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Document 32022R2474

Council Regulation (EU) 2022/2474 of 16 December 2022 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

ST/15384/2022/INIT

OJ L 322I, 16.12.2022, p. 1–314 (BG, ES, CS, DA, DE, ET, EL, EN, FR, GA, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)

Legal status of the document In force

ELI: http://data.europa.eu/eli/reg/2022/2474/oj

16.12.2022   

EN

Official Journal of the European Union

LI 322/1


COUNCIL REGULATION (EU) 2022/2474

of 16 December 2022

amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to Council Decision (CFSP) 2022/2478 of 16 December 2022 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (1),

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

Whereas:

(1)

On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 (2).

(2)

Regulation (EU) No 833/2014 gives effect to certain measures provided for in Council Decision 2014/512/CFSP (3).

(3)

On 16 December 2022 the Council adopted Decision (CFSP) 2022/2478 amending Decision 2014/512/CFSP.

(4)

It is appropriate to extend the list of restricted items which might contribute to Russia’s military and technological enhancement or the development of its defence and security sector, by adding drone engines, further chemical and biological equipment, riot control agents and electronic components.

(5)

Decision (CFSP) 2022/2478 expands the list of entities connected to Russia’s military and industrial complex, on whom tighter export restrictions regarding dual-use goods and technology as well as goods and technology which might contribute to the technological enhancement of Russia’s defence and security sector are imposed by adding 168 new entities. In view of the concrete risk that certain goods or technology are redirected from Crimea or Sevastopol to the Russian Federation, it is also appropriate to include certain Russian-controlled entities based in Crimea or Sevastopol in this list of end-users. This inclusion does not affect the fact that the Union does not recognise and continues to strongly condemn the illegal annexation of Crimea and Sevastopol by the Russian Federation.

(6)

Decision (CFSP) 2022/2478 extends the suspension of the broadcasting licences in the Union of Russian media outlets under the permanent control of the Russian leadership, and the prohibition against broadcasting their content.

(7)

The Russian Federation has engaged in a systematic, international campaign of media manipulation and distortion of facts in order to enhance its strategy of destabilisation of its neighbouring countries and of the Union and its Member States. In particular, the propaganda has repeatedly and consistently targeted European political parties, especially during election periods, as well as civil society, asylum seekers, Russian ethnic minorities, gender minorities, and the functioning of democratic institutions in the Union and its Member States.

(8)

In order to justify and support its aggression against Ukraine, the Russian Federation has engaged in continuous and concerted propaganda actions targeted at civil society in the Union and neighbouring countries, gravely distorting and manipulating facts.

(9)

Those propaganda actions have been channelled through a number of media outlets under the permanent direct or indirect control of the leadership of the Russian Federation. Such actions constitute a significant and direct threat to the Union’s public order and security. Those media outlets are essential and instrumental in bringing forward and supporting the aggression against Ukraine, and for the destabilisation of its neighbouring countries.

(10)

In view of the gravity of the situation, and in response to Russia’s actions destabilising the situation in Ukraine, it is necessary, consistent with the fundamental rights and freedoms recognised in the Charter of Fundamental Rights, in particular with the right to freedom of expression and information as recognised in Article 11 thereof, to introduce further restrictive measures to suspend the broadcasting activities of such media outlets in the Union, or directed at the Union. The measures should be maintained until the aggression against Ukraine is put to an end, and until the Russian Federation, and its associated media outlets, cease to conduct propaganda actions against the Union and its Member States.

(11)

Consistent with the fundamental rights and freedoms recognised in the Charter of Fundamental Rights, in particular with the right to freedom of expression and information, the freedom to conduct a business and the right to property as recognised in Articles 11, 16 and 17 thereof, those measures do not prevent the media outlets and their staff from carrying out activities in the Union other than broadcasting, such as research and interviews. In particular, those measures do not modify the obligation to respect the rights, freedoms and principles referred to in Article 6 of the Treaty on European Union, including in the Charter of Fundamental Rights, and in Member States’ constitutions, within their respective fields of application.

(12)

In order to ensure consistency with the process in Decision 2014/512/CFSP for suspending broadcasting licences, the Council should exercise implementing powers to decide, following an examination of the respective cases, whether the restrictive measures are to become applicable, on the date specified in this Regulation, in respect of several entities listed in Annex XV to this Regulation.

(13)

Decision (CFSP) 2022/2478 furthers the already existing prohibition targeting new investments in the Russian energy sector by additionally prohibiting new investments in the Russian mining sector, with the exception of mining and quarrying activities involving certain critical raw materials.

(14)

It is appropriate to expand the export ban covering goods and technology suited for use in aviation and the space industry to include aircraft engines and their parts. This prohibition as well as the prohibition to land, take off from, or overfly the territory of the Union applies to both manned and unmanned aircrafts. In addition, Decision (CFSP) 2022/2478 introduces a derogation allowing the provision of technical assistance related to the use of goods and technology suited for use in aviation or the space industry, when this is necessary to avoid collision between satellites, or their unintended re-entry into the atmosphere. Moreover, it introduces a possibility for the national competent authorities to grant derogations to allow for certain aviation goods, which are also widely used in the medical field, to be exported for medical, pharmaceutical and humanitarian purposes.

(15)

It is also appropriate to extend the list of goods which could contribute to the enhancement of Russian industrial capacities by including such items as generators, toy drones, laptops, hard drives, IT components, night-vision and radio-navigation equipment, cameras and lenses.

(16)

Decision (CFSP) 2022/2478 extends for an additional six months the exemption applicable to the imports of methanol originating in or exported from Russia.

(17)

Regulation (EU) No 833/2014 contains a prohibition to import crude oil from Russia, whether by pipeline or via maritime transport. Regulation (EU) No 833/2014 also provides for temporary derogations for imports by pipeline, and for seaborne import for Bulgaria. Those derogations were exclusively meant to ensure the security of supply of the Member States, while maintaining a level playing field among them. It is thus appropriate to clarify that, as is the case for the Member States importing Russian crude oil by pipeline, Bulgaria cannot sell petroleum products obtained from Russian crude oil imported on the basis of that derogation to buyers located in other Member States or in third countries. Bunkering or refuelling of a vehicle or aircraft in the Member States which benefit from those derogations does not fall under that prohibition.

(18)

In a spirit of solidarity with Ukraine, Decision (CFSP) 2022/2478 nevertheless allows Hungary, Slovakia and Bulgaria to export to Ukraine certain refined petroleum products obtained from Russian crude oil imported on the basis of the derogations in question, including, when necessary, by transiting through other Member States.

(19)

Decision (CFSP) 2022/2478 also allows Bulgaria to export to third countries certain refined petroleum products obtained from Russian crude oil imported on the basis of the derogations in question. This is necessary in order to mitigate environmental and safety risks since such products cannot be stored safely in Bulgaria. Annual exports should not exceed the average annual exports for such products over the past five years.

(20)

It is appropriate to exclude natural gas condensates produced in liquefied natural gas (LNG) production plants from the restrictions set out in Articles 3m and 3n, in order to ensure the security of the liquefied natural gas supply. In order to avoid circumvention and ensure that restricted natural gas condensate products under Articles 3m and 3n are not purchased, imported or transported into the Union or to third countries, it is appropriate to introduce a reporting obligation for the operators engaged in transactions concerning natural gas condensate from LNG productions plants.

(21)

Decision (CFSP) 2022/2478 adds the Russian Regional Development Bank to the list of Russian State-owned or controlled entities that are subject to the transaction ban.

(22)

Decision (CFSP) 2022/2478 bans Union nationals from holding any posts on the governing bodies of all Russian State-owned or controlled legal persons, entities or bodies that are established in Russia. It also provides for the possibility for competent authorities to grant an authorisation to their nationals for holding such posts in existing joint ventures or similar legal arrangements as well as EU subsidiaries established in Russia, and when the holding of such a post is necessary for ensuring critical energy supply, or when the legal person, entity or body is involved in the transit through Russia of oil originating in a third country and the holding of such a post is intended for operations which are not otherwise prohibited.

(23)

Decision (CFSP) 2022/2478 extends the duration of the exemption from the prohibition to enter into any transactions with certain Russian state-owned entities if such a transaction is strictly necessary for the wind-down of a joint venture or similar legal arrangement. It also introduces the possibility for national competent authorities to authorise transactions, which are necessary for the divestment and withdrawal of those Russian state-owned entities from EU companies.

(24)

In order to facilitate divestment from the Russian market by Union operators, Decision (CFSP) 2022/2478 introduces a temporary derogation from the import and export prohibitions contained in Regulation (EU) No 833/2014. To facilitate an expeditious exit from the Russian market, this derogation is temporary and limited in scope, enabling the sale, supply or transfer of such goods, or their import into the Union, until 30 September 2023 and applies only to those goods that were already physically located in Russia at the time when the relevant prohibitions entered into force. Additionally, national authorities should ensure that the prohibited goods remaining in Russia as a result of divestment do not benefit military end-users or have a military-end use.

(25)

It is appropriate to align the Member States’ reporting obligation on deposits exceeding EUR 100 000 from legal persons, entities or bodies established in third countries and majority-owned by Russian nationals or natural persons residing in Russia, with the similar obligations that already exist for the other types of deposits.

(26)

Furthermore, Decision (CFSP) 2022/2478 extends the existing prohibition on the provision of certain services to the Russian Federation and to legal persons, entities or bodies established in Russia by banning the provision of advertising, market research and public opinion polling services, as well as product testing and technical inspection services. In line with the Central Products Classification as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No 77, CPC prov., 1991, ‘Market research and public opinion polling services’ covers market research services and public opinion polling services. ‘Technical testing and analysis services’ covers composition and purity testing and analysis services, testing and analysis services of physical properties, testing and analysis services of integrated mechanical and electrical systems, technical inspection services, as well as other technical testing and analysis services. The provision of technical assistance related to goods exported to Russia remains allowed, provided that the sale, supply, transfer or export of such goods is not prohibited under this Regulation at the time at which such technical assistance is provided. ‘Advertising services’ covers the sale or leasing services of advertising space or time and the planning, creating and placement services of advertising, as well as other advertising services.

(27)

Decision (CFSP) 2022/2478 further clarifies and amends the exemptions to the import ban on steel products that either originate in Russia or have been exported from Russia.

(28)

Finally, Decision (CFSP) 2022/2478 makes certain technical corrections in the operative text.

(29)

Those measures fall within the scope of the Treaty and, therefore, in particular with a view to ensuring their uniform application in all Member States, regulatory action at the level of the Union is necessary.

(30)

Regulation (EU) No 833/2014 should therefore be amended accordingly,

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EU) No 833/2014 is amended as follows:

(1)

in Article 1, the following point is added:

‘(x)

“mining and quarrying sector” means a sector covering the location, extraction, management and processing activities relating to non-energy producing materials;’;

(2)

Article 3a is replaced by the following:

‘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.   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 mining and quarrying 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 mining and quarrying 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 mining and quarrying sector in Russia;

(d)

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

3.   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:

(a)

it is necessary to ensure 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

(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.

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.

5.   The prohibition in paragraph 2 shall not apply to mining and quarrying activities that yield their highest value from, or have as their primary objective, the production of any of the materials listed in Annex XXX.’;

(3)

Article 3c is amended as follows:

(a)

the following paragraph is inserted:

‘5b.   With regard to the goods listed in Part C of Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution until 16 January 2023 of contracts concluded before 17 December 2022, or of ancillary contracts necessary for the execution of such contracts.’;

(b)

the following paragraphs are inserted:

‘6b.   By way of derogation from paragraph 4, the competent authorities may authorise, under such conditions as they deem appropriate, the provision of technical assistance, related to the use of the goods and technology referred to in paragraph 1, after having determined that the provision of such technical assistance is necessary for avoiding collision between satellites, or their unintended re-entry into the atmosphere.

6c.   By way of derogation from paragraphs 1 and 4, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods falling under CN codes 8517 71 00, 8517 79 00 and 9026 00 00 listed in Part B of Annex XI, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is necessary for 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.

When deciding on requests for authorisations for medical, pharmaceutical or humanitarian purposes in accordance with this paragraph, the national 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.’;

(4)

in Article 3ea, paragraph 6 is replaced by the following:

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

(5)

Article 3g is amended as follows:

(a)

paragraph 1, point (d), is replaced by the following:

‘(d)

to import or purchase, as from 30 September 2023, directly or indirectly, iron and steel products as listed in Annex XVII when processed in a third country incorporating iron and steel products originating in Russia as listed in Annex XVII; with regard to products listed in Annex XVII processed in a third country incorporating steel products originating in Russia of CN code 7207 11 or 7207 12 10 or 7224 90, this prohibition shall apply as of 1 April 2024 for CN code 7207 11 and as of 1 October 2024 for CN codes 7207 12 10 and 7224 90;’

(b)

paragraph 3 is replaced by the following:

‘3.   With regard to the goods listed in Part B of Annex XVII that are not listed in Part A of that Annex, and without prejudice to paragraph 4, the prohibitions in paragraph 1 shall not apply to the execution until 8 January 2023 of contracts concluded before 7 October 2022, or of ancillary contracts necessary for the execution of such contracts. This provision does not apply to goods falling under CN codes 7207 11, 7207 12 10 and 7224 90, for which the paragraphs 4, 5 and 5a apply.’

(c)

the following paragraph is inserted:

‘5a.   The prohibitions in paragraph 1 shall not apply to the import, purchase or transport, or related technical or financial assistance, of the following quantities of the goods falling under CN code 7224 90:

(a)

147 007 metric tonnes between 17 December 2022 and 31 December 2023;

(b)

110 255 metric tonnes between 1 January 2024 and 30 September 2024.’

(d)

paragraph 6 is replaced by the following:

‘6.   The import volume quotas set out in paragraphs 4, 5 and 5a 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 (*1).

(*1)  Commission Implementing Regulation (EU) 2015/2447 of 24 November 2015 laying down detailed rules for implementing certain provisions of Regulation (EU) No 952/2013 of the European Parliament and of the Council laying down the Union Customs Code (OJ L 343, 29.12.2015, p. 558).’;"

(6)

Article 3i is amended as follows:

(a)

paragraph 3b is replaced by the following:

‘3b.   With regard to the goods listed in Part B of Annex XXI, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 8 January 2023 of contracts concluded before 7 October 2022, or of ancillary contracts necessary for the execution of such contracts.

This provision does not apply to goods falling under CN code 2905 11 as listed in Part B of Annex XXI, for which paragraph 3ba applies.’;

(b)

the following paragraph is inserted:

‘3ba.   With regard to goods falling under CN code 2905 11 as listed in Part B of Annex XXI, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 18 June 2023 of contracts concluded before 7 October 2022, or of ancillary contracts necessary for the execution of such contracts.’;

(7)

Article 3k is amended as follows:

(a)

paragraph 3 is replaced by the following:

‘3.   With regard to the goods listed in Part A of Annex XXIII, 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 of ancillary contracts necessary for the execution of such contracts.’;

(b)

paragraph 3a is replaced by the following:

‘3a.   With regard to the goods falling under CN codes 2701, 2702, 2703 and 2704 as listed in Part A of Annex XXIII, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 8 January 2023 of contracts concluded before 7 October 2022, or of ancillary contracts necessary for the execution of such contracts.’;

(c)

the following paragraph is inserted:

‘3b.   With regard to the goods listed in Part B of Annex XXIII, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 16 January 2023 of contracts concluded before 17 December 2022, or of ancillary contracts necessary for the execution of such contracts.’;

(d)

the following paragraph is inserted:

‘5a.   The competent authorities of the Member States may authorise, under the conditions they deem appropriate, the sale, supply, transfer or export of the goods falling under CN codes 8417 20, 8419 81 80 and 8438 10 10, or the provision of related technical or financial assistance, after having determined that such goods or the provision of related technical or financial assistance are necessary for personal household use of natural persons.’;

(e)

paragraph 6 is replaced by the following:

‘6.   When deciding on requests for authorisations referred to in paragraphs 5 and 5a, 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.’;

(8)

Article 3m is amended as follows:

(a)

in paragraph 7, the following sub-paragraphs are added:

‘As from 5 February 2023, it shall be prohibited to transfer or transport petroleum products falling under CN 2710 which are obtained from crude oil imported on the basis of a derogation granted by the Bulgarian competent authority under paragraph 5, 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 derogation from the prohibition set out in the second subparagraph, the competent authorities of Bulgaria may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export to Ukraine of certain petroleum products as listed in Annex XXXI which are obtained from crude oil imported under paragraph 5, after having determined that:

(a)

the products are intended for exclusive use in Ukraine;

(b)

such sale, supply, transfer or export is not meant to circumvent the prohibitions in the second subparagraph.

By way of derogation from the prohibition set out in the second subparagraph, the competent authorities of Bulgaria may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export to any third country of certain petroleum products as listed in Annex XXXII which are obtained from crude oil imported under paragraph 5, within the export volume quotas mentioned in that Annex, after having determined that:

(a)

the products cannot be stored in Bulgaria due to environmental and safety risks;

(b)

such sale, supply, transfer or export is not meant to circumvent the prohibitions in the second subparagraph.

Bulgaria shall inform the other Member States and the Commission of any authorisations granted under this paragraph within two weeks of the authorisation.’;

(b)

in paragraph 8, the following subparagraphs are added:

‘As of 5 February 2023, by way of derogation from the prohibitions referred to in the third subparagraph, the competent authorities of Hungary and Slovakia may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export to Ukraine of certain petroleum products as listed in Annex XXXI which are obtained from crude oil imported under paragraph 3(d), after having determined that:

(a)

the products are intended for exclusive use in Ukraine;

(b)

such sale, supply, transfer or export is not meant to circumvent the prohibitions in the third subparagraph.

The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under this paragraph within two weeks of the authorisation.’;

(c)

the following paragraphs are added:

‘11.   Natural and legal persons, entities and bodies shall inform within two weeks the competent authority of the Member State where they are resident, located, established or incorporated, of all transactions for the purchase, import or transfer into the Union of natural gas condensates of subheading CN 2709 00 10 from liquefied natural gas production plants, originating in or exported from Russia. The reporting shall include information on volumes.

The Member State concerned shall provide the other Member States and the Commission with the information received under the previous subparagraph.

12.   Based on the information received under paragraph 11, the Commission shall review the functioning of the measures concerning natural gas condensates of subheading CN 2709 00 10 from liquefied natural gas production plants, originating in or exported from Russia, no later than 18 June 2023.’;

(9)

in Article 3n, the following paragraphs are added:

‘12.   Natural and legal persons, entities and bodies shall inform within two weeks the competent authority of the Member State where they are resident, located, established or incorporated, of all transactions for the purchase or transfer into third countries of natural gas condensates of subheading CN 2709 00 10 from liquefied natural gas production plants, originating in or exported from Russia. The reporting shall include information on volumes.

The Member State concerned shall provide the other Member States and the Commission with the information received under the previous subparagraph.

13.   Based on the information received under paragraph 12, the Commission shall review the functioning of the measures concerning natural gas condensates of subheading CN 2709 00 10 from liquefied natural gas production plants, originating in or exported from Russia, no later than 18 June 2023.’;

(10)

in Article 5, paragraph 5 is replaced by the following:

‘5.   It shall be prohibited to list and provide services for, as of 12 April 2022, and to admit to trading as of 29 January 2023, on trading venues registered or recognised in the Union, the transferable securities of any legal person, entity or body established in Russia and with over 50 % public ownership.’;

(11)

Article 5aa is amended as follows:

(a)

the following paragraphs are inserted:

‘1b.   It shall be prohibited as from 16 January 2023 to hold any posts in the governing bodies of:

(a)

a legal person, entity or body established in Russia, which is publicly 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;

(b)

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

This prohibition shall not apply to any legal person, entity or body referred to in paragraph 1, for which paragraph 1a applies.

1c.   By way of derogation from paragraph 1b, the competent authorities may authorise the holding of a post in the governing body of a legal person, entity or body referred to in paragraph 1b, after having determined that the legal person, entity or body is:

(a)

a joint venture or similar legal arrangement involving a legal person, entity or body referred to in paragraph 1b and concluded by a legal person, entity or body which is incorporated or constituted under the law of a Member State before 17 December 2022; or

(b)

a legal person, entity or body referred to in paragraph 1b which was established in Russia before 17 December 2022 and which is 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.

1d.   By way of derogation from paragraph 1b, the competent authorities may authorise the holding of a post in the governing body of a legal person, entity or body referred to in paragraph 1b, after having determined that the holding of such a post is necessary for ensuring critical energy supply.

1e.   By way of derogation from paragraph 1b, the competent authorities may authorise the holding of a post in the governing body of a legal person, entity or body referred to in paragraph 1b, after having determined that the legal person, entity or body is involved in the transit through Russia of oil originating in a third country and that the holding of such a post is intended for operations which are not prohibited under Articles 3m and 3n.’;

(b)

the following paragraphs are inserted:

‘2d.   The prohibition in paragraph 1 shall not apply to the execution until 18 March 2023 of contracts concluded with a legal person, entity or body referred to in Part C of Annex XIX before 17 December 2022, or of ancillary contracts necessary for the execution of such contracts.

2e.   The prohibition in paragraph 1 shall not apply to the reception of payments due by the legal persons, entities or bodies referred to in Part C of Annex XIX pursuant to contracts performed before 18 March 2023.’;

(c)

paragraph 3, point (d) is replaced by the following:

‘(d)

transactions, including sales, which are strictly necessary for the wind-down, by 30 June 2023, 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;’;

(d)

the following paragraph is inserted:

‘3a.   By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, transactions which, are strictly necessary for the divestment and withdrawal by 30 June 2023, of the entities mentioned in paragraph 1 or their subsidiaries in the Union from a legal person, entity or body established in the Union.’;

(e)

the following paragraph is added:

‘5.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1c, 1d, 1e and 3a within two weeks of the authorisation.’;

(12)

in Article 5g, paragraph 1, the following point is inserted:

‘(aa)

supply to the national competent authority of the Member State where they are located or to the Commission by no later than 27 May 2023 a list of deposits exceeding 100 000 EUR held by 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. They shall provide updates regarding the amounts of such deposits every 12 months.’;

(13)

Article 5n is replaced by the following:

‘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.   It shall be prohibited to provide, directly or indirectly, architectural and engineering services, legal advisory services and IT consultancy services to:

(a)

the Government of Russia; or

(b)

legal persons, entities or bodies established in Russia.

2a.   It shall be prohibited to provide market research and public opinion polling services, technical testing and analysis services and advertising services to:

(a)

the Government of Russia; or

(b)

legal persons, entities or bodies established in Russia.

3.   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.

4.   Paragraph 2 shall not apply to the provision of services that are strictly necessary for the termination by 8 January 2023 of contracts which are not compliant with this Article concluded before 7 October 2022, or of ancillary contracts necessary for the execution of such contracts.

4a.   Paragraph 2a shall not apply to the provision of services that are strictly necessary for the termination by 16 January 2023 of contracts which are not compliant with this Article concluded before 17 December 2022, or of ancillary contracts necessary for the execution of such contracts.

5.   Paragraphs 1 and 2 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.

6.   Paragraphs 1 and 2 shall not apply to the provision of services 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, provided that such provision of services is consistent with the objectives of this Regulation and Regulation (EU) No 269/2014.

7.   Paragraphs 1, 2 and 2a 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, Switzerland or a partner country as listed in Annex VIII.

8.   Paragraphs 2 and 2a shall not apply to the provision of services necessary for 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.

9.   Paragraph 2 shall not apply to the provision of services necessary for software updates for non-military use and for a non-military end user, permitted by Articles 2(3)(d) and 2a(3)(d) in relation to goods listed in Annex VII.

10.   By way of derogation from paragraphs 1, 2 and 2a 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;

(b)

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

(c)

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

(d)

ensuring critical energy supply within the Union and the purchase, import or transport into the Union of titanium, aluminium, copper, nickel, palladium and iron ore;

(e)

ensuring the continuous operation of infrastructures, hardware and software which are critical for human health and safety, or the safety of the environment;

(f)

the establishment, operation, maintenance, 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, the supply of precursor material for the production of medical radioisotopes and similar medical applications, or critical technology for environmental radiation monitoring, as well as for civil nuclear cooperation, in particular in the field of research and development; or

(g)

the provision of electronic communication services by Union telecommunication operators necessary for the operation, maintenance and security, including cybersecurity, of electronic communication services, in Russia, in Ukraine, in the Union, between Russia and the Union, and between Ukraine and the Union, and for data centre services in the Union.

11.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 10 within two weeks of the authorisation.’;

(14)

the following Articles are inserted:

‘Article 12b

1.   By way of derogation from Articles 2, 2a, 3, 3b, 3c, 3f, 3 h and 3 k, the competent authorities may authorise the sale, supply or transfer of goods and technologies listed in Annexes II, VII, X, XI, XVI, XVIII, XX and XXIII, as well as in Annex I to Regulation (EU) 2021/821 until 30 September 2023, where such sale, supply or transfer is strictly necessary for the divestment from Russia or the wind-down of business activities in Russia, provided that the following conditions are fulfilled:

(a)

the goods and technologies are owned by a national of a Member State or by a legal person, entity or body which is incorporated or constituted under the law of a Member State or by 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; and

(b)

the competent authorities deciding on requests for authorisations have no reasonable grounds to believe that the goods might be for a military end-user or have a military end-use in Russia; and

(c)

the concerned goods and technologies were physically located in Russia before the relevant prohibitions in Articles 2, 2a, 3, 3b, 3c, 3f, 3h or 3k entered into force in respect of those goods and technologies.

2.   By way of derogation from Articles 3g and 3i, the competent authorities may authorise the import or transfer of goods listed in Annexes XVII and XXI until 30 September 2023, where such import or transfer is strictly necessary for the divestment from Russia or the wind-down of business activities in Russia, provided that the following conditions are fulfilled:

(a)

the goods are owned by a national of a Member State or by a legal person, entity or body which is incorporated or constituted under the law of a Member State or by 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; and

(b)

the concerned goods were physically located in Russia before the relevant prohibitions in Articles 3g and 3i entered into force in respect of those goods.

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

4.   All authorisations referred to in paragraph 1 with respect to goods and technologies listed in Annex VII as well as in Annex I to Regulation (EU) 2021/821 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 model C set out in Annex IX.

Article 12c

1.   The competent authorities shall exchange information with the other Member States and the Commission on authorisations granted pursuant to paragraph 1 of Article 12b in relation to goods and technologies listed in Annex VII as well as in Annex I to Regulation (EU) 2021/821. The exchange of information shall be carried out using the electronic system provided pursuant to Article 23(6) of Regulation (EU) 2021/821.

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 of Article 2d.

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

4.   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.’;

(15)

Annex IV is amended in accordance with Annex I to this Regulation;

(16)

Annex VII is amended in accordance with Annex II to this Regulation;

(17)

Annex IX is amended in accordance with Annex III to this Regulation;

(18)

Annex XI is amended in accordance with Annex IV to this Regulation;

(19)

Annex XV is amended in accordance with Annex V to this Regulation;

Point 19 shall apply in respect of one or several of the entities referred to in Annex V to this Regulation as from 1 February 2023 and provided that the Council, having examined the respective cases, so decides by implementing act.

(20)

Annex XVII is amended in accordance with Annex VI to this Regulation;

(21)

Annex XIX is amended in accordance with Annex VII to this Regulation;

(22)

Annex XXIII is amended in accordance with Annex VIII to this Regulation;

(23)

Annex XXV is amended in accordance with Annex IX to this Regulation;

(24)

Annex XXX is added in accordance with Annex X to this Regulation;

(25)

Annex XXXI is added in accordance with Annex XI to this Regulation;

(26)

Annex XXXII is added in accordance with Annex XII to this Regulation.

Article 2

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

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

Done at Brussels, 16 December 2022.

For the Council

The President

M. BEK


(1)   OJ L 322 I, 16.12.2022.

(2)  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).

(3)  Council Decision 2014/512/CFSP 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. 13).


ANNEX I

Annex IV to Regulation (EU) No 833/2014, is replaced by the following:

‘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

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

Amur Shipbuilding Factory PJSC

AO Center of Shipbuilding and Ship Repairing JSC

AO Kronshtadt

Avant Space LLC

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

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”

Federal Center for Dual-Use Technology (FTsDT) Soyuz

Turayev Machine Building Design Bureau Soyuz

Zhukovskiy Central Aerohydrodynamics Institute (TsAGI)

Rosatomflot

Lyulki Experimental-Design Bureau

Lyulki Science and Technology Center

AO Aviaagregat

Central Aerohydrodynamic Institute (TsAGI)

Closed Joint Stock Company Turborus (Turborus)

Federal Autonomous Institution Central Institute of Engine-Building N.A. P.I. Baranov; Central Institute of Aviation Motors (CIAM)

Federal State Budgetary Institution National Research Center Institute N.A. N.E. Zhukovsky (Zhukovsky National Research Institute)

Federal State Unitary Enterprise “State Scientific-Research Institute for Aviation Systems” (GosNIIAS)

Joint Stock Company 123 Aviation Repair Plant (123 ARZ)

Joint Stock Company 218 Aviation Repair Plant (218 ARZ)

Joint Stock Company 360 Aviation Repair Plant (360 ARZ)

Joint Stock Company 514 Aviation Repair Plant (514 ARZ)

Joint Stock Company 766 UPTK

Joint Stock Company Aramil Aviation Repair Plant (AARZ)

Joint Stock Company Aviaremont (Aviaremont)

Joint Stock Company Flight Research Institute N.A. M.M. Gromov (FRI Gromov)

Joint Stock Company Metallist Samara (Metallist Samara)

Joint Stock Company Moscow Machine-Building Enterprise named after V. V. Chernyshev (MMP V.V. Chernyshev)

JSC NII Steel

Joint Stock Company Remdizel

Joint Stock Company Special Industrial and Technical Base Zvezdochka (SPTB Zvezdochka)

Joint Stock Company STAR

Joint Stock Company Votkinsk Machine Building Plant

Joint Stock Company Yaroslav Radio Factory

Joint Stock Company Zlatoustovsky Machine Building Plant (JSC Zlatmash)

Limited Liability Company Center for Specialized Production OSK Propulsion (OSK Propulsion)

Lytkarino Machine-Building Plant

Moscow Aviation Institute

Moscow Institute of Thermal Technology

Omsk Motor-Manufacturing Design Bureau

Open Joint Stock Company 170 Flight Support Equipment Repair Plant (170 RZ SOP)

Open Joint Stock Company 20 Aviation Repair Plant (20 ARZ)

Open Joint Stock Company 275 Aviation Repair Plant (275 ARZ)

Open Joint Stock Company 308 Aviation Repair Plant (308 ARZ)

Open Joint Stock Company 32 Repair Plant of Flight Support Equipment (32 RZ SOP)

Open Joint Stock Company 322 Aviation Repair Plant (322 ARZ)

Open Joint Stock Company 325 Aviation Repair Plant (325 ARZ)

Open Joint Stock Company 680 Aircraft Repair Plant (680 ARZ)

Open Joint Stock Company 720 Special Flight Support Equipment Repair Plant (720 RZ SOP)

Open Joint Stock Company Volgograd Radio-Technical Equipment Plant (VZ RTO)

Public Joint Stock Company Agregat (PJSC Agregat)

Salute Gas Turbine Research and Production Center

Scientific-Production Association Vint of Zvezdochka Shipyard (SPU Vint)

Scientific Research Institute of Applied Acoustics (NIIPA)

Siberian Scientific-Research Institute of Aviation N.A. S.A. Chaplygin (SibNIA)

Software Research Institute

Subsidiary Sevastopol Naval Plant of Zvezdochka Shipyard (Sevastopol Naval Plant)

Tula Arms Plant

Russian Institute of Radio Navigation and Time

Federal Technical Regulation and Metrology Agency (Rosstandart)

Federal State Budgetary Institution of Science P.I. K.A. Valiev RAS of the Ministry of Science and Higher Education of Russia (FTIAN)

Federal State Unitary Enterprise All-Russian Research Institute of Physical, Technical and Radio Engineering Measurements (VNIIFTRI)

Institute of Physics Named After P.N. Lebedev of the Russian Academy of Sciences (LPI)

The Institute of Solid-State Physics of the Russian Academy of Sciences (ISSP)

Rzhanov Institute of Semiconductor Physics, Siberian Branch of Russian Academy of Sciences (IPP SB RAS)

UEC-Perm Engines, JSC

Ural Works of Civil Aviation, JSC

Central Design Bureau for Marine Engineering “Rubin”, JSC

“Aeropribor-Voskhod”, JSC

Aerospace Equipment Corporation, JSC

Central Research Institute of Automation and Hydraulics (CNIIAG), JSC

Aerospace Systems Design Bureau, JSC

Afanasyev Technomac, JSC

Ak Bars Shipbuilding Corporation, CJSC

AGAT, Gavrilov-Yaminskiy Machine-Building Plant, JSC

Almaz Central Marine Design Bureau, JSC

Joint Stock Company Eleron

AO Rubin

Branch of AO Company Sukhoi Yuri Gagarin Komsomolsk-on-Amur Aircraft Plant

Branch of PAO II – Aviastar

Branch of RSK MiG Nizhny Novgorod Aircraft-Construction Plant Sokol

Chkalov Novosibirsk Aviation Plant

Joint Stock Company All-Russian Scientific-Research Institute Gradient

Joint Stock Company Almatyevsk Radiopribor Plant (JSC AZRP)

Joint Stock Company Experimental-Design Bureau Elektroavtomatika in the name of P.A. Efimov

Joint Stock Company Industrial Controls Design Bureau

Joint Stock Company Kazan Instrument-Engineering and Design Bureau

Joint Stok Company Microtechnology

Phasotron Scientific-Research Institute of Radio-Engineering

Joint Stock Company Radiopribor

Joint Stock Company Ramensk Instrument-Engineering Bureau

Joint Stock Company Research and Production Center SAPSAN

Joint Stock Company Rychag

Joint Stock Company Scientific Production Enterprise Izmeritel

Joint Stock Company Scientific-Production Union for Radioelectronics named after V.I. Shimko

Joint Stock Company Taganrog Communications Scientific-Research Institute

Joint Stock Company Urals Instrument-Engineering Plant

Joint Stock Company Vzlet Engineering Testing Support

Joint Stock Company Zhiguli Radio Plant

Joint Stock Company Bryansk Electromechanical Plant

Public Joint Stock Company Moscow Institute of Electro-Mechanics and Automation

Public Joint Stock Company Stavropol Radio Plant Signal

Public Joint Stock Company Techpribor

Joint Stock Company Ramensky Instrument-Engineering Plant

V.V. Tarasov Avia Avtomatika

Design Bureau of Chemical Machine Building KBKhM

Far Eastern Shipbuilding and Ship Repair Center

Ilyushin Aviation Complex Branch: Myasishcheva Experimental Mechanical Engineering Plant

Institute of Marine Technology Problems Far East Branch Russian Academy of Sciences

Irkutsk Aviation Plant

Joint Stock Company Aerocomposit Ulyanovsk Plant

Joint Stock Company Experimental Design Bureau named after A.S. Yakovlev

Joint Stock Company Federal Research and Production Center Altai

Joint Stock Company “Head Special Design Bureau Prozhektor”

Joint Stock Company Ilyushin Aviation Complex

Joint Stock Company Lazurit Central Design Bureau

Joint Stock Company Research and Development Enterprise Protek

Joint Stock Company SPMDB Malachite

Joint Stock Company Votkinsky Zavod

Kalyazinsky Machine Building Factory – Branch of RSK MiG

Main Directorate of Deep-Sea Research of the Ministry of Defense of the Russian Federation

NPP Start

OAO Radiofizika

P.A. Voronin Lukhovitsk Aviation Plant, branch of RSK MiG

Public Joint Stock Company Bryansk Special Design Bureau

Public Joint Stock Company Voronezh Joint Stock Aircraft Company

Radio Technical Institute named after A. L. Mints

Russian Federal Nuclear Center – All-Russian Research Institute of Experimental Physics

Shvabe JSC

Special Technological Center LLC

St. Petersburg Marine Bureau of Machine Building Malakhit

St. Petersburg Naval Design Bureau Almaz

St. Petersburg Shipbuilding Institution Krylov 45

Strategic Control Posts Corporation

V.A. Trapeznikov Institute of Control Sciences of Russian Academy of Sciences

Vladimir Design Bureau for Radio Communications OJSC

Voentelecom JSC

A.A. Kharkevich Institute for Information Transmission Problems (IITP), Russian Academy of Sciences (RAS)

Ak Bars Holding

Special Research Bureau for Automation of Marine Researches Far East Branch Russian Academy of Sciences

Systems of Biological Synthesis LLC

Borisfen, JSC

Barnaul cartridge plant, JSC

Concern Avrora Scientific and Production Association, JSC

Bryansk Automobile Plant, JSC

Burevestnik Central Research Institute, JSC

Research Institute of Space Instrumentation, JSC

Arsenal Machine-building plant, OJSC

Central Design Bureau of Automatics, JSC

Zelenodolsk Design Bureau, JSC

Zavod Elecon, JSC

VMP “Avitec”, JSC

JSC V. Tikhomirov Scientific Research Institute of Instrument Design

Tulatochmash, JSC

PJSC “I.S. Brook” INEUM

SPE “Krasnoznamenets”, JSC

SPA Pribor named after S.S. Golembiovsky, SC

SPA “Impuls”, JSC

RusBITech

ROTOR 43

Rostov optical and mechanical plant, PJSC

RATEP, JSC

PLAZ

OKB “Technika”

Ocean Chips

Nudelman Precision Engineering Design Bureau

Angstrem JSC

NPCAP

Novosibirsk Plant of Artificial Fibre

Novosibirsk Cartridge Plant, JSC (alias: SIBFIRE), Новосибирский Патронный Завод

Novator DB

NIMI named after V.V. BAHIREV, JSC

NII Stali JSC

Nevskoe Design Bureau, JSC

Neva Electronica JSC

ENICS

The JSC Makeyev Design Bureau

KURGANPRIBOR, JSC


ANNEX II

Annex VII to Regulation (EU) No 833/2014 is replaced by the following:

‘ANNEX VII

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

Part A

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.

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.

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.

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 GigaFLOPS 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.

Analogue-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);

2.

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

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 μs and bandwidth in MHz) of more than 100; or

c.

A dispersive delay of more than 10 μs;

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 (1).

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 analogue oscilloscopes having a bandwidth of 1 GHz or greater;

e.

Modular analogue 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.

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

g.

Digital oscilloscopes and transient recorders, using analogue-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 analogue 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:

a.

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

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 ns or less over time intervals of 1 μs or greater; or

2.

Multi-channel (three or more) or modular time interval meter and chronometry equipment with resolution of 50 ns or less over time intervals of 1 μs 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 (2) 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 (3);

b.

Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 (4) 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;

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;

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 vapour 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:

1.

Chemical vapour deposition equipment operating below 105 Pa; or

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 vapour 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-analogue conversion rate exceeding 3 MHz;

4.

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

5.

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

2.

Spot size (kerf width) less than 3 μm.

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 (5); or

2.

Masks or reticles, having both of the following characteristics:

a.

Their design is based on geometries of 2,5 μm 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 μm 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 μm; 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 μm or finer; and

2.

A precision of 0,75 μm 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 μm;

2.

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

3.

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

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 μm.

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 μm;

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 (6) 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 μm 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 (7) 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 μm 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 μm or finer;

c.

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

3.

“Stored program controlled” wafer probing equipment having any of the following characteristics:

a.

Positioning accuracy finer than 3,5 μm;

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 (8) 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 μm or finer; or

b.

Digital-to-analogue 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 μm 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 (9).

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 natural persons.

X.A.II.001

Computers, “electronic assemblies” and related equipment, not controlled by 4A001 or 4A003 (10), 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)  (11) .

c.

The “technology” for the “digital computers” and related equipment is determined by 4E (12) .

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 analogue-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 μs.

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 (13) specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101 (14).

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

“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:

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 natural persons.

X.A.III.101

Telecommunication equipment.

a.

Any type of telecommunications equipment, not controlled by 5A001.a (15), 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 crossconnection equipment;

11.

“Gateways” and bridges;

12.

“Media access units”;

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 analogue 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 analogue 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 pre-emption.

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 manu-facture 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 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 (16).

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 (17).

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 (centre-to-centre spacing) of less than 25 μm; 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 (centre-to-centre spacing) of less than 25 μm.

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. (18);

b.

Not used;

X.A.IV.004

Optics as follows:

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

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;

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 t