas pipelines, welded, of flat-rolled products of iron or steel, of an external diameter of not exceeding 406,4 mm (excl. products of stainless steel or of cast iron)

7306 21 00

Casing and tubing of a kind used in drilling for oil or gas, welded, of flat-rolled products of stainless steel, of an external diameter of not exceeding 406,4 mm

7306 29 00

Casing and tubing of a kind used in drilling for oil or gas, welded, of flat-rolled products of iron or steel, of an external diameter of not exceeding 406,4 mm (excl. products of stainless steel or of cast iron)

8207 13 00

Rock-drilling or earth-boring tools, interchangeable, with working parts of sintered metal carbides or cermets

8207 19 10

Rock-drilling or earth-boring tools, interchangeable, with working parts of diamond or agglomerated diamond

▼M2

ex 8413 50

Reciprocating positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m3/hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells

ex 8413 60

Rotary positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m3/hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells

▼B

8413 82 00

Liquid elevators (excl. pumps)

8413 92 00

Parts of liquid elevators, n.e.s.

8430 49 00

Boring or sinking machinery for boring earth or extracting minerals or ores, not self-propelled and not hydraulic (excl. tunnelling machinery and hand-operated tools)

▼M2

ex 8431 39 00

Parts suitable for use solely or principally with the oil field machinery of heading 8428

ex 8431 43 00

Parts suitable for use solely or principally with the oil field machinery of subheadings 8430 41 or 8430 49

ex 8431 49

Parts suitable for use solely or principally with the oil field machinery of heading 8426 , 8429 and 8430

▼B

8705 20 00

Mobile drilling derricks

8905 20 00

Floating or submersible drilling or production platforms

8905 90 10

Sea-going light vessels, fire-floats, floating cranes and other vessels, the navigability of which is subsidiary to their main function (excl. dredgers, floating or submersible drilling or production platforms; fishing vessels and warships)




▼M7

ANNEX III

List of legal persons, entities and bodies referred to in Article 5(1)(a)

▼B

1. 

SBERBANK

2. 

VTB BANK

3. 

GAZPROMBANK

4. 

VNESHECONOMBANK (VEB)

5. 

ROSSELKHOZBANK

▼M7




ANNEX IV

List of natural or legal persons, entities or bodies, referred to in Article 2(7), 2a(7) and 2b(1)

JSC Sirius
OJSC Stankoinstrument
OAO JSC Chemcomposite
JSC Kalashnikov
JSC Tula Arms Plant
NPK Technologii Maschinostrojenija
OAO Wysokototschnye Kompleksi
OAO Almaz Antey
OAO NPO Bazalt
Admiralty Shipyard JSC
Aleksandrov Scientific Research Technological Institute NITI
Argut OOO
Communication center of the Ministry of Defense
Federal Research Center Boreskov Institute of Catalysis
Federal State Budgetary Enterprise of the Administration of the President of Russia
Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the President of Russia
Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA)
Foreign Intelligence Service (SVR)
Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior Affairs
International Center for Quantum Optics and Quantum Technologies (the Russian Quantum Center)
Irkut Corporation
Irkut Research and Production Corporation Public Joint Stock Company
Joint Stock Company Scientific Research Institute of Computing Machinery
JSC Central Research Institute of Machine Building (JSC TsNIIMash)
JSC Kazan Helicopter Plant Repair Service
JSC Shipyard Zaliv (Zaliv Shipbuilding yard)
JSC Rocket and Space Centre – Progress
Kamensk-Uralsky Metallurgical Works J.S. Co.
Kazan Helicopter Plant PJSC
Komsomolsk-na-Amur Aviation Production Organization (KNAAPO)
Ministry of Defence RF
Moscow Institute of Physics and Technology
NPO High Precision Systems JSC
NPO Splav JSC
OPK Oboronprom
PJSC Beriev Aircraft Company
PJSC Irkut Corporation
PJSC Kazan Helicopters
POLYUS Research Institute of M.F. Stelmakh Joint Stock Company
Promtech-Dubna, JSC
Public Joint Stock Company United Aircraft Corporation
Radiotechnical and Information Systems (RTI) Concern
Rapart Services LLC; Rosoboronexport OJSC (ROE)
Rostec (Russian Technologies State Corporation)
Rostekh – Azimuth
Russian Aircraft Corporation MiG
Russian Helicopters JSC
SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii)
Sukhoi Aviation JSC
Sukhoi Civil Aircraft
Tactical Missiles Corporation JSC
Tupolev JSC
UEC-Saturn
United Aircraft Corporation
JSC AeroKompozit
United Engine Corporation
UEC-Aviadvigatel JSC
United Instrument Manufacturing Corporation
United Shipbuilding Corporation
JSC PO Sevmash
Krasnoye Sormovo Shipyard
Severnaya Shipyard
Shipyard Yantar
UralVagonZavod

▼M12

Amur Shipbuilding Factory PJSC
AO Center of Shipbuilding and Ship Repairing JSC
AO Kronshtadt
Avant Space LLC
Baikal Electronics
Center for Technological Competencies in Radiophtonics
Central Research and Development Institute Tsiklon
Crocus Nano Electronics
Dalzavod Ship-Repair Center
Elara
Electronic Computing and Information Systems
ELPROM
Engineering Center Ltd.
Forss Technology Ltd.
Integral SPB
JSC Element
JSC Pella-Mash
JSC Shipyard Vympel
Kranark LLC
Lev Anatolyevich Yershov (Ershov)
LLC Center
MCST Lebedev
Miass Machine-Building Factory
Microelectronic Research and Development Center Novosibirsk
MPI VOLNA
N.A. Dollezhal Order of Lenin Research and Design Institute of Power Engineering
Nerpa Shipyard
NM-Tekh
Novorossiysk Shipyard JSC
NPO Electronic Systems
NPP Istok
NTC Metrotek
OAO GosNIIkhimanalit
OAO Svetlovskoye Predpriyatiye Era
OJSC TSRY
OOO Elkomtekh (Elkomtex)
OOO Planar
OOO Sertal
Photon Pro LLC
PJSC Zvezda
Production Association Strela
Radioavtomatika
Research Center Module
Robin Trade Limited
R.Ye. Alekseyev Central Design Bureau for Hydrofoil Ships
Rubin Sever Design Bureau
Russian Space Systems
Rybinsk Shipyard Engineering
Scientific Research Institute of Applied Chemistry
Scientific-Research Institute of Electronics
Scientific Research Institute of Hypersonic Systems
Scientific Research Institute NII Submikron
Sergey IONOV
Serniya Engineering
Severnaya Verf Shipbuilding Factory
Ship Maintenance Center Zvezdochka
State Governmental Scientific Testing Area of Aircraft Systems (GkNIPAS)
State Machine Building Design Bureau Raduga Bereznya
State Scientific Center AO GNTs RF—FEI A.I. Leypunskiy Physico-Energy Institute
State Scientific Research Institute of Machine Building Bakhirev (GosNIImash)
Tomsk Microwave and Photonic Integrated Circuits and Modules Collective Design Center
UAB Pella-Fjord
United Shipbuilding Corporation JSC ‘35th Shipyard’
United Shipbuilding Corporation JSC ‘Astrakhan Shipyard’
United Shipbuilding Corporation JSC ‘Aysberg Central Design Bureau’
United Shipbuilding Corporation JSC ‘Baltic Shipbuilding Factory’
United Shipbuilding Corporation JSC ‘Krasnoye Sormovo Plant OJSC’
United Shipbuilding Corporation JSC SC ‘Zvyozdochka’
United Shipbuilding Corporation ‘Pribaltic Shipbuilding Factory Yantar’
United Shipbuilding Corporation ‘Scientific Research Design Technological Bureau Onega’
United Shipbuilding Corporation ‘Sredne-Nevsky Shipyard’
Ural Scientific Research Institute for Composite Materials
Urals Project Design Bureau Detal
Vega Pilot Plant
Vertikal LLC
Vladislav Vladimirovich Fedorenko
VTK Ltd
Yaroslavl Shipbuilding Factory
ZAO Elmiks-VS
ZAO Sparta
ZAO Svyaz Inzhiniring

▼M15

46th TSNII Central Scientific Research Institute
Alagir Resistor Factory
All-Russian Research Institute of Optical and Physical Measurements
All-Russian Scientific-Research Institute Etalon JSC
Almaz JSC
Arzam Scientific Production Enterprise Temp Avia
Automated Procurement System for State Defense Orders, LLC
Dolgoprudniy Design Bureau of Automatics (DDBA JSC)
Electronic Computing Technology Scientific-Research Center JSC
Electrosignal JSC
Energiya JSC
Engineering Center Moselectronproekt
Etalon Scientific and Production Association
Evgeny Krayushin
Foreign Trade Association Mashpriborintorg
Ineko LLC
Informakustika JSC
Institute of High Energy Physics
Institute of Theoretical and Experimental Physics
Inteltech PJSC
ISE SO RAN Institute of High-Current Electronics
Kaluga Scientific-Research Institute of Telemechanical Devices JSC
Kulon Scientific-Research Institute JSC
Lutch Design Office JSC
Meteor Plant JSC
Moscow Communications Research Institute JSC
Moscow Order of the Red Banner of Labor Research Radio Engineering Institute JSC
NPO Elektromechaniki JSC
Omsk Production Union Irtysh JSC
Omsk Scientific-Research Institute of Instrument Engineering JSC
Optron, JSC
Pella Shipyard OJSC
Polyot Chelyabinsk Radio Plant JSC
Pskov Distance Communications Equipment Plant
Radiozavod JSC
Razryad JSC
Research Production Association Mars
Ryazan Radio-Plant
Scientific Production Center Vigstar JSC
Scientific Production Enterprise ‘Radiosviaz’
Scientific Research Institute Ferrite-Domen
Scientific Research Institute of Communication Management Systems
Scientific-Production Association and Scientific-Research Institute of Radio-Components
Scientific-Production Enterprise ‘Kant’
Scientific-Production Enterprise ‘Svyaz’
Scientific-Production Enterprise Almaz JSC
Scientific-Production Enterprise Salyut JSC
Scientific-Production Enterprise Volna
Scientific-Production Enterprise Vostok JSC
Scientific-Research Institute ‘Argon’
Scientific-Research Institute and Factory Platan
Scientific-Research Institute of Automated Systems and Communications Complexes Neptune JSC
Special Design and Technical Bureau for Relay Technology
Special Design Bureau Salute JSC
Tactical Missile Company, Joint Stock Company ‘Salute’
Tactical Missile Company, Joint Stock Company ‘State Machine Building Design Bureau ‘Vympel’ By Name I.I.Toropov’
Tactical Missile Company, Joint Stock Company ‘URALELEMENT’
Tactical Missile Company, Joint Stock Company ‘Plant Dagdiesel’
Tactical Missile Company, Joint Stock Company ‘Scientific Research Institute of Marine Heat Engineering’
Tactical Missile Company, Joint Stock Company PA Strela
Tactical Missile Company, Joint Stock Company Plant Kulakov
Tactical Missile Company, Joint Stock Company Ravenstvo
Tactical Missile Company, Joint Stock Company Ravenstvo-service
Tactical Missile Company, Joint Stock Company Saratov Radio Instrument Plant
Tactical Missile Company, Joint Stock Company Severny Press
Tactical Missile Company, Joint-Stock Company ‘Research Center for Automated Design’
Tactical Missile Company, KB Mashinostroeniya
Tactical Missile Company, NPO Electromechanics
Tactical Missile Company, NPO Lightning
Tactical Missile Company, Petrovsky Electromechanical Plant ‘Molot’
Tactical Missile Company, PJSC ‘MBDB ‘ISKRA’’
Tactical Missile Company, PJSC ANPP Temp Avia
Tactical Missile Company, Raduga Design Bureau
Tactical Missile Corporation, ‘Central Design Bureau of Automation’
Tactical Missile Corporation, 711 Aircraft Repair Plant
Tactical Missile Corporation, AO GNPP ‘Region’
Tactical Missile Corporation, AO TMKB ‘Soyuz’
Tactical Missile Corporation, Azov Optical and Mechanical Plant
Tactical Missile Corporation, Concern ‘MPO – Gidropribor’
Tactical Missile Corporation, Joint Stock Company ‘KRASNY GIDROPRESS’
Tactical Missile Corporation, Joint Stock Company Avangard
Tactical Missile Corporation, Joint Stock Company Concern Granit-Electron
Tactical Missile Corporation, Joint Stock Company Elektrotyaga
Tactical Missile Corporation, Joint Stock Company GosNIIMash
Tactical Missile Corporation, RKB Globus
Tactical Missile Corporation, Smolensk Aviation Plant
Tactical Missile Corporation, TRV Engineering
Tactical Missile Corporation, Ural Design Bureau ‘Detal’
Tactical Missile Corporation, Zvezda-Strela Limited Liability Company
Tambov Plant (TZ) ‘October’
United Shipbuilding Corporation ‘Production Association Northern Machine Building Enterprise’
United Shipbuilding Corporation ‘5th Shipyard’

▼M16

Federal Center for Dual-Use Technology (FTsDT) Soyuz
Turayev Machine Building Design Bureau Soyuz
Zhukovskiy Central Aerohydrodynamics Institute (TsAGI)
Rosatomflot




▼M7

ANNEX V

List of legal persons, entities and bodies referred to in Article 5(3)(a)

▼M1

OPK OBORONPROM
UNITED AIRCRAFT CORPORATION
URALVAGONZAVOD




▼M7

ANNEX VI

List of legal persons, entities and bodies referred to in Article 5(3)(b)

▼M1

ROSNEFT
TRANSNEFT
GAZPROM NEFT

▼M7




ANNEX VII

List of goods and technology referred to in Articles 2a(1) and 2b(1)

General Notes, Acronyms and Abbreviations, and Definitions in Annex I to Regulation (EU) 2021/821 apply to this Annex, with the exception of ‘Part I - General Notes, Acronyms and Abbreviations, and Definitions, General Notes to Annex I, point 2.’.

Definitions of Terms used in the Common Military List (CML) of the European Union (2020/C 85/01) apply to this Annex.

▼M11

Without prejudice to Article 12 of this Regulation, non-controlled items containing one or more components listed in this Annex are not subject to the controls under Articles 2a and 2b of this Regulation.

▼M7

Category I - Electronics

X.A.I.001 

Electronic devices and components.

a. 

‘Microprocessor microcircuits’, ‘microcomputer microcircuits’, and microcontroller microcircuits having any of the following:

1. 

A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more;

2. 

A clock frequency rate exceeding 25 MHz; or

3. 

More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel ‘microprocessor microcircuits’ with a transfer rate of 2,5 Mbyte/s;

b. 

Storage integrated circuits, as follows:

1. 

Electrically erasable programmable read-only memories (EEPROMs) with a storage capacity;

a. 

Exceeding 16 Mbits per package for flash memory types; or

b. 

Exceeding either of the following limits for all other EEPROM types:

1. 

Exceeding 1 Mbit per package; or

2. 

Exceeding 256 kbit per package and a maximum access time of less than 80 ns;

2. 

Static random access memories (SRAMs) with a storage capacity:

a. 

Exceeding 1 Mbit per package; or

b. 

Exceeding 256 kbit per package and a maximum access time of less than 25 ns;

c. 

Analog-to-digital converters having any of the following:

1. 

A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 Mega Samples Per Second (MSPS);

▼M11

2. 

A resolution of 12 bit with an output rate greater than 105 Mega Samples per Second (MSPS);

▼M7

3. 

A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 Mega Samples per Second (MSPS); or

4. 

A resolution of more than 14 bit with an output rate greater than 2,5 Mega Samples Per Second (MSPS);

d. 

Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700;

e. 

Fast Fourier Transform (FFT) processors having a rated execution time for a 1 024 point complex FFT of less than 1 ms;

f. 

Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:

1. 

More than 144 terminals; or

2. 

A typical ‘basic propagation delay time’ of less than 0,4 ns;

g. 

Traveling-wave ‘vacuum electronic devices’, pulsed or continuous wave, as follows:

1. 

Coupled cavity devices, or derivatives thereof;

2. 

Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following:

a. 

An ‘instantaneous bandwidth’ of half an octave or more and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,2; or

b. 

An ‘instantaneous bandwidth’ of less than half an octave; and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,4;

h. 

Flexible waveguides designed for use at frequencies exceeding 40 GHz;

i. 

Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having either of the following:

1. 

A carrier frequency exceeding 1 GHz; or

2. 

A carrier frequency of 1 GHz or less; and

a. 

A ‘frequency side-lobe rejection’ exceeding 55 dB;

b. 

A product of the maximum delay time and bandwidth (time in microseconds and bandwidth in MHz) of more than 100; or

c. 

A dispersive delay of more than 10 microseconds;

Technical Note: For the purpose of X.A.I.001.i 'Frequency side-lobe rejection' is the maximum rejection value specified in data sheet.

j. 

‘Cells’ as follows:

1. 

‘Primary cells’ having an ‘energy density’ of 550 Wh/kg or less at 293 K (20°C);

2. 

‘Secondary cells’ having an ‘energy density’ of 350 Wh/kg or less at 293 K (20°C);

Note: X.A.I.001.j does not control batteries, including single cell batteries.

Technical Notes: 

1. 

For the purpose of X.A.I.001.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.

2. 

For the purpose of X.A.I.001.j, a ‘cell’ is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3. 

For the purpose of X.A.I.001.j.1, a ‘primary cell’ is a ‘cell’ that is not designed to be charged by any other source.

4. 

For the purpose of X.A.I.001.j.2, a ‘secondary cell’ is a ‘cell’ that is designed to be charged by an external electrical source.

k. 

‘Superconductive’ electromagnets or solenoids specially designed to be fully charged or discharged in less than one minute, having all of the following:

Note: X.A.I.001.k does not control ‘superconductive’ electromagnets or solenoids designed for Magnetic Resonance Imaging (MRI) medical equipment.

1. 

Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute;

2. 

Inner diameter of the current carrying windings of more than 250 mm; and

3. 

Rated for a magnetic induction of more than 8T or ‘overall current density’ in the winding of more than 300 A/mm2;

l. 

Circuits or systems for electromagnetic energy storage, containing components manufactured from ‘superconductive’ materials specially designed for operation at temperatures below the ‘critical temperature’ of at least one of their ‘superconductive’ constituents, having all of the following:

1. 

Resonant operating frequencies exceeding 1 MHz;

2. 

A stored energy density of 1 MJ/m3 or more; and

3. 

A discharge time of less than 1 ms;

m. 

Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rate for a peak current of 500 A or more;

n. 

Not used;

o. 

Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are ‘space qualified’ and not controlled by 3A001.e.4 ( 15 ).

X.A.I.002 

General purpose "electronic assemblies", modules and equipment.

a. 

Electronic test equipment, other than those specified in the CML or in Regulation (EU) 2021/821;

b. 

Digital instrumentation magnetic tape data recorders having any of the following characteristics;

1. 

A maximum digital interface transfer rate exceeding 60 Mbit/s and employing helical scan techniques;

2. 

A maximum digital interface transfer rate exceeding 120 Mbit/s and employing fixed head techniques; or

3. 

‘Space qualified’;

c. 

Equipment, with a maximum digital interface transfer rate exceeding 60 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;

d. 

Non-modular analog oscilloscopes having a bandwidth of 1 GHz or greater;

e. 

Modular analog oscilloscope systems having either of the following characteristics:

1. 

A mainframe with a bandwidth of 1 GHz or greater; or

2. 

Plug-in modules with an individual bandwidth of 4 GHz or greater;

f. 

Analog sampling oscilloscopes for the analysis of recurring phenomena with an effective bandwidth greater than 4 GHz;

g. 

Digital oscilloscopes and transient recorders, using analog-to-digital conversion techniques, capable of storing transients by sequentially sampling single-shot inputs at successive intervals of less than 1 ns (greater than 1 Giga Samples per Second (GSPS)), digitizing to 8 bits or greater resolution and storing 256 or more samples.

Note: X.A.I.002 controls the following specially designed components for analog oscilloscopes:

1. 

Plug-in units;

2. 

External amplifiers;

3. 

Pre-amplifiers;

4. 

Sampling devices;

5. 

Cathode ray tubes.

X.A.I.003 

Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:

▼M15

a. 

Frequency changers and their specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821;

▼M7

b. 

Mass spectrometers, other than those specified in the CML or in Regulation (EU) 2021/821;

c. 

All flash x-ray machines, or components of pulsed power systems designed thereof, including Marx generators, high power pulse shaping networks, high voltage capacitors, and triggers;

d. 

Pulse amplifiers, other than those specified in the CML or in Regulation (EU) 2021/821;

e. 

Electronic equipment for time delay generation or time interval measurement, as follows:

1. 

Digital time delay generators with a resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater; or

2. 

Multi-channel (three or more) or modular time interval meter and chronometry equipment with resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater;

f. 

Chromatography and spectrometry analytical instruments.

X.B.I.001 

Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor.

a. 

Equipment specially designed for the manufacture of electron tubes, optical elements and specially designed components therefor controlled by 3A001 ( 16 ) or X.A.I.001;

b. 

Equipment specially designed for the manufacture of semiconductor devices, integrated circuits and ‘electronic assemblies’, as follows, and systems incorporating or having the characteristics of such equipment:

Note: X.B.I.001.b. also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

1. 

Equipment for the processing of materials for the manufacture of devices and components as specified in the heading of X.B.I.001.b, as follows:

Note: X.B.I.001 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment controlled by X.B.I.001.b.1.

a. 

Equipment for producing polycrystalline silicon and materials controlled by 3C001 ( 17 );

b. 

Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 ( 18 ) except crystal pullers, for which see X.B.I.001.b.1.c below;

c. 

Crystal pullers and furnaces, as follows:

Note: X.B.I.001.b.1.c does not control diffusion and oxidation furnaces.

1. 

Annealing or recrystallizing equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0,005 m2 per minute;

▼M11

2. 

‘Stored program controlled’ crystal pullers having any of the following characteristics:

a. 

Rechargeable without replacing the crucible container;

b. 

Capable of operation at pressures above 2,5 x 105 Pa; or

c. 

Capable of pulling crystals of a diameter exceeding 100 mm;

▼M7

d. 

‘Stored program controlled’ equipment for epitaxial growth having any of the following characteristics:

1. 

Capable of producing silicon layer with a thickness uniform to less than ± 2,5 % across a distance of 200 mm or more;

2. 

Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ± 3,5 %; or

3. 

Rotation of individual wafers during processing;

e. 

Molecular beam epitaxial growth equipment;

f. 

Magnetically enhanced ‘sputtering’ equipment with specially designed integral load locks capable of transferring wafers in an isolated vacuum environment;

g. 

Equipment specially designed for ion implantation, ion-enhanced or photo-enhanced diffusion, having any of the following characteristics:

1. 

Patterning capability;

2. 

Beam energy (accelerating voltage) exceeding 200 keV;

3. 

Optimised to operate at a beam energy (accelerating voltage) of less than 10 keV; or

4. 

Capable of high energy oxygen implant into a heated ‘substrate’;

h. 

‘Stored program controlled’ equipment for the selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows:

1. 

‘Batch types’ having either of the following:

a. 

End-point detection, other than optical emission spectroscopy types; or

b. 

Reactor operational (etching) pressure of 26,66 Pa or less;

2. 

‘Single wafer types’ having any of the following:

a. 

End-point detection, other than optical emission spectroscopy types;

b. 

Reactor operational (etching) pressure of 26,66 Pa or less; or

c. 

Cassette-to-cassette and load locks wafer handling;

Notes:

 
1. 

‘Batch types’ refers to machines not specially designed for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., RF power, temperature, etch gas species, flow rates.

2. 

‘Single wafer types’ refers to machines specially designed for production processing of single wafers. These machines may use automatic wafer handling techniques to load a single wafer into the equipment for processing. The definition includes equipment that can load and process several wafers but where the etching parameters, e.g., RF power or end point, can be independently determined for each individual wafer.

i. 

‘Chemical vapor deposition’ (CVD) equipment, e.g., plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals or polysilicon:

▼M11

1. 

‘Chemical vapor deposition’ equipment operating below 105 Pa; or

▼M7

2. 

PECVD equipment operating either below 60 Pa or having automatic cassette-to-cassette and load lock wafer handling;

Note: X.B.I.001.b.1.i does not control low pressure ‘chemical vapor deposition’ (LPCVD) systems or reactive ‘sputtering’ equipment.

j. 

Electron beam systems specially designed or modified for mask making or semiconductor device processing having any of the following characteristics:

1. 

Electrostatic beam deflection;

2. 

Shaped, non-Gaussian beam profile;

3. 

Digital-to-analog conversion rate exceeding 3 MHz;

4. 

Digital-to-analog conversion accuracy exceeding 12 bit; or

5. 

Target-to-beam position feedback control precision of 1 micrometer or finer;

Note: X.B.I.001.b.1.j does not control electron beam deposition systems or general purpose scanning electron microscopes.

k. 

Surface finishing equipment for the processing of semiconductor wafers as follows:

1. 

Specially designed equipment for backside processing of wafers thinner than 100 micrometer and the subsequent separation thereof; or

2. 

Specially designed equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 micrometer or less, total indicator reading (TIR);

Note: X.B.I.001.b.1.k does not control single-side lapping and polishing equipment for wafer surface finishing.

l. 

Interconnection equipment which includes common single or multiple vacuum chambers specially designed to permit the integration of any equipment controlled by X.B.I.001 into a complete system;

m. 

‘Stored program controlled’ equipment using ‘lasers’ for the repair or trimming of ‘monolithic integrated circuits’ with either of the following characteristics:

1. 

Positioning accuracy less than ± 1 micrometer; or

2. 

Spot size (kerf width) less than 3 micrometer.

Technical Note: For the purpose of X.B.I.001.b.1, 'sputtering' is an overlay coating process wherein positively charged ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on the substrate. (Note: Triode, magnetron or radio frequency sputtering to increase adhesion of coating and rate of deposition are ordinary modifications of the process.).

2. 

Masks, mask substrates, mask-making equipment and image transfer equipment for the manufacture of devices and components as specified in the heading of X.B.I.001, as follows:

Note: The term masks refers to those used in electron beam lithography, X-ray lithography, and ultraviolet lithography, as well as the usual ultraviolet and visible photo-lithography.

a. 

Finished masks, reticles and designs therefor, except:

1. 

Finished masks or reticles for the production of integrated circuits not controlled by 3A001 ( 19 ); or

2. 

Masks or reticles, having both of the following characteristics:

a. 

Their design is based on geometries of 2,5 micrometer or more; and

b. 

The design does not include special features to alter the intended use by means of production equipment or ‘software’;

b. 

Mask substrates as follows:

1. 

Hard surface (e.g., chromium, silicon, molybdenum) coated ‘substrates’ (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm x 125 mm; or

2. 

Substrates specially designed for X-ray masks;

c. 

Equipment, other than general purpose computers, specially designed for computer aided design (CAD) of semiconductor devices or integrated circuits;

d. 

Equipment or machines, as follows, for mask or reticle fabrication:

1. 

Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2,5 micrometer in the photoresist on the ‘substrate’;

2. 

Mask or reticle fabrication equipment using ion or ‘laser’ beam lithography capable of producing line widths of less than 2,5 micrometer; or

3. 

Equipment or holders for altering masks or reticles or adding pellicles to remove defects;

Note: X.B.I.001.b.2.d.1 and b.2.d.2 do not control mask fabrication equipment using photo-optical methods which was either commercially available before the 1st January 1980, or has a performance no better than such equipment.

e. 

‘Stored program controlled’ equipment for the inspection of masks, reticles or pellicles with:

1. 

A resolution of 0,25 micrometer or finer; and

2. 

A precision of 0,75 micrometer or finer over a distance in one or two coordinates of 63,5 mm or more;

Note: X.B.I.001.b.2.e does not control general purpose scanning electron microscopes except when specially designed and instrumented for automatic pattern inspection.

f. 

Align and expose equipment for wafer production using photo-optical or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following functions:

Note: X.B.I.001.b.2.f does not control photo-optical contact and proximity mask align and expose equipment or contact image transfer equipment.

1. 

Production of a pattern size of less than 2,5 micrometer;

2. 

Alignment with a precision finer than ± 0,25 micrometer (3 sigma);

3. 

Machine-to-machine overlay no better than ± 0,3 micrometer; or

4. 

A light source wavelength shorter than 400 nm;

g. 

Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2,5 micrometer;

Note: For focused, deflected-beam systems (direct write systems), see X.B.I.001.b.1.j.

h. 

Equipment using ‘lasers’ for direct write on wafers capable of producing patterns less than 2,5 micrometer.

3. 

Equipment for the assembly of integrated circuits, as follows:

a. 

‘Stored program controlled’ die bonders having all of the following characteristics:

1. 

Specially designed for ‘hybrid integrated circuits’;

2. 

X-Y stage positioning travel exceeding 37,5 x 37,5 mm; and

3. 

Placement accuracy in the X-Y plane of finer than ± 10 micrometer;

b. 

‘Stored program controlled’ equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders);

c. 

Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 ( 20 ) and that have a throughput equal to or more than one package per minute.

Note: X.B.I.001.b.3 does not control general purpose resistance type spot welders.

4. 

Filters for clean rooms capable of providing an air environment of 10 or less particles of 0,3 micrometer or smaller per 0,02832 m3 and filter materials therefor.

Technical Note: For the purpose of X.B.I.001, 'stored program controlled' is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Equipment may be 'stored program controlled' whether the electronic storage is internal or external to the equipment.

X.B.I.002 

Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor.

a. 

Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor controlled by 3A001 ( 21 ) or X.A.I.001;

b. 

Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and ‘electronic assemblies’, as follows, and systems incorporating or having the characteristics of such equipment:

Note: X.B.I.002.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

1. 

‘Stored program controlled’ inspection equipment for the automatic detection of defects, errors or contaminants of 0,6 micrometer or less in or on processed wafers, substrates, other than printed circuit boards or chips, using optical image acquisition techniques for pattern comparison;

Note: X.B.I.002.b.1 does not control general purpose scanning electron microscopes, except when specially designed and instrumented for automatic pattern inspection.

2. 

Specially designed ‘stored program controlled’ measuring and analysis equipment, as follows:

a. 

Specially designed for the measurement of oxygen or carbon content in semiconductor materials;

b. 

Equipment for line width measurement with a resolution of 1 micrometer or finer;

c. 

Specially designed flatness measurement instruments capable of measuring deviations from flatness of 10 micrometer or less with a resolution of 1 micrometer or finer.

3. 

‘Stored program controlled’ wafer probing equipment having any of the following characteristics:

a. 

Positioning accuracy finer than 3,5 micrometer;

b. 

Capable of testing devices having more than 68 terminals; or

c. 

Capable of testing at a frequency exceeding 1 GHz;

4. 

Test equipment as follows:

a. 

‘Stored program controlled’ equipment specially designed for testing discrete semiconductor devices and unencapsulated dice, capable of testing at frequencies exceeding 18 GHz;

Technical Note: Discrete semiconductor devices include photocells and solar cells.

b. 

‘Stored program controlled’ equipment specially designed for testing integrated circuits and ‘electronic assemblies’ thereof, capable of functional testing:

1. 

At a ‘pattern rate’ exceeding 20 MHz; or

2. 

At a ‘pattern rate’ exceeding 10 MHz but not exceeding 20 MHz and capable of testing packages of more than 68 terminals.

Notes: X.B.I.002.b.4.b does not control test equipment specially designed for testing:

1. 

Memories;

2. 

‘Assemblies’ or a class of ‘electronic assemblies’ for home and entertainment applications; and

3. 

Electronic components, ‘electronic assemblies’ and integrated circuits not controlled by 3A001 ( 22 ) or X.A.I.001 provided such test equipment does not incorporate computing facilities with ‘user accessible programmability’.

Technical Note: For purposes of X.B.I.002.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.

c. 

Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1 200  nm, using ‘stored program controlled’ measurements or computer aided evaluation and having any of the following characteristics:

1. 

Using scanning light spot diameters of less than 0,12 mm;

2. 

Designed for measuring photosensitive performance parameters and for evaluating frequency response, modulation transfer function, uniformity of responsivity or noise; or

3. 

Designed for evaluating arrays capable of creating images with more than 32 x 32 line elements;

5. 

Electron beam test systems designed for operation at 3 keV or below, or ‘laser’ beam systems, for non-contactive probing of powered-up semiconductor devices having any of the following:

a. 

Stroboscopic capability with either beam blanking or detector strobing;

b. 

An electron spectrometer for voltage measurements with a resolution of less than 0,5 V; or

c. 

Electrical tests fixtures for performance analysis of integrated circuits;

Note: X.B.I.002.b.5 does not control scanning electron microscopes, except when specially designed and instrumented for non-contactive probing of a powered-up semiconductor device.

6. 

‘Stored program controlled’ multifunctional focused ion beam systems specially designed for manufacturing, repairing, physical layout analysis and testing of masks or semiconductor devices and having either of the following characteristics:

a. 

Target-to-beam position feedback control precision of 1 micrometer or finer; or

b. 

Digital-to-analog conversion accuracy exceeding 12 bit;

7. 

Particle measuring systems employing ‘lasers’ designed for measuring particle size and concentration in air having both of the following characteristics:

a. 

Capable of measuring particle sizes of 0,2 micrometer or less at a flow rate of 0,02832 m3 per minute or more; and

b. 

Capable of characterizing Class 10 clean air or better.

Technical Note: For the purpose of X.B.I.002, ‘stored program controlled’ is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Equipment may be ‘stored program controlled’ whether the electronic storage is internal or external to the equipment.

X.C.I.001 

Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths between 370 and 193 nm.

X.D.I.001 

‘Software’ specially designed for the ‘development’, ‘production’, or ‘use’ of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 and X.B.I.002; or ‘software’ specially designed for the ‘use’ of equipment controlled by 3B001.g and 3B001.h ( 23 ).

X.E.I.001 

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 or X.B.I.002, or materials controlled by X.C.I.001.

Category II – Computers

Note: Category II does not control goods for the personal use of the natural persons.

X.A.II.001 

Computers, ‘electronic assemblies’ and related equipment, not controlled by 4A001 or 4A003 ( 24 ), and specially designed components therefor.

Note: The control status of the ‘digital computers’ and related equipment described in X.A.II.001 is determined by the control status of other equipment or systems provided:

a. 

The ‘digital computers’ or related equipment are essential for the operation of the other equipment or systems;

b. 

The ‘digital computers’ or related equipment are not a ‘principal element’ of the other equipment or systems; and

N.B.1: The control status of ‘signal processing’ or ‘image enhancement’ equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the ‘principal element’ criterion.

N.B.2: For the control status of ‘digital computers’ or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications) ( 25 ).

c. 

The ‘technology’ for the ‘digital computers’ and related equipment is determined by 4E ( 26 ).

a. 

Electronic computers and related equipment, and ‘electronic assemblies’ and specially designed components therefor, rated for operation at an ambient temperature above 343 K (70°C);

b. 

‘Digital computers’, including equipment of ‘signal processing’ or ‘image enhancement’, having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0,0128 Weighted TeraFLOPS (WT);

c. 

‘Electronic assemblies’ that are specially designed or modified to enhance performance by aggregation of processors, as follows:

1. 

Designed to be capable of aggregation in configurations of 16 or more processors;

2. 

Not used;

Note 1: X.A.II.001.c applies only to ‘electronic assemblies’ and programmable interconnections with a ‘APP’ not exceeding the limits in X.A.II.001.b, when shipped as unintegrated ‘electronic assemblies’. It does not apply to ‘electronic assemblies’ inherently limited by nature of their design for use as related equipment controlled by X.A.II.001.k.

Note 2: X.A.II.001.c does not control any ‘electronic assembly’ specially designed for a product or family of products whose maximum configuration does not exceed the limits of X.A.II.001.b.

d. 

Not used;

e. 

Not used;

f. 

Equipment for ‘signal processing’ or ‘image enhancement’ having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0,0128 Weighted TeraFLOPS WT;

g. 

Not used;

h. 

Not used;

i. 

Equipment containing ‘terminal interface equipment’ exceeding the limits in X.A.III.101;

Technical Note: For the purpose of X.A.II.001.i, ‘terminal interface equipment’ means equipment at which information enters or leaves the telecommunication system, e.g. telephone, data device, computer, etc.

j. 

Equipment specially designed to provide external interconnection of ‘digital computers’ or associated equipment that allows communications at data rates exceeding 80 Mbyte/s.

Note: X.A.II.001.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, ‘network access controllers’ or ‘communication channel controllers’.

Technical Note: For the purpose of X.A.II.001.j, ‘communication channel controllers’ is the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

k. 

‘Hybrid computers’ and ‘electronic assemblies’ and specially designed components therefor containing analog-to-digital converters having all of the following characteristics:

1. 

32 channels or more; and

2. 

A resolution of 14 bit (plus sign bit) or more with a conversion rate of 200 000  Hz or more.

X.D.II.001 

‘Program’ proof and validation ‘software’, ‘software’ allowing the automatic generation of ‘source codes’, and operating system ‘software’ that are specially designed for ‘real-time processing’ equipment.

a. 

‘Program’ proof and validation ‘software’ using mathematical and analytical techniques and designed or modified for ‘programs’ having more than 500 000 ‘source code’ instructions;

b. 

‘Software’ allowing the automatic generation of ‘source codes’ from data acquired on line from external sensors described in the Regulation (EU) 2021/821; or

c. 

Operating system ‘software’ specially designed for ‘real-time processing’ equipment that guarantees a ‘global interrupt latency time’ of less than 20 microseconds.

Technical Note: For the purpose of X.D.II.001, 'global interrupt latency time' is the time taken by the computer system to recognise an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.

X.D.II.002 

‘Software’ other than that controlled in 4D001 ( 27 ) specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment controlled by 4A101 ( 28 ), X.A.II.001.

X.E.II.001 

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.II.001, or ‘software’ controlled by X.D.II.001 or X.D.II.002.

X.E.II.002 

▼M16

‘Technology’ for the ‘development’ or ‘production’ of equipment designed for 'multi-data-stream processing'.

Technical Note: For the purpose of X.E.II.002, ‘multi-data-stream processing’ is a microprogram or equipment architecture technique that permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:

▼M7

1. 

Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;

2. 

Multiple Single Instruction Multiple Data (MSIMD) architectures;

3. 

Multiple Instruction Multiple Data (MIMD) architectures, including those that are tightly coupled, closely coupled or loosely coupled; or

4. 

Structured arrays of processing elements, including systolic arrays.

Category III. Part 1 – Telecommunications

Note: Category III.Part 1 does not control goods for the personal use of the natural persons.

X.A.III.101 

Telecommunication equipment.

a. 

Any type of telecommunications equipment, not controlled by 5A001.a ( 29 ), specially designed to operate outside the temperature range from 219 K (-54°C) to 397 K (124°C).

b. 

Telecommunication transmission equipment and systems, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:

Note: Telecommunication transmission equipment:

a. 

Categorised as follows, or combinations thereof:

1. 

Radio equipment (e.g., transmitters, receivers and transceivers);

2. 

Line terminating equipment;

3. 

Intermediate amplifier equipment;

4. 

Repeater equipment;

5. 

Regenerator equipment;

6. 

Translation encoders (transcoders);

7. 

Multiplex equipment (statistical mutiplex included);

8. 

Modulators/demodulators (modems);

9. 

Transmultiplex equipment (see CCITT Rec. G701);

10. 

‘Stored program controlled’ digital cross-connection equipment;

11. 

‘Gateways’ and bridges;

12. 

‘Media access units’; and

b. 

Designed for use in single or multi-channel communication via any of the following:

1. 

Wire (line);

2. 

Coaxial cable;

3. 

Optical fibre cable;

4. 

Electromagnetic radiation; or

5. 

Underwater acoustic wave propagation.

1. 

Employing digital techniques, including digital processing of analog signals, and designed to operate at a ‘digital transfer rate’ at the highest multiplex level exceeding 45 Mbit/s or a ‘total digital transfer rate’ exceeding 90 Mbit/s;

Note: X.A.III.101.b.1 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

2. 

Modems using the ‘bandwidth of one voice channel’ with a ‘data signalling rate’ exceeding 9 600 bits per second;

3. 

Being ‘stored program controlled’ digital cross connect equipment with ‘digital transfer rate’ exceeding 8,5 Mbit/s per port.

4. 

Being equipment containing any of the following:

a. 

"Network access controllers" and their related common medium having a ‘digital transfer rate’ exceeding 33 Mbit/s; or

b. 

‘Communication channel controllers’ with a digital output having a ‘data signalling rate’ exceeding 64 000 bit/s per channel;

Note: If any uncontrolled equipment contains a ‘network access controller’, it cannot have any type of telecommunications interface, except those described in, but not controlled by X.A.III.101.b.4.

5. 

Employing a ‘laser’ and having any of the following characteristics:

a. 

A transmission wavelength exceeding 1 000  nm; or

b. 

Employing analog techniques and having a bandwidth exceeding 45 MHz;

c. 

Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);

d. 

Employing wavelength division multiplexing techniques; or

e. 

Performing ‘optical amplification’;

6. 

Radio equipment operating at input or output frequencies exceeding:

a. 

31 GHz for satellite-earth station applications; or

b. 

26,5 GHz for other applications;

Note: X.A.III.101.b.6 does not control equipment for civil use when conforming with an International Telecommunications Union (ITU) allocated band between 26,5 GHz and 31 GHz.

7. 

Being radio equipment employing any of the following:

a. 

Quadrature-amplitude-modulation (QAM) techniques above level 4 if the ‘total digital transfer rate’ exceeds 8,5 Mbit/s;

b. 

QAM techniques above level 16 if the ‘total digital transfer rate’ is equal to or less than 8,5 Mbit/s;

c. 

Other digital modulation techniques and having a ‘spectral efficiency’ exceeding 3 bit/s/Hz; or

d. 

Operating in the 1,5 MHz to 87,5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal.

Notes: 

1. 

X.A.III.101.b.7 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

2. 

X.A.III.101.b.7 does not control radio relay equipment for operation in an International Telecommunications Union (ITU) allocated band:

a. 

Having any of the following:

1. 

Not exceeding 960 MHz; or

2. 

With a ‘total digital transfer rate’ not exceeding 8,5 Mbit/s; and

b. 

Having a ‘spectral efficiency’ not exceeding 4 bit/s/Hz.

c. 

‘Stored program controlled’ switching equipment and related signalling systems, having any of the following characteristics, functions or features, and specially designed components and accessories therefor:

Note: Statistical multiplexers with digital input and digital output which provide switching are treated as 'stored program controlled' switches.

1. 

‘Data (message) switching’ equipment or systems designed for ‘packet-mode operation’, electronic assemblies and components therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

2. 

Not used;

3. 

Routing or switching of ‘datagram’ packets;

Note: X.A.III.101.c.3 does not control networks restricted to using only ‘network access controllers’ or to ‘network access controllers’ themselves.

4. 

Not used;

5. 

Multi-level priority and pre-emption for circuit switching;

Note: X.A.III.101.c.5 does not control single-level call preemption.

6. 

Designed for automatic hand-off of cellular radio calls to other cellular switches or automatic connection to a centralised subscriber data base common to more than one switch;

7. 

Containing ‘stored program controlled’ digital cross connect equipment with ‘digital transfer rate’ exceeding 8,5 Mbit/s per port.

8. 

‘Common channel signalling’ operating in either non-associated or quasi-associated mode of operation;

9. 

‘Dynamic adaptive routing’;

10. 

Being packet switches, circuit switches and routers with ports or lines exceeding any of the following:

a. 

A ‘data signalling rate’ of 64 000 bit/s per channel for a ‘communications channel controller’; or

Note: X.A.III.101.c.10.a does not control multiplex composite links composed only of communication channels not individually controlled by X.A.III.101.b.1.

b. 

A ‘digital transfer rate’ of 33 Mbit/s for a ‘network access controller’ and related common media;

Note: X.A.III.101.c.10 does not control packet switches or routers with ports or lines not exceeding the limits in X.A.III.101.c.10.

11. 

‘Optical switching’;

12. 

Employing ‘Asynchronous Transfer Mode’ (‘ATM’) techniques.

d. 

Optical fibres and optical fibre cables of more than 50 m in length designed for single mode operation;

e. 

Centralised network control having all of the following characteristics:

1. 

Receives data from the nodes; and

2. 

Process these data in order to provide control of traffic not requiring operator decisions, and thereby performing ‘dynamic adaptive routing’;

Note 1: X.A.III.101.e does not include cases of routing decisions taken on predefined information.

Note 2: X.A.III.101.e does not preclude control of traffic as a function of predictable statistical traffic conditions.

f. 

Phased array antennas, operating above 10,5 GHz, containing active elements and distributed components, and designed to permit electronic control of beam shaping and pointing, except for landing systems with instruments meeting International Civil Aviation Organization (ICAO) standards (microwave landing systems (MLS)).

g. 

Mobile communications equipment other than those specified in the CML or in Regulation (EU) 2021/821, electronic assemblies and components therefor; or

h. 

Radio relay communications equipment designed for use at frequencies equal to or exceeding 19,7 GHz and components therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

Technical Note: For the purpose of X.A.III.101:

1) 

‘Asynchronous transfer mode’ (‘ATM’) is a transfer mode in which the information is organised into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate.

2) 

‘Bandwidth of one voice channel’ is data communication equipment designed to operate in one voice channel of 3 100  Hz, as defined in CCITT Recommendation G.151.

3) 

‘Communications channel controller’ is the physical interface that controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

4) 

‘Datagram’ is a self-contained, independent entity of data carrying sufficient information to be routed from the source to the destination data terminal equipment without reliance on earlier exchanges between this source and destination data terminal equipment and the transporting network.

5) 

‘Fast select’ is a facility applicable to virtual calls that allows data terminal equipment to expand the possibility to transmit data in call set-up and clearing ‘packets’ beyond the basic capabilities of a virtual call.

6) 

‘Gateway’ is the function, realised by any combination of equipment and ‘software’, to carry out the conversion of conventions for representing, processing or communicating information used on one system into the corresponding, but different conventions used in another system.

7) 

‘Integrated Services Digital Network’ (ISDN) is a unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber.

8) 

‘Packet’ is a group of binary digits including data and call control signals that is switched as a composite whole. The data, call control signals, and possible error control information are arranged in a specified format.

9) 

‘Common channel signalling’ means the transmission of control information (signalling) via a separate channel than that used for the messages. The signalling channel usually controls multiple message channels.

10) 

‘Data signalling rate’ means the rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronization functions are to be included.

11) 

‘Dynamic adaptive routing’ means Automatic rerouting of traffic based on sensing and analysis of current actual network conditions

12) 

‘Media access unit’ means equipment that contains one or more communication interfaces (‘network access controller’, ‘communications channel controller’, modem or computer bus) to connect terminal equipment to a network.

13) 

‘Spectral effiency’ is the ‘digital transfer rate’ [bits/s] / 6 dB spectrum bandwidth in Hz.

14) 

‘Stored program controlled’ is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions. Note: Equipment may be ‘stored program controlled’ whether the electronic storage is internal or external to the equipment.

X.B.III.101 

Telecommunications test equipment, other than those specified in the CML or in Regulation (EU) 2021/821.

X.C.III.101 

Preforms of glass or of any other material optimised for the manufacture of optical fibres controlled by X.A.III.101.

X.D.III.101 

‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.III.101 and X.B.III.101, and dynamic adaptive routing software as described as follows:

a. 

‘Software’, other than in machine-executable form, specially designed for ‘dynamic adaptive routing’.

b. 

Not used;

X.E.III.101 

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.III.101 or X.B.III.101, or ‘software’ controlled by X.D.III.101, and other ‘technologies’ as follows:

a. 

Specific ‘technologies’ as follows:

1. 

‘Technology’ for the processing and application of coatings to optical fibre specially designed to make it suitable for underwater use;

2. 

‘Technology’ for the ‘development’ of equipment employing ‘Synchronous Digital Hierarchy’ (‘SDH’) or ‘Synchronous Optical Network’ (‘SONET’) techniques.

Technical Note: For the purpose of X.E.III.101:

1) 

‘Synchronous digital hierarchy’ (SDH) is a digital hierarchy providing a means to manage, multiplex, and access various forms of digital traffic using a synchronous transmission format on different types of media. The format is based on the Synchronous Transport Module (STM) that is defined by CCITT Recommendation G.703, G.707, G.708, G.709 and others yet to be published. The first level rate of ‘SDH’ is 155,52 Mbits/s.

2) 

‘Synchronous optical network’ (SONET) is a network providing a means to manage, multiplex and access various forms of digital traffic using a synchronous transmission format on fibre optics. The format is the North America version of ‘SDH’ and also uses the Synchronous Transport Module (STM). However, it uses the Synchronous Transport Signal (STS) as the basic transport module with a first level rate of 51,81 Mbits/s. The SONET standards are being integrated into those of ‘SDH’.

Category III. Part 2 - Information Security

Note: Category III.Part 2 does not control goods for the personal use of the natural persons.

X.A.III.201 

Equipment as follows:

a. 

Not used;

b. 

Not used;

c. 

Goods classified as mass market encryption in accordance with Cryptography Note – Note 3 to Category 5, Part 2 ( 30 ).

X.D.III.201 

‘Information Security’‘software’ as follows:

Note: This entry does not control ‘software’ designed or modified to protect against malicious computer damage, e.g., viruses, where the use of ‘cryptography’ is limited to authentication, digital signature and/or the decryption of data or files.

a. 

Not used;

b. 

Not used;

c. 

‘Software’ classified as mass market encryption software in accordance with Cryptography Note – Note 3 to Category 5, Part 2 ( 31 ).

X.E.III.201 

‘Information Security’‘technology’ according to the General Technology Note, as follows:

a. 

Not used;

b. 

‘Technology’, other than specified in the CML or in Regulation (EU) 2021/821, for the ‘use’ of mass market goods controlled by X.A.III.201.c or mass market ‘software’ controlled by X.D.III.201.c.

Category IV – Sensors and Lasers

X.A.IV.001 

Marine or terrestrial acoustic equipment, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.IV.002 

Optical Sensors as follows:

a. 

Image intensifier tubes and specially designed components therefor, as follows:

1. 

Image intensifier tubes having all the following:

a. 

A peak response in wavelength range exceeding 400 nm, but not exceeding 1 050  nm;

b. 

A microchannel plate for electron image amplification with a hole pitch (center-to-center spacing) of less than 25 micrometers; and

c. 

Having any of the following:

1. 

An S-20, S-25 or multialkali photocathode; or

2. 

A GaAs or GaInAs photocathode;

2. 

Specially designed microchannel plates having both of the following characteristics:

a. 

15 000 or more hollow tubes per plate; and

b. 

Hole pitch (center-to-center spacing) of less than 25 micrometers.

b. 

Direct view imaging equipment operating in the visible or infrared spectrum, incorporating image intensifier tubes having the characteristics listed in X.A.IV.002.a.1.

X.A.IV.003 

Cameras as follows:

a. 

Cameras that meet the criteria of Note 3 to 6A003.b.4. ( 32 )

b. 

Not used;

X.A.IV.004 

Optics as follows:

a. 

Optical filters:

1. 

For wavelengths longer than 250 nm, comprised of multi-layer optical coatings and having either of the following:

a. 

Bandwidths equal to or less than 1 nm Full Width Half Intensity (FWHI) and peak transmission of 90 % or more; or

b. 

Bandwidths equal to or less than 0,1 nm FWHI and peak transmission of 50 % or more;

Note: X.A.IV.004 does not control optical filters with fixed air gaps or Lyot-type filters.

2. 

For wavelengths longer than 250 nm, and having all of the following:

a. 

Tunable over a spectral range of 500 nm or more;

b. 

Instantaneous optical bandpass of 1,25 nm or less;

c. 

Wavelength resettable within 0,1 ms to an accuracy of 1 nm or better within the tunable spectral range; and

d. 

A single peak transmission of 91 % or more;

3. 

Optical opacity switches (filters) with a field of view of 30° or wider and a response time equal to or less than 1 ns;

b. 

‘Fluoride fibre’ cable, or optical fibres therefor, having an attenuation of less than 4 dB/km in the wavelength range exceeding 1 000  nm but not exceeding 3 000  nm.

Technical Note: For the purpose of X.A.IV.004.b ‘Fluoride fibres’ are fibres manufactured from bulk fluoride compounds.

X.A.IV.005 

‘Lasers’ as follows:

a. 

Carbon dioxide (CO2) ‘lasers’ having any of the following:

1. 

A CW output power exceeding 10 kW;

2. 

A pulsed output with a ‘pulse duration’ exceeding 10 μs; and

a. 

An average output power exceeding 10 kW; or

b. 

A pulsed ‘peak power’ exceeding 100 kW; or

3. 

A pulsed output with a ‘pulse duration’ equal to or less than 10 μs; and

a. 

A pulse energy exceeding 5 J per pulse and ‘peak power’ exceeding 2,5 kW; or

b. 

An average output power exceeding 2,5 kW;

b. 

Semiconductor lasers, as follows:

1. 

Individual, single-transverse mode semiconductor ‘lasers’ having:

a. 

An average output power exceeding 100 mW; or

b. 

A wavelength exceeding 1 050  nm;

2. 

Individual, multiple-transverse mode semiconductor ‘lasers’, or arrays of individual semiconductor ‘lasers’, having a wavelength exceeding 1 050  nm;

c. 

Ruby ‘lasers’ having an output energy exceeding 20 J per pulse;

d. 

Non-‘tunable’‘pulsed lasers’ having an output wavelength exceeding 975 nm but not exceeding 1 150  nm and having any of the following:

1. 

A ‘pulse duration’ equal to or exceeding 1 ns but not exceeding 1 μs, and having any of the following:

a. 

A single transverse mode output and having any of the following:

1. 

A ‘wall-plug efficiency’ exceeding 12 % and an ‘average output power’ exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or

2. 

An ‘average output power’ exceeding 20 W; or

b. 

A multiple transverse mode output and having any of the following:

1. 

A ‘wall-plug efficiency’ exceeding 18 % and an ‘average output power’ exceeding 30W;

2. 

A ‘peak power’ exceeding 200 MW; or

3. 

An ‘average output power’ exceeding 50 W; or

2. 

A ‘pulse duration’ exceeding 1 μs and having any of the following:

a. 

A single transverse mode output and having any of the following:

1. 

A ‘wall-plug efficiency’ exceeding 12 % and an ‘average output power’ exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or

2. 

An ‘average output power’ exceeding 20 W; or

b. 

A multiple transverse mode output and having any of the following:

1. 

A ‘wall-plug efficiency’ exceeding 18 % and an ‘average output power’ exceeding 30 W; or

2. 

An ‘average output power’ exceeding 500 W;

e. 

Non-‘tunable’ continuous wave ‘(CW) lasers’, having an output wavelength exceeding 975 nm but not exceeding 1 150  nm and having any of the following:

1. 

A single transverse mode output and having any of the following:

a. 

A ‘wall-plug efficiency’ exceeding 12 % and an ‘average output power’ exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or

b. 

An ‘average output power’ exceeding 50 W; or

2. 

A multiple transverse mode output and having any of the following:

a. 

A ‘wall-plug efficiency’ exceeding 18 % and an ‘average output power’ exceeding 30 W; or

b. 

An ‘average output power’ exceeding 500 W;

Note: X.A.IV.005.e.2.b does not control multiple transverse mode, industrial ‘lasers’ with output power less than or equal to 2 kW with a total mass greater than 1 200 kg. For the purpose of this note, total mass includes all components required to operate the ‘laser’, e.g., ‘laser’, power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery.

f. 

Non-‘tunable’‘lasers’, having a wavelength exceeding 1 400  nm, but not exceeding 1 555  nm and having any of the following:

1. 

An output energy exceeding 100 mJ per pulse and a pulsed ‘peak power’ exceeding 1 W; or

2. 

An average or CW output power exceeding 1 W;

g. 

Free electron ‘lasers’.

Technical Note: For the purpose of X.A.IV.005 ‘Wall-plug efficiency’ is defined as the ratio of "laser" output power (or "average output power") to total electrical input power required to operate the "laser", including the power supply/conditioning and thermal conditioning/heat exchanger.

X.A.IV.006 

‘Magnetometers’, ‘Superconductive’ electromagnetic sensors, and specially designed components therefor, as follows:

a. 

‘Magnetometers’, other than those specified in the CML or in Regulation (EU) 2021/821, having a ‘sensitivity’ lower (better) than 1,0 nT (rms) per square root Hz.

Technical Note: For the purposes of X.A.IV.006.a, ‘sensitivity’ (noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

b. 

‘Superconductive’ electromagnetic sensors, components manufactured from ‘superconductive’ materials:

1. 

Designed for operation at temperatures below the ‘critical temperature’ of at least one of their ‘superconductive’ constituents (including Josephson effect devices or ‘superconductive’ quantum interference devices (SQUIDS));

2. 

Designed for sensing electromagnetic field variations at frequencies of 1 KHz or less; and

3. 

Having any of the following characteristics:

a. 

Incorporating thin-film SQUIDS with a minimum feature size of less than 2 μm and with associated input and output coupling circuits;

b. 

Designed to operate with a magnetic field slew rate exceeding 1 x 106 magnetic flux quanta per second;

c. 

Designed to function without magnetic shielding in the earth’s ambient magnetic field; or

d. 

Having a temperature coefficient less (smaller) than 0,1 magnetic flux quantum/K.

X.A.IV.007 

Gravity meters (gravimeters) for ground use, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:

a. 

Having a static accuracy of less (better) than 100 μGal; or

b. 

Being of the quartz element (Worden) type.

X.A.IV.008 

Radar systems, equipment and major components, other than those specified in the CML or in Regulation (EU) 2021/821, and specially designed components therefor, as follows:

a. 

Airborne radar equipment, other than those specified in the CML or in Regulation (EU) 2021/821, and specially designed components therefor.

b. 

‘Space-qualified’‘laser’ radar or Light Detection and Ranging (LIDAR) equipment specially designed for surveying or for meteorological observation.

c. 

Millimeter wave enhanced vision radar imaging systems specially designed for rotary wing aircraft and having all of the following:

1. 

Operates at a frequency of 94 GHz;

2. 

An average output power of less than 20 mW;

3. 

Radar beam width of 1 degree; and

4. 

Operating range equal to or greater than 1 500  m.

X.A.IV.009 

Specific processing equipment, as follows:

a. 

Seismic detection equipment not controlled by X.A.IV.009.c.

b. 

Radiation hardened TV cameras, other than those specified in the CML or in Regulation (EU) 2021/821.

c. 

Seismic intrusion detection systems that detect, classify and determine the bearing on the source of a detected signal.

X.B.IV.001 

Equipment, including tools, dies, fixtures or gauges, and other specially designed components and accessories therefor, specially designed or modified for any of the following:

a. 

For the manufacture or inspection of:

1. 

Free electron ‘laser’ magnet wigglers;

2. 

Free electron ‘laser’ photo injectors;

b. 

For the adjustment, to required tolerances, of the longitudinal magnetic field of free electron ‘lasers’.

X.C.IV.001 

Optical sensing fibres that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b ( 33 ) and having a zinc content of equal to or more than 6 % by ‘mole fraction.’

Technical Note: For the purpose of X.C.IV.001:

1) 

‘Mole fraction’ is defined as the ratio of moles of ZnTe to the sum of the moles of CdTe and ZnTe present in the crystal.

2) 

‘Beat length’ is the distance over which two orthogonally polarised signals, initially in phase, must pass in order to achieve a 2 Pi radian(s) phase difference.

X.C.IV.002 

Optical materials, as follows:

a. 

Low optical absorption materials, as follows:

1. 

Bulk fluoride compounds containing ingredients with a purity of 99,999 % or better; or

Note: X.C.IV.002.a.1 controls fluorides of zirconium or aluminum and variants.

2. 

Bulk fluoride glass made from compounds controlled by 6C004.e.1 ( 34 );

b. 

‘Optical fibre preforms’ made from bulk fluoride compounds containing ingredients with a purity of 99,999 % or better, ‘specially designed’ for the manufacture of ‘fluoride fibres’ controlled by X.A.IV.004.b.

Technical Note: For the purpose of X.C.IV.002:

1) 

‘Fluoride fibres’ are fibres manufactured from bulk fluoride compounds.

2) 

‘Optical fibre preforms’ are bars, ingots, or rods of glass, plastic or other materials that have been specially processed for use in fabricating optical fibres. The characteristics of the preform determine the basic parameters of the resultant drawn optical fibres.

X.D.IV.001 

‘Software’, other than those specified in the CML or in Regulation (EU) 2021/821, specially designed for the ‘development’, ‘production’, or ‘use’ of goods controlled by 6A002, 6A003 ( 35 ), X.A.IV.001, X.A.IV.006, X.A.IV.007, or X.A.IV.008.

X.D.IV.002 

‘Software’ specially designed for the ‘development’ or ‘production’ of equipment controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005.

X.D.IV.003 

Other ‘software’, as follows:

a. 

Air Traffic Control (ATC) ‘software’ application ‘programs’ hosted on general purpose computers located at Air Traffic Control centers, and capable of automatically handing over primary radar target data (if not correlated with secondary surveillance radar (SSR) data) from the host ATC center to another ATC center.

b. 

‘Software’ specially designed for seismic intrusion detection systems in X.A.IV.009.c.

c. 

‘Source Code’ specially designed for seismic intrusion detection systems in X.A.IV.009.c.

X.E.IV.001 

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.IV.001, X.A.IV.006, X.A.IV.007, X.A.IV.008 or X.A.IV.009.c.

X.E.IV.002 

‘Technology’ for the ‘development’ or ‘production’ of equipment, materials or ‘software’ controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005, X.B.IV.001, X.C.IV.001, X.C.IV.002, or X.D.IV.003.

X.E.IV.003 

Other ‘technology’ as follows:

a. 

Optical fabrication technologies for serially producing optical components at a rate exceeding 10 m2 of surface area per year on any single spindle and having all of the following:

1. 

Area exceeding 1 m2; and

2. 

Surface figure exceeding λ/10 (rms) at the designed wavelength;

b. 

‘Technology’ for optical filters with a bandwidth equal to or less than 10 nm, a field of view (FOV) exceeding 40° and a resolution exceeding 0,75 line pairs per milliradian;

c. 

‘Technology’ for the ‘development’ or ‘production’ of cameras controlled by X.A.IV.003;

d. 

‘Technology’ required for the ‘development’ or ‘production’ of non-triaxial fluxgate ‘magnetometers’ or non-triaxial fluxgate ‘magnetometer’ systems, having any of the following:

1. 

‘Sensitivity’ lower (better) than 0,05 nT (rms) per square root Hz at frequencies of less than 1 Hz; or

2. 

‘Sensitivity’ lower (better) than 1 x 10-3 nT (rms) per square root Hz at frequencies of 1 Hz or more.

e. 

‘Technology’ required for the ‘development’ or ‘production’ of infrared up-conversion devices having all of the following:

1. 

A response in the wavelength range exceeding 700 nm but not exceeding 1 500  nm; and

2. 

A combination of an infrared photodetector, light emitting diode (OLED), and nanocrystal to convert infrared light into visible light.

Technical Note: For the purposes of X.E.IV.003, ‘sensitivity’ (or noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

Category V – Navigation and Avionics

X.A.V.001 

Airborne communication equipment, all "aircraft" inertial navigation systems, and other avionic equipment, including components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note 1: X.A.V.001. does not control headsets or microphones.

Note 2: X.A.V.001. does not control goods for the personal use of the natural persons.

X.B.V.001 

Other equipment specially designed for the test, inspection, or ‘production’ of navigation and avionics equipment.

X.D.V.001 

‘Software’, other than specified in the CML or in Regulation (EU) 2021/821, for the ‘development’, ‘production’, or ‘use’ of navigation, airborne communication and other avionics.

X.E.V.001 

‘Technology’, other than specified in the CML or in Regulation (EU) 2021/821, for the ‘development’, ‘production’ or ‘use’ of navigation, airborne communication, and other avionics equipment.

Category VI – Marine

X.A.VI.001 

Vessels, marine systems or equipment, and specially designed components therefor, components and accessories as follows:

a. 

Underwater vision systems, as follows:

1. 

Television systems (comprising camera, lights, monitoring and signal transmission equipment) having a limiting resolution when measured in air of more than 500 lines and specially designed or modified for remote operation with a submersible vehicle; or

2. 

Underwater television cameras having a limiting resolution when measured in air of more than 700 lines;

Technical Note: Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.

b. 

Photographic still cameras specially designed or modified for underwater use, having a film format of 35 mm or larger, and having autofocusing or remote focusing ‘specially designed’ for underwater use;

c. 

Stroboscopic light systems, specially designed or modified for underwater use, capable of a light output energy of more than 300 J per flash;

d. 

Other underwater camera equipment, other than those specified in the CML or in Regulation (EU) 2021/821;

e. 

Not used;

f. 

Vessels (surface or underwater), including inflatable boats, and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

Note: X.A.VI.001.f does not control vessels on temporary sojourn, used for private transport or for the transport of passengers or goods from or through the customs territory of the Union.

Marine engines (both inboard and outboard) and submarine engines and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

h. 

Self-contained underwater breathing apparatus (scuba gear) and accessories therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

i. 

Life jackets, inflation cartridges, dive compasses and dive computers;

Note: X.A.VI.001.i does not control goods for the personal use of the natural persons.

j. 

Underwater lights and propulsion equipment;

Note: X.A.VI.001.j does not control goods for the personal use of the natural persons.

k. 

Air compressors and filtration system specially designed for filling air cylinders;

X.D.VI.001 

‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.VI.001.

X.D.VI.002 

‘Software’ specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry.

X.E.VI.001 

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.VI.001.

Category VII – Aerospace and Propulsion

X.A.VII.001 

▼M11

Diesel engines, and tractors and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821:

▼M7

a. 

Diesel engines, other than those specified in the CML or in Regulation (EU) 2021/821, for trucks, tractors, and automotive applications, having an overall power output of 298kW or more.

b. 

Off highway wheel tractors of carriage capacity 9 t or more; and major components and accessories, other than those specified in the CML or in Regulation (EU) 2021/821.

c. 

Road tractors for semi-trailers, with single or tandem rear axles rated for 9 t per axel or more and specially designed major components.

Note: X.A.VII.001.b and X.A.VII.001.c do not control vehicles on temporary sojourn, used for private transport or for the transport of passengers or goods from or through the customs territory of the Union.

X.A.VII.002 

Gas turbine engines and components, other than those specified in the CML or in Regulation (EU) 2021/821.

a. 

Not used.

b. 

Not used.

c. 

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Aero gas turbine engines and components specially designed therefor.

▼M7

Note: X.A.VII.002.c does not control aero gas turbine engines that are destined for use in civil ‘aircraft’ and that have been in use in bona fide civil ‘aircraft’ for more than eight years. If they have been in use in bona fide civil ‘aircraft’ for more than eight years, see ANNEX XI.

d. 

Not used.

e. 

Pressurised aircraft breathing equipment components specially designed therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

X.B.VII.001 

Vibration test equipment and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note: X.B.VII.001. controls only equipment for the ‘development’ or ‘production’. It does not control condition monitoring systems.

X.B.VII.002 

Specially designed ‘equipment’, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:

a. 

Automated equipment using non-mechanical methods for measuring airfoil wall thickness;

b. 

Tooling, fixtures or measuring equipment for the ‘laser’, water jet or ECM/EDM hole drilling processes controlled by 9E003.c ( 36 );

c. 

Ceramic core leaching equipment;

d. 

Ceramic core manufacturing equipment or tools;

e. 

Ceramic shell wax pattern preparation equipment;

f. 

Ceramic shell burn out or firing equipment.

X.D.VII.001 

‘Software’, other than those specified in the CML or in Regulation (EU) 2021/821, for the ‘development’ or ‘production’ of equipment controlled by X.A.VII.001 or X.B.VII.001.

X.D.VII.002 

‘Software’, for the ‘development’ or ‘production’ of equipment controlled by X.A.VII.002 or X.B.VII.002.

X.E.VII.001 

‘Technology’, other than those specified in the CML or in Regulation (EU) 2021/821, for the ‘development’ or ‘production’ or ‘use’ of equipment controlled by X.A.VII.001 or X.B.VII.001.

X.E.VII.002 

‘Technology’, for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.VII.002 or X.B.VII.002.

X.E.VII.003 

Other ‘technology’, not described by 9E003 ( 37 ), as follows:

a. 

Rotor blade tip clearance control systems employing active compensating casing ‘technology’ limited to a design and development data base; or

b. 

Gas bearing for turbine engine rotor assemblies.

▼M13

Category VIII – Miscellaneous items

X.A.VIII.001 Equipment for oil production or oil exploration as follows:

a. 

Drill head integrated measurement equipment, including inertial navigation systems for measurement while drilling (MWD);

b. 

Gas monitoring systems and detectors therefor, designed for continuous operation and detection of hydrogen sulphide;

c. 

Equipment for seismological measurements, including reflection seismetics and seismic vibrators;

d. 

Sediment echo sounders.

X.A.VIII.002 Equipment, ‘electronic assemblies’ and components, specially designed for quantum computers, quantum electronics, quantum sensors, quantum processing units, qubit circuits, qubit devices or quantum radar systems, including pockels cells.

Note 1: quantum computers perform computations that harness the collective properties of quantum states, such as superposition, interference and entanglement.

Note 2: Units, circuits and devices include but are not limited to superconducting circuits, Quantum annealing, Ion Trap, photonic interaction, silicon/spin, cold atoms.

X.A.VIII.003 Microscopes, related equipment and detectors as follows:

a. 

Scanning electron microscopes (SEM);

b. 

Scanning auger microscopes;

c. 

Transmission electron microscopes (TEM);

d. 

Atomic force microscopes (AFM);

e. 

Scanning force microscopes (SFM);

f. 

Equipment and detectors, specially designed for use with the microscopes specified in X.A.VIII.003.a to X.A.VIII.0003.e, employing any of the following material analysis techniques:

1. 

X-ray photo spectroscopy (XPS);

2. 

Energy-dispersive X-ray spectroscopy (EDX, EDS) or

3. 

Electron spectroscopy for chemical analysis (ESCA).

X.A.VIII.004 Collector equipment for metal ores in deep seabed.

X.A.VIII.005 Manufacturing equipment and machine tools as follows:

a. 

Additive manufacturing equipment for the ‘production’ of metal parts;

Note: X.A.VIII.005.a only applies to the following systems:

1. 

Powder-bed systems using selective laser melting (SLM), laser cusing, direct metal laser sintering (DMLS) or electron beam melting (EBM), or

2. 

Powder-fed systems using laser cladding, direct energy deposition or laser metal deposition.

b. 

Additive manufacturing equipment for ‘energetic materials’, including equipment using ultrasonic extrusion;

c. 

Vat photopolymerization (VVP) additive manufacturing equipment using stereo lithography (SLA) or digital light processing (DLP).

X.A.VIII.006 Equipment for the ‘production’ of printed electronics for organic light emitting diodes (OLED), organic field-effect transistors (OFET) or organic photovoltaic cells (OPVC).

X.A.VIII.007 Equipment for the ‘production’ of microelectromechanical systems (MEMS) using the mechanical properties of silicon, including sensors in chip format like pressure membranes, bending beams or micro adjustment devices.

X.A.VIII.008 Equipment, specially designed for the production of E-Fuels (electrofuels and synthetic fuels) or ultra efficient solar cells (efficiency > 30 %).

X.A.VIII.009 Equipment for Ultra-High-Vacuum (UHV) as follows:

a. 

UHV pumps (sublimation, turbomolecular, diffusion, cryogenic, ion getter);

b. 

UHV pressure gauges.

Note: UHV means 100 nanoPascals (nPa) or lower.

X.A.VIII.010 ‘Cryogenic refrigeration systems’ designed to maintain temperatures below 1,1 K for 48 hrs or more and related cryogenic refrigeration equipment as follows:

a. 

Pulse Tubes;

b. 

Cryostats;

c. 

Dewars;

d. 

Gas Handling System (GHS);

e. 

Compressors;

f. 

Control Units.

Note: ‘Cryogenic refrigeration systems’ include but are not limited to Dilution Refrigeration, Adiabatic Demagnisation Refrigerators and Laser Cooling Systems.

X.A.VIII.011 ‘Decapsulation’ equipment for semiconductor devices.

Note: ‘Decapsulation’ is the removal of a cap, lid, or encapsulating material from a packaged integrated circuit by mechanical, thermal, or chemical means.

X.A.VIII.012 High Quantum Efficiency (QE) photodetectors with a QE greater than 80 % in the wavelength range exceeding 400 nm but not exceeding 1 600  nm.

X.AVIII.013 Numerical controlled machine tools, having one or more linear axis with a travel length greater than 8 000  mm.

▼M16

X.A.VIII.014 

Water cannon systems for riot or crowd control, and components specially designed therefor.

Note:  X.A.VIII.014 water cannon systems include, for example: vehicles or fixed stations equipped with remotely operated water cannon that are designed to protect the operator from an outside riot with features such as armor, shatter resistant windows, metal screens, bull-bars, or run-flat tires. Components specially designed for water cannons may include, for example: deck gun water nozzles, pumps, reservoirs, cameras, and lights that are hardened or shielded against projectiles, elevating masts for those items, and teleoperation systems for those items.

X.A.VIII.015 

Law enforcement striking weapons, including saps, police batons, side handle batons, tonfas, sjamboks, and whips.

X.A.VIII.016 

Police helmets and shields; and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.VIII.017 

Law enforcement restraint devices, including leg irons, shackles, and handcuffs; straight jackets; stun cuffs; shock belts; shock sleeves; multipoint restraint devices such as restraint chairs; and specially designed components and accessories, other than those specified in the CML or in Regulation (EU) 2021/821.

Note:  X.A.VIII.017 applies to restraint devices used in law enforcement activities. It does not apply to medical devices that are equipped to restrain patient movement during medical procedures. It does not apply to devices that confine memory impaired patients to appropriate medical facilities. It does not apply to safety equipment such as safety belts or child automobile safety seats.

X.A.VIII.018 

Oil and gas exploration equipment, software, and data, as follows (see List of Items Controlled):

a. 

Not used.

b. 

Hydraulic fracturing items, as follows:

1. 

Hydraulic fracturing design and analysis software and data;

2. 

Hydraulic fracturing ‘proppant’, ‘fracking fluid’, and chemical additives therefor; or

3. 

High pressure pumps.

Technical Note:

A ‘proppant’ is a solid material, typically treated sand or man-made ceramic materials, designed to keep an induced hydraulic fracture open, during or following a fracturing treatment. It is added to a ‘fracking fluid’ which may vary in composition depending on the type of fracturing used, and can be gel, foam or slickwater-based.

X.A.VIII.019 

Specific processing equipment, as follows (see List of Items Controlled):

a. 

Ring Magnets;

b. 

Not used.

X.B.VIII.001 

Specific processing equipment, as follows (see List of Items Controlled):

a. 

Hot cells; or

b. 

Glove boxes suitable for use with radioactive materials.

▼M13

X.C.VIII.001 Metal powders and metal alloy powders, usable for any of the systems listed in X.A.VIII.005.a.

X.C.VIII.002 Advanced materials as follows:

a. 

Materials for cloaking or adaptive camouflage;

b. 

Metamaterials, e.g. with a negative refractive index;

c. 

Not used;

d. 

High entropy alloys (HEA);

e. 

Heusler compounds;

f. 

Kitaev materials, including kitaev spin liquids.

X.C.VIII.003 Conjugated polymers (conductive, semiconductive, electroluminescent) for printed or organic electronics.

X.C.VIII.004 Energetic materials as follows and mixtures thereof:

a. 

Ammonium picrate (CAS 131-74-8);

b. 

Black powder;

c. 

Hexanitrodiphenylamine (CAS 131-73-7);

d. 

Difluoroamine(CAS 10405-27-3);

e. 

Nitrostarch (CAS9056-38-6);

f. 

Not used;

g. 

Tetranitronaphthalene;

h. 

Trinitroanisole;

i. 

Trinitronaphthalene;

j. 

Trinitroxylene;

k. 

N-pyrrolidinone; 1-methyl-2-pyrrolidinone (CAS 872-50-4);

l. 

Dioctylmaleate (CAS 142-16-5);

m. 

Ethylhexylacrylate (CAS 103-11-7);

n. 

Triethylaluminium (TEA) (CAS 97-93-8), trimethylaluminium (TMA) (CAS 75-24-1), and other pyrophoric metal alkyls and aryls of lithium, sodium, magnesium, zinc or boron;

o. 

Nitrocellulose (CAS 9004-70-0);

p. 

Nitroglycerin (or glyceroltrinitrate, trinitroglycerine) (NG) (CAS 55-63-0);

q. 

2,4,6-trinitrotoluene (TNT) (CAS 118-96-7);

r. 

Ethylenediaminedinitrate (EDDN) (CAS 20829-66-7);

s. 

Pentaerythritoltetranitrate (PETN) (CAS 78-11-5);

t. 

Lead azide (CAS 13424-46-9), normal lead styphnate(CAS 15245-44-0) and basic lead styphnate (CAS 12403-82-6), and primary explosives or priming compositions containing azides or azide complexes;

u. 

Not used;

v. 

Not used;

w. 

Diethyldiphenylurea (CAS 85-98-3); dimethyldiphenylurea(CAS 611-92-7); methylethyldiphenyl urea.

x. 

N,N-diphenylurea (unsymmetrical diphenylurea) (CAS 603-54-3);

y. 

Methyl-N,N-diphenylurea (methyl unsymmetrical diphenylurea)(CAS 13114-72-2);

z. 

Ethyl-N,N-diphenylurea (ethyl unsymmetrical diphenylurea) (CAS 64544-71-4);

aa. 

Not used;

bb. 

4-Nitrodiphenylamine (4-NDPA)(CAS 836-30-6);

cc. 

2,2-dinitropropanol (CAS 918-52-5);

dd. 

Not used.

X.D.VIII.001 Software, specially designed for the ‘development’, ‘production’ or ‘use’ of equipment specified in X.A.VIII.005 to X.A.VIII.0013.

X.D.VIII.002 Software, specially designed for the ‘development’, ‘production’ or ‘use’ of equipment, ‘electronic assemblies’ or components specified in X.A.VIII.002.

X.D.VIII.003 Software for digital twins of additive manufacturing products or for the determination of the reliability of additive manufacturing products.

▼M16

X.D.VIII.004 

‘Software’ specially designed for the ‘development,’‘production’ or ‘use’ of commodities controlled by X.A.VIII.014.

X.D.VIII.005 

Specific software, as follows (see List of Items Controlled):

a. 

Software for neutronic calculations/modeling;

b. 

Software for radiation transport calculations/modeling; or

c. 

Software for hydrodynamic calculations/modeling.

▼M13

X.E.VIII.001 Technology for the ‘development’, ‘production’ or ‘use’ of equipment specified in X.A.VIII.001 to X.A.VIII.0013.

X.E.VIII.002 Technology for the ‘development’, ‘production’ or ‘use’ of materials specified in X.C.VIII.002 or X.C.VIII.003

X.E.VIII.003 Technology for digital twins of additive manufacturing products, for the determination of the reliability of additive manufacturing products or for software specified in X.D.VIII.003.

X.E.VIII.004 Technology for the ‘development’, ‘production’ or ‘use’ of software specified in X.D.VIII.001 to X.D.VIII.002.

▼M16

X.E.VIII.005 

‘Technology’‘required’ for the ‘development’ or ‘production’ of commodities controlled by X.A.VIII.014.

X.E.VIII.006 

‘Technology’ exclusively for the ‘development’ or ‘production’ of equipment controlled by X.A.VIII.017.

▼M15

Category IX – Special Materials and Related Equipment

▼M16

X.A.IX.001 

Chemical agents, including tear gas formulation containing 1 % or less of orthochlorobenzalmalononitrile (CS), or 1 % or less of chloroacetophenone (CN), except in individual containers with a net weight of 20 g or less; liquid pepper except when packaged in individual containers with a net weight of 85,05 g or less; smoke bombs; non-irritant smoke flares, canisters, grenades and charges; and other pyrotechnic articles having dual military and commercial use, and components specially designed therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.IX.002 

Fingerprinting powders, dyes, and inks.

X.A.IX.003 

Protective and detection equipment not specially designed for military use and not controlled by 1A004 or 2B351, as follows (see List of Items Controlled), and components not specially designed for military use and not controlled by 1A004 or 2B351 therefor:

a. 

Personal radiation monitoring dosimeters; or

b. 

Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.

Note:  X.A.IX.003 does not control items for protection against chemical or biological agents that are consumer goods, packaged for retail sale or personal use, or medical products, such as latex exam gloves, latex surgical gloves, liquid disinfectant soap, disposable surgical drapes, surgical gowns, surgical foot covers, and surgical masks.

X.A.IX.004 

Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Radiation detection, monitoring and measurement equipment, other than those specified in the CML or in Regulation (EU) 2021/821; or

b. 

Radiographic detection equipment such as X-ray converters, and storage phosphor image plates.

X.B.IX.001 

Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Electrolytic cells for fluorine production, other than those specified in the CML or in Regulation (EU) 2021/821;

b. 

Particle accelerators;

c. 

Industrial process control hardware/systems designed for power industries, other than those specified in the CML or in Regulation (EU) 2021/821; or

e. 

Equipment for the production of structural composites, fibres, prepregs and preforms.

▼M15

X.C.IX.001 

Separate chemically defined compounds according to Note 1 to Chapters 28 and 29 of the Combined Nomenclature:

a. 

In concentrations of 95 % weight or greater, as follows:

1. 

Ethylene dichloride (CAS 107-06-2);

2. 

Nitromethane (CAS 75-52-5);

3. 

Picric acid (CAS 88-89-1);

4. 

Aluminium chloride (CAS 7446-70-0);

5. 

Arsenic (CAS 7440-38-2);

6. 

Arsenic trioxide (CAS 1327-53-3);

7. 

Bis(2-chloroethyl)ethylamine hydrochloride (CAS 3590-07-6);

8. 

Bis(2-chloroethyl)methylamine hydrochloride (CAS 55-86-7);

9. 

Tris(2-chloroethyl)amine hydrochloride (CAS 817-09-4);

10. 

Tributylphosphite (CAS 102-85-2);

11. 

Isocyanatomethane (CAS 624-83-9);

12. 

Quinaldine (CAS 91-63-4);

13. 

2-bromochloroethane (CAS 107-04-0);

14. 

Benzil (CAS 134-81-6);

15. 

Diethyl ether (CAS 60-29-7);

16. 

Dimethyl ether (CAS 115-10-6);

17. 

Dimethylaminoethanol (CAS 108-01-0);

18. 

2-methoxyethanol (CAS 109-86-4);

19. 

Butyrylcholinesterase (BCHE);

20. 

Diethylenetriamine (CAS 111-40-0);

21. 

Dichloromethane (CAS 75-09-2);

22. 

Dimethylaniline (CAS 121-69-7);

23. 

Ethyl bromide (CAS 74-96-4);

24. 

Ethyl chloride (CAS 75-00-3);

25. 

Ethylamine (CAS 75-04-7);

26. 

Hexamine (CAS 100-97-0);

27. 

Isopropanol (CAS 67- 63-0);

28. 

Isopropyl bromide (CAS 75-26-3);

29. 

Isopropyl ether (CAS 108-20-3);

30. 

Methylamine (CAS 74-89-5);

31. 

Methyl bromide (CAS 74-83-9);

32. 

Monoisopropylamine (CAS 75-31-0);

33. 

Obidoxime chloride (CAS 114-90-9);

34. 

Potassium bromide (CAS 7758-02-3);

35. 

Pyridine (CAS 110-86-1);

36. 

Pyridostigmine bromide (CAS 101-26-8);

37. 

Sodium bromide (CAS 7647-15-6);

38. 

Sodium metal (CAS 7440-23-5);

39. 

Tributylamine (CAS 102-82-9);

40. 

Triethylamine (CAS 121-44-8); or

41. 

Trimethylamine (CAS 75-50-3).

b. 

In concentrations of 90 % weight or greater, as follows:

1. 

Acetone (CAS 67-64-1);

2. 

Acetylene (CAS 74-86-2);

3. 

Ammonia (CAS 7664-41-7);

4. 

Antimony (CAS 7440-36-0);

5. 

Benzaldehyde (CAS 100-52-7);

6. 

Benzoin (CAS 119-53-9);

7. 

1-Butanol (CAS 71-36-3);

8. 

2-Butanol (CAS 78-92-2);

9. 

Iso-Butanol (CAS 78-83-1);

10. 

Tert-Butanol (CAS 75-65-0);

11. 

Calcium carbide (CAS 75-20-7);

12. 

Carbon monoxide (CAS 630-08-0);

13. 

Chlorine (CAS 7782-50-5);

14. 

Cyclohexanol (CAS 108-93-0);

15. 

Dicyclohexylamine (CAS 101-83-7);

16. 

Ethanol (CAS 64-17-5);

17. 

Ethylene (CAS 74-85-1);

18. 

Ethylene oxide (CAS 75-21-8);

19. 

Fluoroapatite (CAS 1306-05-4);

20. 

Hydrogen chloride (CAS 7647-01-0);

21. 

Hydrogen sulfide (CAS 7783-06-4);

22. 

Mandelic acid (CAS 90-64-2);

23. 

Methanol (CAS 67-56-1);

24. 

Methyl chloride (CAS 74-87-3);

25. 

Methyl iodide (CAS 74-88-4);

26. 

Methyl mercaptan (CAS 74-93-1);

27. 

Monoethyleneglycol (CAS 107-21-1);

28. 

Oxalyl chloride (CAS 79-37-8);

29. 

Potassium sulphide (CAS 1312-73-8);

30. 

Potassium thiocyanate (CAS 333-20-0);

31. 

Sodium hypochlorite (CAS 7681-52-9);

32. 

Sulphur (CAS 7704-34-9);

33. 

Sulphur dioxide (CAS 7446-09-5);

34. 

Sulphur trioxide (CAS 7446-11-9);

35. 

Thiophosphoryl chloride (CAS 3982-91-0);

36. 

Tri-isobutyl phosphite (CAS 1606-96-8);

37. 

White phosphorus (CAS 12185-10-3); or

38. 

Yellow phosphorus (CAS 7723-14-0).

X.C.IX.002 

Fentanyl and its derivatives Alfentanil, Sufentanil, Remifentanil, Carfentanil, and salts thereof.

Note:

X.C.IX.002 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

X.C.IX.003 

Chemical precursors to Central Nervous System Acting Chemicals, as follows:

a. 

4-anilino-N-phenethylpiperidine (CAS 21409-26-7); or

b. 

N-phenethyl-4-piperidone (CAS 39742-60-4).

Notes:

1.   X.C.IX.003 does not control "chemical mixtures" containing one or more of the chemicals specified in entry X.C.IX.003 in which no individually specified chemical constitutes more than 1 % by the weight of the mixture.

2.   X.C.IX.003 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

▼M16

X.C.IX.004 

Fibrous and filamentary materials, not controlled by 1C010 or 1C210, for use in ‘composite’ structures and with a specific modulus of 3,18 x 106 m or greater and a specific tensile strength of 7,62 x 104 m or greater.

X.C.IX.005 

‘Vaccines’, ‘immunotoxins’, ‘medical products’, ‘diagnostic and food testing kits’, as follows (see List of Items controlled):

a. 

‘Vaccines’ containing, or designed for use against, items controlled by 1C351, 1C353 or 1C354;

b. 

‘Immunotoxins’ containing items controlled by 1C351.d; or

c. 

‘Medical products’ that contain any of the following:

1. 

‘Toxins’ controlled by 1C351.d (except for botulinum toxins controlled by 1C351.d.1, conotoxins controlled by 1C351.d.3, or items controlled for CW reasons under 1C351.d.4 or .d.5); or

2. 

Genetically modified organisms or genetic elements controlled by 1C353.a.3 (except for those that contain, or code for, botulinum toxins controlled by 1C351.d.1 or conotoxins controlled by 1C351.d.3);

d. 

‘Medical products’ not controlled by X.C.IX.005.c that contain any of the following:

1. 

Botulinum toxins controlled by 1C351.d.1;

2. 

Conotoxins controlled by 1C351.d.3; or

3. 

Genetically modified organisms or genetic elements controlled by 1C353.a.3 that contain, or code for, botulinum toxins controlled by 1C351.d.1 or conotoxins controlled by 1C351.d.3; or

e. 

‘Diagnostic and food testing kits’ containing items controlled by 1C351.d (except for items controlled for CW reasons under 1C351.d.4 or .d.5).

Technical Notes:

1.   ‘Medical products’ are: (1) pharmaceutical formulations designed for testing and human (or veterinary) administration in the treatment of medical conditions, (2) prepackaged for distribution as clinical or medical products, and (3) approved by the European Medicines Agency (EMA) either to be marketed as clinical or medical products or for use as research new drug.

2.   ‘Diagnostic and food testing kits’ are specifically developed, packaged and marketed for diagnostic or public health purposes. Biological toxins in any other configuration, including bulk shipments, or for any other end-uses are controlled by 1C351.

X.C.IX.006 

Commercial charges and devices containing energetic materials, other than those specified in the CML or in Regulation (EU) 2021/821, and nitrogen trifluoride in a gaseous state (see List of Items Controlled):

a. 

Shaped charges specially designed for oil well operations, utilizing one charge functioning along a single axis, that upon detonation produce a hole, and

1. 

Contain any formulation of ‘controlled materials’;

2. 

Have only a uniform shaped conical liner with an included angle of 90 degrees or less;

3. 

Contain more than 0,010 kg but less than or equal to 0,090 kg of ‘controlled materials’; and

4. 

Have a diameter not exceeding 114,3 cm;

b. 

Shaped charges specially designed for oil well operations containing less than or equal to 0,010 kg of ‘controlled materials’;

c. 

Detonation cord or shock tubes containing less than or equal to 0,064 kg/m of ‘controlled materials’;

d. 

Cartridge power devices, that contain less than or equal to 0,70 kg of ‘controlled materials’ in the deflagration material;

e. 

Detonators (electric or nonelectric) and assemblies thereof, that contain less than or equal to 0,01 kg of ‘controlled materials’;

f. 

Igniters, that contain less than or equal to 0,01 kg of ‘controlled materials’;

g. 

Oil well cartridges, that contain less than or equal to 0,015 kg of controlled ‘energetic materials’;

h. 

Commercial cast or pressed boosters containing less than or equal to 1,0 kg of ‘controlled materials’;

i. 

Commercial prefabricated slurries and emulsions containing less than or equal to 10,0 kg and less than or equal to 35 % by weight of ML8 ‘controlled materials’;

j. 

Cutters and severing tools containing less than or equal to 3,5 kg of ‘controlled materials’;

k. 

Pyrotechnic devices when designed exclusively for commercial purposes (e.g., theatrical stages, motion picture special effects, and fireworks displays) and containing less than or equal to 3,0 kg of ‘controlled materials’;

l. 

Other commercial explosive devices and charges not controlled by X.C.IX.006.a through .k containing less than or equal to 1,0 kg of ‘controlled materials’; or

Note:   X.C.IX.006.l includes automotive safety devices; extinguishing systems; cartridges for riveting guns; explosive charges for agricultural, oil and gas operations, sporting goods, commercial mining, or public works purposes; and delay tubes used in the assembly of commercial explosive devices.

m. 

Nitrogen trifluoride (NF3) in a gaseous state.

Notes:

1.   ‘Controlled materials’ means controlled energetic materials (see 1C011, 1C111, 1C239 or ML8).

2.   Nitrogen trifluoride when not in a gaseous state is controlled under ML8.d by the CML.

X.C.IX.007 

Mixtures not controlled by 1C350 or 1C450 that contain chemicals controlled by 1C350 or 1C450 and medical, analytical, diagnostic, and food testing kits not controlled by 1C350 or 1C450 that contain chemicals controlled by 1C350, as follows (see List of Items Controlled):

a. 

Mixtures containing the following concentrations of precursor chemicals controlled by 1C350:

1. 

Mixtures containing 10 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C350;

2. 

Mixtures containing less than 30 %, by weight, of:

a. 

Any single CWC Schedule 3 chemical controlled by 1C350; or

b. 

Any single non-CWC precursor chemical controlled by 1C350;

b. 

Mixtures containing the following concentrations of toxic or precursor chemicals controlled by 1C450:

1. 

Mixtures containing the following concentrations of CWC Schedule 2 chemicals controlled by 1C450:

a. 

Mixtures containing 1 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.a.1 and a.2 (i.e., mixtures containing Amiton or PFIB); or

b. 

Mixtures containing 10 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.b.1, b.2, b.3, b.4, b.5, or b.6;

2. 

Mixtures containing less than 30 %, by weight, of any single CWC Schedule 3 chemical controlled by 1C450.a.4, a.5., a.6., a.7, or 1C450.b.8;

c. 

‘Medical, analytical, diagnostic, and food testing kits’ that contain precursor chemicals controlled by 1C350 in an amount not exceeding 300 grams per chemical.

Technical Note:

For the purpose of this entry, ‘medical, analytical, diagnostic, and food testing kits’ are pre-packaged materials of defined composition that are specifically developed, packaged and marketed for medical, analytical, diagnostic, or public health purposes. Replacement reagents for medical, analytical, diagnostic, and food testing kits described in X.C.IX.007.c are controlled by 1C350 if the reagents contain at least one of the precursor chemicals identified in that entry in concentrations equal to or greater than the control levels for mixtures indicated in 1C350.

X.C.IX.008 

Non-fluorinated polymeric substances, not controlled by 1C008, as follows (see List of Items Controlled):

a. 

Polyarylene ether ketones, as follows:

1. 

Polyether ether ketone (PEEK);

2. 

Polyether ketone ketone (PEKK);

3. 

Polyether ketone (PEK); or

4. 

Polyether ketone ether ketone ketone (PEKEKK);

b. 

Not used.

X.C.IX.009 

Specific materials, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Hardened steel and tungsten carbide precision ball bearings (3 mm or greater diameter);

b. 

304 and 316 stainless steel plate, other than those specified in the CML or in Regulation (EU) 2021/821;

c. 

Monel plate;

d. 

Tributyl phosphate (CAS 126-73-8);

e. 

Nitric acid (CAS 7697-37-2) in concentrations of 20 % weight or greater;

f. 

Fluorine (CAS 7782-41-4); or

g. 

Alpha-emitting radionuclides, other than those specified in the CML or in Regulation (EU) 2021/821.

X.C.IX.010 

Aromatic polyamides (aramids) not controlled by 1C010, 1C210 or X.C.IX.004, presented in any of the following forms (see List of Items Controlled):

a. 

Primary forms;

b. 

Filament yarn or monofilaments;

c. 

Filament tows;

d. 

Rovings;

e. 

Staple or chopped fibres;

f. 

Fabrics;

g. 

Pulp or flocks.

X.C.IX.011 

Nanomaterials as follows (see List of Items Controlled):

a. 

Semiconductor nanomaterials;

b. 

Composite-based nanomaterials; or

c. 

Any of the following carbon-based nanomaterials:

1. 

Carbon nanotubes;

2. 

Carbon nanofibres;

3. 

Fullerenes;

4. 

Graphenes; or

5. 

Carbon onions.

Notes:  For the purpose of X.C.IX.011, nanomaterial means a material that meets at least one of the following criteria:

1.   Consists of particles, with one or more external dimensions in the size range 1 - 100 nm for more than 1 % of their number size distribution;

2.   Has internal or surface structures in one or more dimensions in the size range 1 - 100 nm; or

3.   Has a specific surface area by volume greater than 60 m2/cm3, excluding materials consisting of particles with a size lower than 1 nm.

X.D.IX.001 

Specific software, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Software specially designed for industrial process control hardware/systems controlled by X.B.IX.001, other than those specified in the CML or in Regulation (EU) 2021/821; or

b. 

Software specially designed for equipment for the production of structural composites, fibres, prepregs and preforms controlled by X.B.IX.001, other than those specified in the CML or in Regulation (EU) 2021/821.

X.E.IX.001 

‘Technology’ for the ‘development’, ‘production’, or ‘use’ of fibrous and filamentary materials controlled by X.C.IX.004 and X.C.IX.010.

X.E.IX.002 

‘Technology’ for the ‘development’, ‘production’, or ‘use’ of nanomaterials controlled by X.C.IX.011.

▼M15

Category X – Materials Processing

▼M16

X.A.X.001 

Explosives or detonator detection equipment, both bulk and trace based, consisting of an automated device, or combination of devices for automated decision making to detect the presence of different types of explosives, explosive residue, or detonators; and components, other than those specified in the CML or in Regulation (EU) 2021/821:

a. 

Explosives detection equipment for ‘automated decision making’ to detect and identify bulk explosives utilizing, but not limited to, X-ray (e.g., computed tomography, dual energy, or coherent scattering), nuclear (e.g., thermal neutron analysis, pulse fast neutron analysis, pulse fast neutron transmission spectroscopy, and gamma resonance absorption), or electromagnetic techniques (e.g., quadropole resonance and dielectrometry);

b. 

Not used;

c. 

Detonator detection equipment for automated decision making to detect and identify initiation devices (e.g. detonators, blasting caps) utilizing, but not limited to, X-ray (e.g. dual energy or computed tomography) or electromagnetic techniques.

Note:  Explosives or detonation detection equipment in X.A.X.001 includes equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.

Technical Notes:

1.   ‘Automated decision making is the ability of the equipment to detect explosives or detonators at the design or operator-selected level of sensitivity and provide an automated alarm when explosives or detonators at or above the sensitivity level are detected.

2.   This entry does not control equipment that depends on operator interpretation of indicators such as inorganic/organic color mapping of the items(s) being scanned.

3.   Explosives and detonators include commercial charges and devices controlled by X.C.VIII.004 and X.C.IX.006 and energetic materials controlled by 1C011, 1C111 and 1C239.

X.A.X.002 

Concealed object detection equipment operating in the frequency range from 30 GHz to 3 000  GHz and having a spatial resolution of 0,1 mrad (milliradian) up to and including 1 mrad (milliradian) at a standoff distance of 100 m; and components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note:  Concealed object detection equipment includes but is not limited to equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.

Technical Note:

The range of frequencies span what is generally considered as the millimetre-wave, submillimetre-wave and terahertz frequency regions.

X.A.X.003 

Bearings and bearing systems not controlled by 2A001 (see List of Items Controlled):

a. 

Ball bearings or Solid ball bearings, having tolerances specified by the manufacturer in accordance with ABEC 7, ABEC 7P, or ABEC 7T or ISO Standard Class 4 or better (or equivalents) and having any of the following characteristics;

1. 

Manufactured for use at operating temperatures above 573 K (300°C) either by using special materials or by special heat treatment; or

2. 

With lubricating elements or component modifications that, according to the manufacturer's specifications, are specially designed to enable the bearings to operate at speeds exceeding 2,3 million ‘DN’;

b. 

Solid tapered roller bearings, having tolerances specified by the manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or Class A (metric) or better (or equivalents) and having either of the following characteristics;

1. 

With lubricating elements or component modifications that, according to the manufacturer's specifications, are specially designed to enable the bearings to operate at speeds exceeding 2,3 million ‘DN’; or

2. 

Manufactured for use at operating temperatures below 219 K (-54°C) or above 423 K (150°C);

c. 

Gas-lubricated foil bearing manufactured for use at operating temperatures of 561 K (288°C) or higher and a unit load capacity exceeding 1 MPa;

d. 

Active magnetic bearing systems;

e. 

Fabric-lined self-aligning or fabric-lined journal sliding bearings manufactured for use at operating temperatures below 219 K (-54°C) or above 423 K (150°C).

Technical Notes:

1.   ‘DN’ is the product of the bearing bore diameter in mm and the bearing rotational velocity in rpm.

2.   Operating temperatures include those temperatures obtained when a gas turbine engine has stopped after operation

X.A.X.004 

Piping, fittings and valves made of, or lined with stainless, copper-nickel alloy or other alloy steel containing 10 % or more nickel and/or chromium:

a. 

Pressure tube, pipe, and fittings of 200 mm or more inside diameter, and suitable for operation at pressures of 3,4 MPa or greater;

b. 

Pipe valves having all of the following characteristics that are not controlled by 2B350.g:

1. 

A pipe size connection of 200 mm or more inside diameter; and

2. 

Rated at 10,3 MPa or more.

Notes:

1.   See X.D.X.005 for software for items controlled under this entry.

2.   See 2E001 (‘development’), 2E002 (‘production’), and X.E.X.003 (‘use’) for technology for items controlled under this entry.

3.   See related controls 2A226, 2B350 and X.B.X.010.

X.A.X.005 

Pumps designed to move molten metals by electromagnetic forces.

Notes:

1.   See X.D.X.005 for software for items controlled under this entry.

2.   See 2E001 (‘development’), 2E002 (‘production’), and X.E.X.003 (‘use’) for technology for items controlled under this entry.

3.   Pumps for use in liquid-metal-cooled reactors are controlled by 0A001.

X.A.X.006 

‘Portable electric generators’ and specially designed components.

Technical Note:

‘Portable electric generators’ – The generators that are in X.A.X.006 are portable – 2 268 kg or less on wheels or transportable in a 2,5 tonnes truck without a special set up requirement.

X.A.X.007 

Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Bellows sealed valves;

b. 

Not used.

▼M15

X.B.X.001 

‘Continuous flow reactors’ and their ‘modular components’.

Technical Notes:

1.   For the purposes of X.B.X.001, ‘continuous flow reactors’ consist in plug and play systems where reactants are continuously fed into the reactor and the resultant product is collected at the outlet.

2.   For purposes of X.B.X.001, ‘modular components’ are fluidic modules, liquid pumps, valves, packed-bed modules, mixer modules, pressure gauges, liquid-liquid separators, etc.

X.B.X.002 

Nucleic acid assemblers and synthesizers not controlled by 2B352.i, which are partly or entirely automated, and designed to generate nucleic acids greater than 50 bases.

X.B.X.003 

Automated peptide synthesizers capable to work under controlled atmosphere conditions.

▼M16

X.B.X.004 

Numerical control units for machine tools and ‘numerically controlled’ machine tools, other than those specified in the CML or in Regulation (EU) 2021/821 (see List of Items Controlled):

a. 

‘Numerical control’ units for machine tools:

1. 

Having four interpolating axes that can be coordinated simultaneously for contouring control; or

2. 

Having two or more axes that can be coordinated simultaneously for contouring control and a minimum programmable increment better (less) than 0,001 mm;

3. 

‘Numerical control’ units for machine tools having two, three or four interpolating axes that can be coordinated simultaneously for contouring control, and capable of receiving directly (on-line) and processing computer-aided-design (CAD) data for internal preparation of machine instructions; or

b. 

Motion control boards specially designed for machine tools and having any of the following characteristics:

1. 

Interpolation in more than four axes;

2. 

Capable of real-time processing of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:

a. 

Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data; or

b. 

Adaptive control with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process; or

3. 

Capable of receiving and processing CAD data for internal preparation of machine instructions;

c. 

‘Numerically controlled’ machine tools that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous contouring control in two or more axes and that have both of the following characteristics:

1. 

Two or more axes that can be coordinated simultaneously for contouring control; and

2. 

Positioning accuracies according to ISO 230/2 (2006), with all compensations available:

a. 

Better than 15 μm along any linear axis (overall positioning) for grinding machines;

b. 

Better than 15 μm along any linear axis (overall positioning) for milling machines; or

c. 

Better than 15 μm along any linear axis (overall positioning) for turning machines; or

d. 

Machine tools, as follows, for removing or cutting metals, ceramics or composites, that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous contouring control in two or more axes:

1. 

Machine tools for turning, grinding, milling or any combination thereof, having two or more axes that can be coordinated simultaneously for contouring control and having any of the following characteristics:

a. 

One or more contouring ‘tilting spindles’;

Note:  X.B.X.004.d.1.a. applies to machine tools for grinding or milling only.

b. 

‘Camming’ (axial displacement) in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR);

Note:  X.B.X.004.d.1.b. applies to machine tools for turning only.

c. 

‘Run out’ (out-of-true running) in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR); or

d. 

The ‘positioning accuracies’, with all compensations available, are less (better) than: 0,001° on any rotary axis;

2. 

Electrical discharge machines (EDM) of the wire feed type that have five or more axes that can be coordinated simultaneously for contouring control.

X.B.X.005 

Non-‘numerically controlled’ machine tools for generating optical quality surfaces, (see List of Items Controlled) and specially designed components therefor:

a. 

Turning machines using a single point cutting tool and having all of the following characteristics:

1. 

Slide positioning accuracy less (better) than 0,0005 mm per 300 mm of travel;

2. 

Bidirectional slide positioning repeatability less (better) than 0,00025 mm per 300 mm of travel;

3. 

Spindle ‘run out’ and ‘camming’ less (better) than 0,0004 mm total indicator reading (TIR);

4. 

Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and

5. 

Slide perpendicularity less (better) than 0,001 mm per 300 mm of travel;

Technical Note:

The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in part 2.11 of ISO 230/2: 1988.

b. 

Fly cutting machines having all of the following characteristics:

1. 

Spindle ‘run out’ and ‘camming’ less (better) than 0,0004 mm TIR; and

2. 

Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.

X.B.X.006 

Gearmaking and/or finishing machinery not controlled by 2B003 capable of producing gears to a quality level of better than AGMA 11.

X.B.X.007 

Dimensional inspection or measuring systems or equipment not controlled by 2B006 or 2B206, as follows (see List of Items Controlled):

a. 

Manual dimensional inspection machines, having both of the following characteristics:

1. 

Two or more axes; and

2. 

A measurement uncertainty equal to or less (better) than (3 + L/300) μm in any axes (L measured length in mm).

X.B.X.008 

‘Robots’ not controlled by 2B007 or 2B207 that are capable of employing feedback information in real-time processing from one or more sensors to generate or modify programs or to generate or modify numerical program data.

X.B.X.009 

Assemblies, circuit boards or inserts specially designed for machine tools controlled by X.B.X.004, or for equipment controlled by X.B.X.006, X.B.X.007 or X.B.X.008:

a. 

Spindle assemblies, consisting of spindles and bearings as a minimal assembly, with radial (‘run out’) or axial (‘camming’) axis motion in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR);

b. 

Single point diamond cutting tool inserts, having all of the following characteristics:

1. 

Flawless and chip-free cutting edge when magnified 400 times in any direction;

2. 

Cutting radius from 0,1 to 5 mm inclusive; and

3. 

Cutting radius out-of-roundness less (better) than 0,002 mm TIR.

c. 

Specially designed printed circuit boards with mounted components capable of upgrading, according to the manufacturer's specifications, ‘numerical control’ units, machine tools or feed-back devices to or above the levels specified in X.B.X.004, X.B.X.006, X.B.X.007, X.B.X.008, or X.B.X.009.

Technical Note:

This entry does not control measuring interferometer systems, without closed or open loop feedback, containing a laser to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.

X.B.X.010 

Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a. 

Isostatic presses, other than those specified in the CML or in Regulation (EU) 2021/821;

b. 

Bellows manufacturing equipment, including hydraulic forming equipment and bellows forming dies;

c. 

Laser welding machines;

d. 

MIG welders;

e. 

E-beam welders;

f. 

Monel equipment, including valves, piping, tanks and vessels;

g. 

304 and 316 stainless steel valves, piping, tanks and vessels;

Note:  Fittings are considered part of piping for purposes of X.B.X.010.g.

h. 

Mining and drilling equipment, as follows:

1. 

Large boring equipment capable of drilling holes greater than 61 cm in diameter;

2. 

Large earth-moving equipment used in the mining industry;

i. 

Electroplating equipment designed for coating parts with nickel or aluminum;

j. 

Pumps designed for industrial service and for use with an electrical motor of 5 HP or greater;

k. 

Vacuum valves, piping, flanges, gaskets and related equipment specially designed for use in high-vacuum service, other than those specified in the CML or in Regulation (EU) 2021/821;

l. 

Spin forming and flow forming machines, other than those specified in the CML or in Regulation (EU) 2021/821;

m. 

Centrifugal multiplane balancing machines, other than those specified in the CML or in Regulation (EU) 2021/821;

n. 

Austenitic stainless steel plate, valves, piping, tanks and vessels.

X.D.X.001 

‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment controlled by X.A.X.001.

X.D.X.002 

‘Software’‘required’ for the ‘development’, ‘production’ or ‘use’ of concealed object detection equipment controlled by X.A.X.002.

X.D.X.003 

‘Software’ specially designed for the ‘development’, ‘production’, or ‘use’ of equipment controlled by X.B.X.004, X.B.X.006, or X.B.X.007, X.B.X.008, and X.B.X.009.

X.D.X.004 

Specific ‘software’, as follows (see List of Items Controlled):

a. 

‘Software’ to provide adaptive control and having both of the following characteristics:

1. 

For flexible manufacturing units (FMUs); and

2. 

Capable of generating or modifying, in real-time processing, programs or data by using the signals obtained simultaneously by means of at least two detection techniques, such as:

a. 

Machine vision (optical ranging);

b. 

Infrared imaging;

c. 

Acoustical imaging (acoustical ranging);

d. 

Tactile measurement;

e. 

Inertial positioning;

f. 

Force measurement; and

g. 

Torque measurement.

Note:  X.D.X.004.a does not control ‘software’ which only provides rescheduling of functionally identical equipment within ‘flexible manufacturing units’ using pre-stored part programs and a pre-stored strategy for the distribution of the part programs.

b. 

Not used.

X.D.X.005 

‘Software’ specially designed or modified for the ‘development,’‘production,’ or ‘use’ of items controlled by X.A.X.004 or X.A.X.005.

Note:  See 2E001 (‘development’) for ‘technology’ for ‘software’ controlled under this entry.

X.D.X.006 

‘Software’ specially designed for the ‘development’ or ‘production’ of portable electric generators controlled by X.A.X.006.

X.E.X.001 

‘Technology’‘required’ for the ‘development, ‘production’ or ‘use’ of equipment controlled by X.A.X.002 or required for the ‘development’ of ‘software’ controlled by X.D.X.002.

Note:  See X.A.X.002 and X.D.X.002 for related commodity and software controls.

X.E.X.002 

‘Technology’ for the ‘use’ of equipment controlled by X.B.X.004, X.B.X.006, X.B.X.007, or X.B.X.008.

X.E.X.003 

‘Technology’ according to the General Technology Note for the ‘use’ of equipment controlled by X.A.X.004 or X.A.X.005.

X.E.X.004 

‘Technology’ for the ‘use’ of portable electric generators controlled by X.A.X.006.

▼M7




ANNEX VIII

List of partner countries referred to in Articles 2(4), 2a(4) and 2d(4)

THE UNITED STATES OF AMERICA

▼M13

JAPAN

▼M15

UNITED KINGDOM

SOUTH KOREA

▼M16




ANNEX IX

A.   Model for supply, transfer or export notification, application and authorisation forms

(referred to in Article 2c of this Regulation)

The export authorisation is valid in all Member States of the European Union until its expiry date.