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Document 32017R1509

Council Regulation (EU) 2017/1509 of 30 August 2017 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Regulation (EC) No 329/2007

OJ L 224, 31.8.2017, p. 1–109 (BG, ES, CS, DA, DE, ET, EL, EN, FR, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)

In force

ELI: http://data.europa.eu/eli/reg/2017/1509/oj

31.8.2017   

EN

Official Journal of the European Union

L 224/1


COUNCIL REGULATION (EU) 2017/1509

of 30 August 2017

concerning restrictive measures against the Democratic People's Republic of Korea and repealing Regulation (EC) No 329/2007

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) 2016/849 of 27 May 2016 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Decision 2013/183/CFSP (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 14 October 2006, the UN Security Council (‘UNSC’) adopted Resolution 1718 (2006) in which it condemned the nuclear test that the Democratic People's Republic of Korea (‘DPRK’) had conducted on 9 October 2006, determining that there was a clear threat to international peace and security, and required all Member States of the UN to apply a number of restrictive measures against the DPRK. Subsequent UNSC Resolutions (UNSCRs) 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016) and 2371 (2017) further extended these restrictive measures.

(2)

In accordance with these UNSCRs, Decision (CFSP) 2016/849 provides in particular for restrictions on the import and export of certain goods, services and technology which could contribute to the DPRK's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes (Weapons of mass destruction (WMD) programmes), a luxury goods embargo as well as an asset freeze on persons, entities and bodies that have been linked to the WMD programmes. Further measures target the transport sector, including inspections of cargo and prohibitions pertaining to DPRK vessels and aircraft, the financial sector, such as a provision of certain financial services, and the diplomatic sphere, to prevent abuse of privileges and immunities.

(3)

Furthermore, the Council has adopted several additional EU restrictive measures that complement and reinforce the UN-based restrictive measures. To that end, the Council extended the arms embargo, import and export restrictions, extended the list of persons and entities subject to an asset freeze and introduced prohibitions on transfers of funds and investment.

(4)

Adoption of a regulation within the meaning of Article 215 of the Treaty at the level of the Union is necessary in order to give effect to the above-mentioned restrictive measures, in particular with a view to ensuring their uniform application by economic operators in all Member States.

(5)

Council Regulation (EC) No 329/2007 (2) has been amended several times. In view of the extent of the amendments introduced, it is appropriate to consolidate all measures into a new regulation which repeals and replaces Regulation (EC) No 329/2007.

(6)

The Commission should be empowered to publish the list of goods and technology that will be adopted by the Committee of the UNSC which was established pursuant to paragraph 12 of UNSCR 1718 (2006) (‘Sanctions Committee’) or the UNSC and, if appropriate, to add the nomenclature codes from the Combined Nomenclature as set out in Annex I to Council Regulation (EEC) No 2658/87 (3).

(7)

The Commission should also be empowered to amend the list of luxury goods if necessary in view of any definition or guidelines that the Sanctions Committee may promulgate to facilitate the implementation of the restrictions concerning luxury goods, taking the lists of luxury goods produced in other jurisdictions into account.

(8)

The power to amend the lists in Annexes XIII, XIV, XV, XVI and XVII to this Regulation should be exercised by the Council, in view of the specific threat to international peace and security posed by DPRK, and in order to ensure consistency with the process for amending and reviewing Annexes I, II, III, IV and V to Decision (CFSP) 2016/849.

(9)

The Commission should be empowered to amend the list of services, taking into account information provided by Member States as well as any definition or guidelines that may be issued by the United Nations Statistical Commission, or in order to add reference numbers taken from the Central Product Classification system for goods and services promulgated by the United Nations Statistical Commission.

(10)

UNSCR 2270 (2016) recalls that the Financial Action Task Force (‘FATF’) has called upon countries to apply enhanced due diligence and effective countermeasures to protect their jurisdictions from the DPRK's illicit financial activity, and calls upon UN Member States to apply FATF Recommendation 7, its Interpretive Note and related guidance to effectively implement targeted financial sanctions related to proliferation.

(11)

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

(12)

For the implementation of this Regulation, and to create the highest level of legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources are to be frozen in accordance with this Regulation, should be made public. Any processing of personal data of natural persons under this Regulation should be in conformity with Regulation (EC) No 45/2001 of the European Parliament and of the Council (4) and Directive 95/46/EC of the European Parliament and of the Council (5),

HAS ADOPTED THIS REGULATION:

CHAPTER I

Definitions

Article 1

This Regulation shall apply:

(a)

within the territory of the Union;

(b)

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

(c)

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

(d)

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

(e)

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

Article 2

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

(1)

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

(2)

‘brokering services’ means:

(a)

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

(b)

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

(3)

‘claim’ means any claim, whether asserted by legal proceedings or not under or in connection with a contract or transaction, and includes in particular:

(a)

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

(b)

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

(c)

a claim for compensation in respect of a contract or transaction;

(d)

a counterclaim;

(e)

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

(4)

‘competent authorities’ refers to the competent authorities as identified on the websites listed in Annex I;

(5)

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

(6)

‘credit institution’ means a credit institution as defined in point (1) of Article 4(1) of Regulation (EU) No 575/2013 of the European Parliament and of the Council (6), including branches thereof, as defined in point (17) of Article 4(1) of that Regulation, located in the Union, whether its head office is situated within the Union or in a third country;

(7)

‘diplomatic missions, consular posts and their members’ has the same meaning as in the 1961 Vienna Convention on Diplomatic Relations and the 1963 Vienna Convention on Consular Relations, and also includes missions of the DPRK to international organisations hosted in the Member States and DPRK members of those missions;

(8)

‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, actual or potential, which are not funds but can be used to obtain funds, goods or services, including vessels, such as maritime vessels;

(9)

‘financial institution’ means

(a)

an undertaking, other than a credit institution, which carries out one or more of the activities listed in points (2) to (12), (14) and (15) of Annex I to Directive 2013/36/EU of the European Parliament and of the Council (7), including the activities of currency exchange offices (bureaux de change);

(b)

an insurance undertaking as defined in point (1) of Article 13 of Directive 2009/138/EC of the European Parliament and of the Council (8), insofar as it carries out life assurance activities covered by that Directive;

(c)

an investment firm as defined in point (1) of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council (9);

(d)

a collective investment undertaking marketing its units or shares;

(e)

an insurance intermediary as defined in point (5) of Article 2 of Directive 2002/92/EC of the European Parliament and of the Council (10) where it acts with respect to life insurance and other investment-related services, with the exception of a tied insurance intermediary as defined in point (7) of that Article;

(f)

branches, when located in the Union, of financial institutions as referred to in points (a) to (e), whether their head office is situated in a Member State or in a third country;

(10)

‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;

(11)

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

(12)

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

(a)

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

(b)

deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

(c)

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

(d)

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

(e)

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

(f)

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

(g)

documents evidencing an interest in funds or financial resources;

(13)

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

(14)

‘investment services’ means the following services and activities:

(a)

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

(b)

execution of orders on behalf of clients;

(c)

dealing on own account;

(d)

portfolio management;

(e)

investment advice;

(f)

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

(g)

placing of financial instruments without a firm-commitment basis;

(h)

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

(15)

‘payee’ means a natural or legal person who is the intended recipient of the transfer of funds;

(16)

‘payer’ means a person who holds a payment account and allows a transfer of funds from that payment account, or, where there is no payment account, that gives a transfer-of-funds order;

(17)

‘payment service provider’ means the categories of payment service provider referred to in Article 1(1) of Directive 2007/64/EC of the European Parliament and of the Council (11), natural or legal persons benefiting from a waiver pursuant to Article 26 of Directive 2007/64/EC and legal persons benefiting from a waiver pursuant to Article 9 of Directive 2009/110/EC of the European Parliament and of the Council (12), providing transfer-of-funds services;

(18)

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

(19)

‘services incidental to’ means services rendered on a fee or contract basis by units mainly engaged in the production of transportable goods, as well as services typically related to the production of such goods;

(20)

‘shipowner’ means the registered owner of a seagoing ship, or any other person such as the bareboat charterer who is responsible for the operation of the ship;

(21)

‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services; including verbal forms of assistance;

(22)

‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace;

(23)

‘transfer of funds’ means:

(a)

any transaction at least partially carried out by electronic means on behalf of a payer through a payment service provider, with a view to making funds available to a payee through a payment service provider, irrespective of whether the payer and the payee are the same person and irrespective of whether the payment service provider of the payer and that of the payee are one and the same, including:

(i)

a credit transfer as defined in point (1) of Article 2 of Regulation (EU) No 260/2012 of the European Parliament and of the Council (13);

(ii)

a direct debit as defined in point (2) of Article 2 of Regulation (EU) No 260/2012;

(iii)

a money remittance as defined in point (13) of Article 4 of Directive 2007/64/EC, whether national or cross border;

(iv)

a transfer carried out using a payment card, an electronic money instrument, or a mobile phone, or any other digital or IT prepaid or postpaid device with similar characteristics; and

(b)

any transaction by non-electronic means, such as in cash, cheques or accountancy orders, with a view to making funds available to a payee irrespective of whether the payer and the payee are the same person.

(24)

‘a vessel crewed by the DPRK’ means:

(a)

a vessel whose manning is controlled by:

(i)

a natural person of DPRK nationality; or

(ii)

a legal person, entity or body incorporated or constituted under the law of the DPRK;

(b)

a vessel entirely manned by DPRK nationals.

CHAPTER II

Export and import restrictions

Article 3

1.   It shall be prohibited:

(a)

to sell, supply, transfer or export, directly or indirectly, the goods and technology, including software, listed in Annex II, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in the DPRK;

(b)

to sell, supply, transfer or export aviation fuel, directly or indirectly, as listed in Annex III to the DPRK or transport to DPRK aviation fuel on board the flag vessels or aircraft of Member States, whether or not originating in the territories of Member States;

(c)

to import, purchase or transfer, directly or indirectly, the goods and technology listed in Annex II from the DPRK, whether or not originating in the DPRK;

(d)

to import, purchase or transfer, directly or indirectly, gold, titanium ore, vanadium ore and rare-earth minerals, as listed in Annex IV, from the DPRK, whether or not originating in the DPRK;

(e)

to import, purchase or transfer, directly or indirectly, coal, iron and iron ore, as listed in Annex V, from the DPRK, whether or not originating in the DPRK;

(f)

to import, purchase or transfer, directly or indirectly, from DPRK petroleum products, as listed in Annex VI, whether or not originating in the DPRK; and

(g)

to import, purchase or transfer, directly or indirectly, copper, nickel, silver and zinc, as listed in Annex VII, from the DPRK, whether or not originating in the DPRK;

2.   Part I of Annex II shall include all items, materials, equipment, goods and technology, including software, which are dual-use items or technology as defined in Annex I to Council Regulation (EC) No 428/2009 (14).

Part II of Annex II shall include other items, materials, equipment, goods and technology which could contribute to the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes.

Part III of Annex II shall include certain key components for the ballistic-missile sector.

Part IV of Annex II shall include weapons of mass destruction-related items, materials, equipment, goods and technology designated, pursuant to paragraph 25 of UNSCR 2270 (2016).

Part V of Annex II shall include weapons of mass destruction-related items, materials, equipment, goods and technology designated, pursuant to paragraph 4 of UNSCR 2321 (2016).

Annex III shall include the aviation fuel referred to in point (b) of paragraph 1.

Annex IV shall include the gold, titanium ore, vanadium ore and rare-earth minerals, referred to in point (d) of paragraph 1.

Annex V shall include the coal, iron and iron ore, referred to in point (e) of paragraph 1.

Annex VI shall include the petroleum products referred to in point (f) of paragraph 1.

Annex VII shall include the copper, nickel, silver and zinc, referred to in point (g) of paragraph 1.

3.   The prohibition referred to in point (b) of paragraph 1 shall not apply with respect to the sale or supply of aviation fuel to civilian passenger aircraft outside the DPRK exclusively for consumption during their flight to the DPRK and their return to the airport of origin.

Article 4

1.   By way of derogation from point (b) of Article 3(1), the competent authorities of the Member States may authorise the sale, supply or transfer of aviation fuel, provided that the Member State has obtained the advance approval of the Sanctions Committee on an exceptional case-by-case basis for the transfer to the DPRK of such products for verified essential humanitarian needs and subject to specified arrangements for effective monitoring of delivery and use.

2.   By way of derogation from point (e) of Article 3(1), the competent authorities of the Member States may authorise:

(a)

the import, purchase or transfer of coal provided that the competent authorities of the Member States have determined on the basis of credible information that the shipment originated outside the DPRK and was transported through the DPRK solely for export from the Port of Rajin (Rason), that the relevant Member State has notified the Sanctions Committee in advance of such transactions, and that the transactions are unrelated to generating revenue for the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes and other activities prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016), or by this Regulation;

(b)

transactions in iron and iron ore that are determined to be exclusively for livelihood purposes and unrelated to generating revenue for the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes or other activities prohibited by UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016), or by this Regulation; and

(c)

transactions in coal that are determined to be exclusively for livelihood purposes provided that all of the following conditions are met:

(i)

the transactions are unrelated to generating revenue for the DPRK's nuclear or ballistic missile programmes or other activities prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016);

(ii)

the transactions do not involve individuals or entities that are associated with the DPRK's nuclear or ballistic missile programmes or other activities prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016), including the persons, entities and bodies listed in Annex XIII, or individuals or entities acting on their behalf or at their direction, or entities owned or controlled by them, directly or indirectly, or individuals or entities assisting in the evasion of sanctions; and

(iii)

the Sanctions Committee has not notified the Member States that the aggregate annual limit has been reached.

3.   The Member State concerned shall notify the other Member States and the Commission of any authorisation granted pursuant to paragraphs 1 and 2.

Article 5

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, to the DPRK any item, except food or medicine, if the exporter knows or has reasonable grounds to believe that:

(a)

the item is destined directly or indirectly for the DPRK's armed forces; or

(b)

the export of the item could support or enhance the operational capabilities of the armed forces of a State other than the DPRK.

2.   It shall be prohibited to import, purchase or transport from DPRK items referred to in paragraph 1 if the importer or transporter knows or has reasonable grounds to believe that one of the grounds in point (a) or (b) of paragraph 1 is met.

Article 6

1.   By way of derogation from Article 5, the competent authorities of the Member States may authorise the sale, supply, transfer or export of an item to the DPRK, or the import, purchase or transport of an item from the DPRK, where:

(a)

the item does not relate to the production, development, maintenance or use of military goods, or development or the maintenance of military personnel, and the competent authority has determined that the item would not directly contribute to the development of the operational capabilities of the DPRK's armed forces or to exports that support or enhance the operational capabilities of armed forces of a third country other than the DPRK;

(b)

the Sanctions Committee has determined that a particular supply, sale or transfer would not be contrary to the objectives of UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016); or

(c)

the competent authority of the Member State is satisfied that the activity is exclusively for either humanitarian or livelihood purposes which will not be used by DPRK persons, entities or bodies to generate revenue, and is not related to any activity prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016) or 2321 (2016), provided that the Member State notifies the Sanctions Committee in advance of such a determination and informs the Sanctions Committee of measures taken to prevent the diversion of the item for any prohibited purpose.

2.   The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least one week prior to granting the authorisation.

Article 7

1.   It shall be prohibited:

(a)

to provide, directly or indirectly, technical assistance and brokering services related to goods and technology listed in the EU Common List of Military Equipment or in Annex II, and related to the provision, manufacture, maintenance and use of goods listed in the EU Common List of Military Equipment or in Annex II, to any natural or legal person, entity or body in, or for use in the DPRK;

(b)

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

(c)

to obtain, directly or indirectly, technical assistance related to goods and technology listed in the EU Common List of Military Equipment or in Annex II, and to the provision, manufacture, maintenance and use of goods listed in the EU Common List of Military Equipment or in Annex II from any natural or legal person, entity or body in, or for use in the DPRK;

(d)

to obtain, directly or indirectly, financing or financial assistance related to goods and technology listed in the EU Common List of Military Equipment or in Annex II, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance from any natural or legal person, entity or body in, or for use in, the DPRK.

2.   The prohibitions set out in paragraph 1 shall not apply to non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection, intended solely for protective use of personnel of the Union and its Member States in the DPRK.

Article 8

1.   By way of derogation from Article 3(1) and Article 7(1), the competent authorities of the Member States may authorise, under the terms and conditions they deem appropriate, the direct or indirect supply, sale, transfer or export of the items and technology, including software, referred to in point (a) and (b) of Article 3(1) or the assistance or brokering services referred to in Article 7(1), provided that the goods and technology, assistance or brokering services are for food, agricultural, medical or other humanitarian purposes.

2.   By way of derogation from point (a) of Article 3(1) and points (a) and (b) of Article 7(1), the competent authorities of the Member States may authorise the transactions referred to therein under the conditions they deem appropriate and provided that the UNSC has approved the request.

3.   The Member State concerned shall notify the other Member States and the Commission of any request for approval which it has submitted to the UNSC pursuant to paragraph 3.

4.   The Member State concerned shall notify the other Member States and the Commission within four weeks of authorisations granted pursuant to this Article.

Article 9

1.   In addition to the obligation to provide the competent customs authorities with the pre-arrival and pre-departure information as determined in the relevant provisions concerning entry and exit summary declarations as well as customs declarations in Regulation (EU) No 952/2013 of the European Parliament and of the Council (15), in Commission Delegated Regulation (EU) 2015/2446 (16) and in Commission Implementing Regulation (EU) 2015/2447 (17), the person who provides the information referred to in paragraph 2 shall declare whether the goods are covered by the EU Common List of Military Equipment or by this Regulation and, where their export is subject to authorisation, specify the goods and technology covered by the export licence granted.

2.   The required additional information shall be submitted using an electronic customs declaration or, in the absence of such a declaration, in any other electronic or written form, as appropriate.

Article 10

1.   It shall be prohibited:

(a)

to sell, supply, transfer or export, directly or indirectly, luxury goods as listed in Annex VIII, to the DPRK;

(b)

to import, purchase or transfer from the DPRK, directly or indirectly, luxury goods, as listed in Annex VIII, whether or not originating in the DPRK.

2.   The prohibition referred to in point (b) of paragraph 1 shall not apply to travellers' personal effects or to goods of a non-commercial nature for travellers' personal use contained in their luggage.

3.   The prohibitions referred to in paragraph 1 shall not apply to goods which are necessary for the official purposes of diplomatic or consular missions of Member States in the DPRK or of international organisations enjoying immunities in accordance with international law, or to the personal effects of their staff.

4.   The competent authorities of the Member States may authorise, under the conditions they deem appropriate, a transaction with regard to goods referred to in point (17) of Annex VIII, provided that the goods are for humanitarian purposes.

Article 11

It shall be prohibited:

(a)

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

(b)

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

(c)

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

Article 12

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

Article 13

It shall be prohibited to import, purchase or transfer, directly or indirectly, statues as listed in Annex X, from DPRK whether or not originating in the DPRK.

Article 14

By way of derogation from the prohibition in Article 13, the competent authorities of the Member States may authorise the import, purchase or transfer, provided that the Member State concerned has obtained the advance approval of the Sanctions Committee on a case-by-case basis.

Article 15

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, helicopters and vessels, as listed in Annex XI, to the DPRK.

Article 16

By way of derogation from the prohibition in Article 15, the competent authorities of the Member States may authorise such a sale, supply, transfer or export, provided that the Member State has obtained the advance approval of the Sanctions Committee on a case-by-case basis.

CHAPTER III

Restrictions on Certain Commercial Activities

Article 17

1.   It shall be prohibited, in the territory of the Union, to accept or approve investment in any commercial activity, where such investment is made by:

(a)

natural or legal persons, entities or bodies of the Government of the DPRK;

(b)

the Workers' Party of Korea;

(c)

nationals of the DPRK;

(d)

legal persons, entities or bodies incorporated or constituted under the law of the DPRK;

(e)

natural or legal persons, entities or bodies acting on behalf or at the direction of persons, entities or bodies referred to in (a) to (d); and

(f)

natural or legal persons, entities or bodies owned or controlled by the natural or legal persons, entities or bodies referred to in (a) to (d).

2.   It shall be prohibited:

(a)

to establish a joint venture with, or take or extend an ownership interest, including by acquisition in full or the acquisition of shares and other securities of a participatory nature in, any natural or legal person, entity or body referred to in paragraph 1 engaged in the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related activities or programmes, or in activities in the sectors of mining, refining, chemical, metallurgy and metalworking, and aerospace or conventional arms-related industries;

(b)

to grant financing or financial assistance to any natural or legal person, entity or body referred to in points (d) to (f) of paragraph 1 or for the documented purpose of financing such natural or legal persons, entities or bodies;

(c)

to provide investment services directly or indirectly related to the activities referred to in points (a) and (b) of this paragraph; and

(d)

to participate directly or indirectly in joint ventures or in any other business arrangements with entities listed in Annex XIII, as well as with natural or legal persons, entities or bodies acting for or on their behalf or direction.

Article 18

1.   It shall be prohibited:

(a)

to provide, directly or indirectly, any services incidental to mining or any services incidental to manufacturing in the chemical, mining and refining industry, that are referred to in part A of Annex XII, to any natural or legal person, entity or body in, or for use in, the DPRK; and

(b)

to provide, directly or indirectly, computer and related services as referred to in part B of Annex XII, to any natural or legal person, entity or body in, or for use in, the DPRK.

2.   The prohibition in point (b) of paragraph 1 shall not apply with respect to computer and related services, insofar as such services are intended to be used exclusively for the official purposes of a diplomatic or consular mission or an international organisation enjoying immunities in the DPRK in accordance with international law.

3.   The prohibition in point (b) of paragraph 1 shall not apply with respect to the provision of computer and related services by public bodies or by legal persons, entities or bodies that receive public funding from the Union or Member States to provide these services for development purposes that directly address the needs of the civilian population or the promotion of denuclearisation.

Article 19

1.   By way of derogation from point (a) of Article 18(1), the competent authorities of the Member States may authorise the provision of services incidental to mining and the provision of services incidental to manufacturing in the chemical, mining and refining industries, insofar as such services are intended to be used exclusively for development purposes that directly address the needs of the civilian population or the promotion of denuclearisation.

2.   In cases not covered by Article 18(3), and by way of derogation from point (b) of Article 18(1), the competent authorities of the Member States may authorise the provision of computer and related services, insofar as those services are intended to be used exclusively for development purposes that directly address the needs of the civilian population or the promotion of denuclearisation.

Article 20

1.   It shall be prohibited:

(a)

to lease or otherwise make available real property, directly or indirectly, to persons, entities or bodies of the Government of the DPRK, for any purpose other than diplomatic or consular activities, pursuant to the 1961 Vienna Convention on Diplomatic Relations and the 1963 Vienna Convention on Consular Relations;

(b)

to lease real property, directly or indirectly, from persons, entities or bodies of the Government of the DPRK; and

(c)

to engage in any activity linked to the use of real property that persons, entities or bodies of the Government of the DPRK own, lease or are otherwise entitled to use, except for the provision of goods and services which:

(i)

are essential for the functioning of diplomatic missions or consular posts, pursuant to the 1961 and 1963 Vienna Conventions; and

(ii)

cannot be used to generate income or profit, directly or indirectly, for the Government of the DPRK.

2.   For the purposes of this Article ‘real property’ means land, buildings and parts thereof which are located outside the territory of the DPRK.

CHAPTER IV

Restrictions on Transfers of Funds and Financial Services

Article 21

1.   It shall be prohibited to transfer funds to and from the DPRK.

2.   It shall be prohibited for credit and financial institutions to enter into, or continue to participate in, any transactions with:

(a)

credit and financial institutions domiciled in the DPRK;

(b)

branches or subsidiaries falling within the scope of Article 1 of credit and financial institutions domiciled in the DPRK;

(c)

branches or subsidiaries falling outside the scope of Article 1 of credit and financial institutions domiciled in the DPRK;

(d)

credit and financial institutions that are not domiciled in the DPRK, that fall within the scope of Article 1 and that are controlled by persons, entities or bodies domiciled in the DPRK;

(e)

credit and financial institutions that are not domiciled in DPRK or do not fall within the scope of Article 1, but are controlled by persons, entities or bodies domiciled in the DPRK.

3.   The prohibitions in paragraphs 1 and 2 shall not apply to any transfer of funds or transaction which is necessary for the official purposes of a diplomatic or consular mission of a Member State in the DPRK or an international organisation enjoying immunities in DPRK in accordance with international law.

4.   The prohibitions in paragraphs 1 and 2 shall not apply to any of the following transactions, provided that they involve a transfer of funds for amounts equal to or below EUR 15 000 or equivalent:

(a)

transactions regarding foodstuffs, healthcare or medical equipment or for agricultural or humanitarian purposes;

(b)

transactions regarding personal remittances;

(c)

transactions regarding the execution of the exemptions provided for in this Regulation;

(d)

transactions in connection with a specific trade contract not prohibited by this Regulation;

(e)

transactions required exclusively for the implementation of projects funded by the Union or its Member States for development purposes directly addressing the needs of the civilian population or the promotion of denuclearisation; and

(f)

transactions regarding a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such transactions are intended to be used for official purposes of the diplomatic or consular mission or international organisation.

Article 22

1.   By way of derogation from the prohibitions in Article 21(1) and (2), the competent authorities of the Member States may authorise the transactions mentioned in points (a) to (f) of Article 21(4) with a value above EUR 15 000 or equivalent.

2.   The requirement for authorisation referred to in paragraph 1 shall apply regardless of whether the transfer of funds is executed in a single operation or in several operations which appear to be linked. For the purpose of this Regulation, ‘operations which appear to be linked’ includes:

(a)

a series of consecutive transfers from or to the same credit or financial institution within the scope of Article 21(2), to or from the same DPRK person, entity or body, which are made in connection with a single obligation to transfer funds, where each individual transfer falls below EUR 15 000 but which, in the aggregate, meet the criteria for authorisation; and

(b)

a chain of transfers involving different payment service providers, or natural or legal persons, which is related to a single obligation to make a transfer of funds.

3.   The Member States shall notify each other and the Commission of any authorisation granted pursuant to paragraph 1.

4.   By way of derogation from the prohibitions in Article 21(1) and (2), the competent authorities of the Member States may authorise transactions regarding payments to satisfy claims against the DPRK, its nationals or legal persons, entities or bodies incorporated or constituted under the law of the DPRK, and transactions of a similar nature that do not contribute to activities prohibited by this Regulation, on a case-by-case basis and if the Member State concerned has notified the other Members States and the Commission at least 10 days in advance of granting an authorisation.

Article 23

1.   Credit and financial institutions shall, in their activities with credit and financial institutions referred to in Article 21(2):

(a)

apply customer due diligence measures established pursuant to Articles 13 and 14 of Directive (EU) 2015/849 of the European Parliament and of the Council (18);

(b)

ensure compliance with anti-money-laundering and counter-terrorist-financing procedures established pursuant to Directive (EU) 2015/849 and Regulation (EU) 2015/847 of the European Parliament and of the Council (19);

(c)

require that information on payers as well as information on payees accompanying transfers of funds is provided as required by Regulation (EU) 2015/847 and refuse to process the transaction if any of this information is missing or incomplete;

(d)

maintain records of the transactions in accordance with point (b) of Article 40 of Directive (EU) 2015/849;

(e)

where there are reasonable grounds to suspect that funds could contribute to the DPRK's nuclear-related, ballistic-missile-related or other weapons of mass destruction-related programmes or activities (‘proliferation financing’), promptly notify the competent Financial Intelligence Unit (FIU) as defined by Directive (EU) 2015/849, or any other competent authority designated by the Member State concerned, without prejudice to Article 7(1) or Article 33 of this Regulation;

(f)

promptly report any suspicious transactions, including attempted transactions;

(g)

refrain from carrying out transactions which they reasonably suspect could be related to proliferation financing until they have completed the necessary action in accordance with point (e) and have complied with any instructions from the relevant FIU or competent authority.

2.   For the purposes of paragraph 1, the FIU, or any other competent authority serving as a national centre for receiving and analysing suspicious transactions, shall receive reports regarding potential proliferation financing and shall have access, directly or indirectly, on a timely basis, to the financial, administrative and law-enforcement information that it requires in order to perform that function properly, including the analysis of suspicious transaction reports.

Article 24

It shall be prohibited for credit and financial institutions:

(a)

to open an account with a credit or financial institution referred to in Article 21(2);

(b)

to establish a correspondent banking relationship with a credit or financial institution referred to in Article 21(2);

(c)

to open representative offices in the DPRK, or to establish a new branch or subsidiary, in the DPRK; and

(d)

to establish a joint venture with or to take an ownership interest in a credit or financial institution referred to in Article 21(2).

Article 25

1.   By way of derogation from the prohibitions in points (b) and (d) of Article 24, the competent authorities of the Member States may authorise transactions if they have been approved by the Sanctions Committee in advance.

2.   The Member State concerned shall promptly notify the other Member States and the Commission of any authorisation under paragraph 1.

Article 26

In accordance with the requirements of UNSCR 2270 (2016), credit and financial institutions shall, on 31 May 2016 at the latest:

(a)

close any account with a credit or financial institution referred to in Article 21(2);

(b)

terminate any correspondent banking relationship with a credit or financial institution referred to in Article 21(2);

(c)

close representative offices, branches, and subsidiaries in the DPRK;

(d)

terminate joint ventures with a credit or financial institution referred to in Article 21(2); and

(e)

relinquish any ownership interest in a credit or financial institution referred to in Article 21(2).

Article 27

1.   By way of derogation from points (a) and (c) of Article 26, the competent authorities of the Member States may authorise certain representative offices, subsidiaries or accounts to remain operational, provided that the Sanctions Committee has determined on a case-by-case basis that such offices, subsidiaries or accounts are required for the delivery of humanitarian activities or the activities of diplomatic missions in the DPRK or the activities of the UN or its specialised agencies or related organisations or any other purpose consistent with the objectives of UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016) or 2371 (2017).

2.   The Member State concerned shall promptly notify the other Member States and the Commission of any authorisation granted pursuant to paragraph 1.

Article 28

1.   It shall be prohibited for credit and financial institutions to open an account for DPRK diplomatic missions or consular posts, and their DPRK members.

2.   On 11 April 2017 at the latest, credit and financial institutions shall close any account held or controlled by a DPRK diplomatic mission or consular post, and their DPRK members.

Article 29

1.   By way of derogation from Article 28(1), the competent authorities of the Member States may authorise, upon request of a DPRK diplomatic mission, consular post, or one of their members, the opening of one account per mission, post and member, provided that the mission or post is hosted in that Member State or the member of the mission or post is accredited to that Member State.

2.   By way of derogation from Article 28(2), the competent authorities of the Member States may authorise an account to remain open, upon request by a DPRK mission, post, or member, provided that the Member State has determined that:

(i)

the mission or post is hosted in that Member State or the member of that mission or post is accredited to that Member State; and

(ii)

the mission, post or its member does not hold any other account within that Member State.

In the event that the mission, post or the DPRK member holds more than one account within that Member State, the mission, post, or member may indicate which account shall be retained.

3.   Subject to the applicable rules of the 1961 Vienna Convention on Diplomatic Relations and the 1963 Vienna Convention on Consular Relations, the Member States shall inform the other Member States and the Commission of the names and identifying information of any DPRK member of the diplomatic mission and consular post accredited to that Member State, at the latest on 13 March 2017, and of subsequent updates within one week.

4.   The competent authorities of the Member States may inform credit and financial institutions in that Member State of the identity of any DPRK member of a diplomatic mission or consular post accredited to that or any other Member State.

5.   The Member States shall inform the other Member States and the Commission of any authorisation granted pursuant to paragraphs 1 and 2.

Article 30

It shall be prohibited:

(a)

to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of a credit or financial institution referred to in Article 21(2);

(b)

to conclude agreements for, or on behalf of, a credit or financial institution referred to in Article 21(2) pertaining to the opening of a representative office or the establishment of a branch or subsidiary in the Union;

(c)

to grant an authorisation for taking up and pursuing the business of a credit institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of a credit or financial institution referred to in Article 21(2), if the representative office, branch or subsidiary was not operational before 19 February 2013;

(d)

to acquire or to extend a participation, or to acquire any other ownership interest, in a credit or financial institution falling within the scope of Article 1 by any credit or financial institution referred to in Article 21(2); and

(e)

to operate or facilitate the operation of a representative office, branch or subsidiary of a credit or financial institution referred to in Article 21(2).

Article 31

It shall be prohibited:

(a)

to sell or purchase public or public-guaranteed bonds issued after 19 February 2013, directly or indirectly, to or from any of the following:

(i)

the DPRK or its Government, and its public bodies, corporations and agencies;

(ii)

the Central Bank of the DPRK;

(iii)

any credit or financial institution referred to in Article 21(2);

(iv)

a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to in point (i) or (ii);

(v)

a legal person, entity or body owned or controlled by a person, entity or body referred to in point (i), (ii) or (iii);

(b)

to provide brokering services with regard to public or public-guaranteed bonds issued after 19 February 2013 to a person, entity or body referred to in point (a);

(c)

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

Article 32

It shall be prohibited to provide financing or financial assistance for trade with the DPRK, including the granting of export credits, guarantees or insurance to natural or legal persons, entities or bodies involved in such trade.

Article 33

1.   By way of derogation from Article 32, the competent authorities of the Member States may authorise financial support for trade with the DPRK, provided that the Member State has obtained the advance approval of the Sanctions Committee on a case-by-case basis.

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

CHAPTER V

Freezing of Funds and Economic Resources

Article 34

1.   All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annexes XIII, XV, XVI and XVII shall be frozen.

2.   All vessels listed in Annex XIV shall be seized.

3.   No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes XIII, XV, XVI and XVII.

4.   Annex XIII shall include the persons, entities and bodies designated by the Sanctions Committee or the UNSC in accordance with paragraph 8(d) of UNSCR 1718 (2006), and paragraph 8 of UNSCR 2094 (2013).

Annex XIV shall include the vessels that have been designated by the Sanctions Committee pursuant to paragraph 12 of UNSCR 2321 (2016).

Annex XV shall include persons, entities and bodies not listed in Annex XIII and XIV, who, in accordance with point (b) of Article 27(1) of Decision (CFSP) 2016/849, or any equivalent subsequent provision, have been identified by the Council:

(a)

as responsible for, including through supporting or promoting, the DPRK's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes, or persons, entities or bodies acting on their behalf or at their direction, or persons, entities or bodies owned or controlled by them, including through illicit means;

(b)

as providing financial services or the transfer to, through or from the territory of the Union, or involving nationals of Member States or entities organised under their laws, or persons or financial institutions in the territory of the Union, of any financial or other assets or resources that could contribute to the DPRK's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes, or persons, entities or bodies acting on their behalf or at their direction, or persons, entities or bodies owned or controlled by them; or

(c)

as involved in, including through the provision of financial services, the supply to or from the DPRK of arms and related material of all types, or of items, materials, equipment, goods and technology which could contribute to the DPRK's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes.

5.   Annex XVI shall include the persons, entities or bodies not covered by Annex XIII, XIV or XV who are working on behalf of or at the direction of a person, entity or body listed in Annex XIII, XIV or XV or persons assisting in the evasion of sanctions or violating the provisions of this Regulation.

6.   Annex XVII shall include the entities or bodies of the Government of the DPRK, or the Workers' Party of Korea, persons, entities or bodies acting on their behalf or at their direction, and entities or bodies owned or controlled by them, which are associated with the DPRK's nuclear or ballistic missile programs or other activities prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016) or 2371 (2017), and which are not covered by Annexes XIII, XIV, XV or XVI.

7.   Annexes XV, XVI and XVII shall be reviewed at regular intervals and at least every 12 months.

8.   Annexes XIII, XIV, XV, XVI and XVII shall include the grounds for the listing of listed persons, entities, bodies and vessels concerned.

9.   Annexes XIII, XIV, XV, XVI and XVII shall also include, where available, information necessary to identify the natural or legal persons, entities, bodies and vessels concerned. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, address, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business.

10.   The prohibition in paragraphs 1 and 3, inasmuch as they refer to the persons, entities or bodies listed in Annex XVII, shall not apply where the funds and economic resources are required to carry out the activities of the DPRK's missions to the UN and its specialised agencies and related organisations or other diplomatic and consular missions of the DPRK, or where the competent authority of the Member State has obtained advance approval of the Sanctions Committee on a case-by-case basis that the funds, financial assets or economic resources are required for the delivery of humanitarian assistance, denuclearisation or any other purpose consistent with the objectives of UNSCR 2270 (2016).

11.   Paragraph 3 shall not prevent financial or credit institutions in the Union from crediting frozen accounts where they receive funds transferred by third parties to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall notify the competent authorities about such transactions without delay.

12.   Provided that any such interest, other earnings and payments are frozen in accordance with paragraph 1, paragraph 3 shall not apply to the addition to frozen accounts of:

(a)

interest or other earnings on those accounts; and

(b)

payments due under contracts, agreements or obligations that were concluded or arose prior to the date on which the person, entity or body referred to in this article was designated.

Article 35

1.   By way of derogation from Article 34, the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under the conditions they deem appropriate, where the following conditions are met:

(a)

after having determined that the funds or economic resources concerned are necessary to satisfy the basic needs of natural or legal persons, entities or bodies listed in Annexes XIII, XV, XVI or XVII and dependent family members of such natural persons, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums and public utility charges and payments intended exclusively for:

(i)

reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or

(ii)

fees or services charges for routine holding or maintenance of frozen funds or economic resources; and

(b)

where the authorisation concerns a person, entity or body listed in Annex XIII, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within five working days of notification.

2.   By way of derogation from Article 34, the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources or the making available of certain frozen funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses, provided that:

(a)

where the authorisation concerns a person, entity or body listed in Annex XIII, the Sanctions Committee has been notified of this determination by the Member State concerned and that the determination has been approved by that Committee;

(b)

where the authorisation concerns a person, entity or body listed in Annex XV, XVI or XVII the Member State concerned has notified other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation.

3.   The Member State concerned shall promptly notify the other Member States and the Commission of any authorisation granted under paragraphs 1 and 2.

Article 36

1.   By way of derogation from Article 34, the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources, where the following conditions are met:

(a)

the funds or economic resources are the subject of a judicial, administrative or arbitral decision established prior to the date on which the person, entity or body referred to in Article 34 was designated, or of a judicial, administrative or arbitral lien rendered prior to that date;

(b)

the funds or economic resources are to be used exclusively to satisfy claims secured by such a decision or recognised as valid in such a lien, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

(c)

the decision or lien is not for the benefit of a person, entity or body listed in Annex XIII, XV, XVI or XVII;

(d)

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

(e)

the decision or lien in respect of persons, entities and bodies listed in Annex XIII has been notified by the Member State concerned to the Sanctions Committee.

2.   By way of derogation from Article 34, and provided that a payment by a person, entity or body listed in Annex XV, XVI or XVII is due under a contract or agreement that was concluded by, or under an obligation for the person, entity or body concerned that arose before the date on which that person, entity or body has been designated, the competent authorities of the Member States may authorise, under the conditions they deem appropriate, the release of certain frozen funds or economic resources, provided that the competent authority concerned has determined that:

(a)

the contract is not related to any item, operation, service or transaction referred to in point (a) of Article 3(1), Article 3(3) or Article 7; and

(b)

the payment is not directly or indirectly received by a person, entity or body listed in Annex XV, XVI or XVII.

3.   The Member State concerned shall, at least 10 days prior to the granting of each authorisation pursuant to paragraph 2, notify the other Member States and the Commission of that determination and of its intention to grant an authorisation.

Article 37

The prohibitions in Article 34(1) and (3) shall not apply with regard to funds and economic resources belonging or made available to the Foreign Trade Bank or the Korean National Insurance Company (KNIC) insofar as such funds and economic resources are meant exclusively for the official purposes of a diplomatic or consular mission in the DPRK, or for humanitarian assistance activities which are undertaken by, or in coordination with, the United Nations.

CHAPTER VI

Restrictions on Transport

Article 38

1.   Cargo, including personal luggage and checked baggage, within or transiting through the Union, including airports, seaports and free zones, as referred to in Articles 243 to 249 of Regulation (EU) No 952/2013, shall be liable for inspection for the purposes of ensuring that it does not contain items prohibited by UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2371 (2017), or by this Regulation where:

(a)

the cargo originates from the DPRK;

(b)

the cargo is destined for the DPRK;

(c)

the cargo has been brokered or facilitated by the DPRK or its nationals or its individuals or entities acting on their behalf or at their direction, or entities owned or controlled by them;

(d)

the cargo has been brokered or facilitated by persons, entities or bodies listed in Annex XIII;

(e)

the cargo is being transported on a DPRK flagged vessel or aircraft registered to the DPRK, or on a stateless vessel or aircraft.

2.   Where the cargo within or transiting through the Union, including airports, seaports and free zones, falls outside of the scope of paragraph 1, it shall be liable for inspection where there are reasonable grounds to believe that it may contain items the sale, supply, transfer or export of which is prohibited by this Regulation in the following circumstances:

(a)

the cargo originates in the DPRK;

(b)

the cargo is destined for the DPRK; or

(c)

the cargo has been brokered or facilitated by the DPRK or its nationals or individuals or entities acting on their behalf.

3.   Paragraphs 1 and 2 shall be without prejudice to the inviolability and protection of diplomatic and consular bags provided for in the 1961 Vienna Convention on Diplomatic Relations and the 1963 Vienna Convention on Consular Relations.

4.   The provision of bunkering or ship-supply services, or any other servicing of vessels, to DPRK vessels is prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 9(1), that provides reasonable grounds to believe that the vessels carry items whose supply, sale, transfer or export is prohibited by this Regulation, unless the provision of such services is necessary for humanitarian purposes.

Article 39

1.   It shall be prohibited to provide access to ports in the territory of the Union to any vessel:

(a)

that is owned, operated or crewed by the DPRK;

(b)

that is flagged to the DPRK;

(c)

where there are reasonable grounds to believe that it is owned or controlled, directly or indirectly, by a person or entity listed in Annex XIII, XV, XVI or XVII;

(d)

where there are reasonable grounds to believe that it contains items the supply, sale, transfer or export of which is prohibited by this Regulation;

(e)

which has refused to be inspected after such an inspection has been authorised by the vessel's flag State or State of registration;

(f)

which is without nationality and has refused to be inspected in accordance with Article 38(1); or

(g)

that is listed under Annex XIV.

2.   Paragraph 1 shall not apply:

(a)

in the case of an emergency;

(b)

where the vessel is returning to its port of origin;

(c)

in the case of a vessel coming into port for inspection where that concerns a vessel within the scope of points (a) to (e) of paragraph 1.

Article 40

1.   By way of derogation from the prohibition in Article 39(1), where that concerns a vessel within the scope of points (a) to (e), the competent authorities of the Member States may authorise that vessel to come into port if:

(a)

the Sanctions Committee has determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of UNSCR 2270 (2016); or

(b)

the Member State has determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of this Regulation.

2.   By way of derogation from the prohibition in point (f) of Article 39(1), the competent authorities of the Member States may authorise a vessel to come into port if the Sanctions Committee has so directed.

Article 41

1.   It shall be prohibited for any aircraft operated by DPRK carriers or originating from the DPRK to take off from, land in or overfly the territory of the Union.

2.   Paragraph 1 shall not apply:

(a)

where the aircraft is landing for inspection;

(b)

in the case of an emergency landing.

Article 42

By way of derogation from Article 41, the competent authorities of the Member States may authorise an aircraft to take off from, land in or overfly the territory of the Union if those competent authorities have determined in advance that this is required for humanitarian purposes or any other purpose consistent with the objectives of this Regulation.

Article 43

It shall be prohibited:

(a)

to lease or charter vessels or aircraft or provide crew services to the DPRK, persons or entities listed in Annex XIII, XV, XVI or XVII, any other DPRK entities, any other persons or entities which have assisted in violating the provisions of UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016) or 2371 (2017) or any person or entity acting on behalf of, or at the direction of, any such person or entity, and entities owned or controlled by them;

(b)

to procure vessel or aircraft crew services from the DPRK;

(c)

to own, lease, operate, insure or provide vessel classification services or associated services, to any vessel flagged to the DPRK;

(d)

to register or maintain on the register, any vessel that is owned, controlled or operated by the DPRK or DPRK nationals, or has been de-registered by another State pursuant to paragraph 24 of UNSCR 2321 (2016); or

(e)

to provide insurance or reinsurance services to vessels owned, controlled or operated by the DPRK.

Article 44

1.   By way of derogation from the prohibition in point (a) of Article 43, the competent authorities of the Member States may authorise the leasing, chartering or provision of crew services, provided that the Member State has obtained the advance approval of the Sanctions Committee on a case-by-case basis.

2.   By way of derogation from the prohibitions in points (b) and (c) of Article 43, the competent authorities of the Member States may authorise the owning, leasing, operating of, or providing vessel classification services or associated services to any DPRK flagged vessel, or the registration, or maintenance on the register, of any vessel that is owned, controlled or operated by the DPRK or DPRK nationals, provided that the Member State has obtained the advance approval of the Sanctions Committee on a case-by-case basis.

3.   By way of derogation from the prohibition in point (e) of Article 43, the competent authorities of the Member States may authorise the provision of insurance or reinsurance services, provided that the Sanctions Committee has determined in advance on a case-by-case basis that the vessel is engaged in activities exclusively for livelihood purposes which will not be used by DPRK individuals or entities to generate revenue or exclusively for humanitarian purposes.

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

CHAPTER VII

General and Final Provisions

Article 45

By way of derogation from the prohibitions arising from UNSCR 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2070 (2016), 2321 (2016), 2356 (2016) or 2371 (2017) the competent authorities of Member States may authorise any activities if the Sanctions Committee has determined, on a case-by-case basis, that they are necessary to facilitate the work of international and non-governmental organisations carrying out assistance and relief activities in the DPRK for the benefit of the civilian population in the DPRK, pursuant to paragraph 46 of UNSCR 2321 (2016).

Article 46

The Commission shall be empowered to:

(a)

amend Annex I on the basis of information supplied by Member States;

(b)

amend Parts II, III, IV and V of Annex II and Annexes VI, VII, IX, X and XI on the basis of determinations made by either the Sanctions Committee or the UNSC and to update nomenclature codes from the Combined Nomenclature as set out in Annex I to Regulation (EEC) No 2658/87;

(c)

amend Annex VIII in order to refine or adapt the list of goods included therein, taking into account any definition or guidelines that may be promulgated by the Sanctions Committee or to update nomenclature codes from the Combined Nomenclature as set out in Annex I to Regulation (EEC) No 2658/87;

(d)

amend Annexes III, IV and V on the basis of determinations made by either the Sanctions Committee or the UNSC, or decisions taken concerning these Annexes in Decision (CFSP) 2016/849;

(e)

amend Annex XII in order to refine or adapt the list of services included therein, taking into account information provided by Member States as well as any definition or guidelines that may be issued by the United Nations Statistical Commission, or in order to add reference numbers taken from the Central Product Classification system for goods and services promulgated by the United Nations Statistical Commission.

Article 47

1.   Where the Security Council or the Sanctions Committee lists a natural or legal person, entity or body, the Council shall include such natural or legal person, entity or body in Annex XIII and XIV.

2.   Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 34(1), (2) or (3), it shall amend Annexes XV, XVI and XVII accordingly.

3.   The Council shall communicate its decision to the natural or legal person, entity or body referred to in paragraphs 1 and 2, including the grounds for listing, either directly, if the address is known, or through the publication of a notice, providing that natural or legal person, entity or body with an opportunity to present observations.

4.   Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body referred to in paragraphs 1 and 2 accordingly.

5.   Where the United Nations decides to delist a natural or legal person, entity or body, or to amend the identifying data of a listed natural or legal person, entity or body, the Council shall amend Annexes XIII and XIV accordingly.

Article 48

The Commission and Member States shall immediately notify each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violations and enforcement problems and judgments handed down by national courts.

Article 49

1.   Member States shall designate the competent authorities referred to in this Regulation and identify them in, or through, the websites as listed in Annex I.

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

Article 50

1.   Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

(a)

supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 34, to the competent authorities of the Member States, where they are resident or located, and shall promptly transmit such information, directly or through the relevant Member States, to the Commission and;

(b)

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

2.   Any additional information directly received by the Commission shall promptly be made available to the Member State concerned.

3.   Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 51

The Commission shall process personal data in order to carry out the tasks incumbent on it under this Regulation and in accordance with the provisions of Regulation (EC) No 45/2001.

Article 52

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

Article 53

1.   No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed by this Regulation, including claims for indemnity or any other claim of that type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

(a)

designated persons, entities or bodies listed in Annex XIII, XV, XVI or XVII, or the shipowners of vessels listed in Annex XIV;

(b)

any other DPRK person, entity or body, including the Government of the DPRK and its public bodies, corporations and agencies;

(c)

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

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

3.   In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.

4.   This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation.

Article 54

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

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

Article 55

1.   Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive.

2.   Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 56

Regulation (EC) No 329/2007 is hereby repealed. References to the repealed Regulation shall be construed as references to this Regulation.

Article 57

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

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

Done at Brussels, 30 August 2017.

For the Council

The President

M. MAASIKAS


(1)  OJ L 141, 28.5.2016, p. 79.

(2)  Council Regulation (EC) No 329/2007 of 27 March 2007 concerning restrictive measures against the Democratic People's Republic of Korea (OJ L 88, 29.3.2007, p. 1).

(3)  Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff (OJ L 256, 7.9.1987, p. 1)

(4)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

(5)  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).

(6)  Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms (OJ L 176, 27.6.2013, p. 1).

(7)  Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC (OJ L 176, 27.6.2013, p. 338).

(8)  Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) (OJ L 335, 17.12.2009, p. 1).

(9)  Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1).

(10)  Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation (OJ L 9, 15.1.2003, p. 3).

(11)  Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007 on payment services in the internal market (OJ L 319, 5.12.2007, p. 1).

(12)  Directive 2009/110/EC of the European Parliament and of the Council of 16 September 2009 on the taking up, pursuit and prudential supervision of the business of electronic money institutions (OJ L 267, 10.10.2009, p. 7).

(13)  Regulation (EU) No 260/2012 of the European Parliament and of the Council of 14 March 2012 establishing technical and business requirements for credit transfers and direct debits in euro and amending Regulation (EC) No 924/2009 (OJ L 94, 30.3.2012, p. 22)

(14)  Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (OJ L 134, 29.5.2009, p. 1).

(15)  Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ L 269, 10.10.2013, p. 1).

(16)  Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code (OJ L 343, 29.12.2015, p. 1).

(17)  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).

(18)  Directive (EU) 2015/849 of the European Parliament and of the Council of 20 May 2015 on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, amending Regulation (EU) No 648/2012 of the European Parliament and of the Council, and repealing Directive 2005/60/EC of the European Parliament and of the Council and Commission Directive 2006/70/EC (OJ L 141, 5.6.2015, p. 73).

(19)  Regulation (EU) 2015/847 of the European Parliament and of the Council of 20 May 2015 on information accompanying transfers of funds and repealing Regulation (EC) No 1781/2006 (OJ L 141, 5.6.2015, p. 1).


ANNEX I

Websites for information on the competent authorities referred to in Articles 2, 4, 6, 8, 14, 16, 19, 22, 25, 27, 29, 33, 34, 35, 36, 37, 40, 42, 44, 45, 49 and 50 and address for notifications to the European Commission

BELGIUM

https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties

https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions

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

BULGARIA

http://www.mfa.bg/en/pages/135/index.html

CZECH REPUBLIC

www.financnianalytickyurad.cz/mezinarodni-sankce.html

DENMARK

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

GERMANY

http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html

ESTONIA

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

IRELAND

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

GREECE

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

SPAIN

http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunidadesRiesgos/Paginas/SancionesInternacionales.aspx

FRANCE

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

CROATIA

http://www.mvep.hr/sankcije

ITALY

http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm

CYPRUS

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

LATVIA

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

LITHUANIA

http://www.urm.lt/sanctions

LUXEMBOURG

http://www.mae.lu/sanctions

HUNGARY

http://www.kormany.hu/download/9/2a/f0000/EU%20szankci%C3%B3s%20t%C3%A1j%C3%A9koztat%C3%B3_20170214_final.pdf

MALTA

https://www.gov.mt/en/Government/Government%20of%20Malta/Ministries%20and%20Entities/Officially%20Appointed%20Bodies/Pages/Boards/Sanctions-Monitoring-Board-.aspx

NETHERLANDS

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

AUSTRIA

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

POLAND

http://www.msz.gov.pl

PORTUGAL

http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restritivas/medidas-restritivas.aspx

ROMANIA

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

SLOVENIA

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

SLOVAKIA

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

FINLAND

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

SWEDEN

http://www.ud.se/sanktioner

UNITED KINGDOM

https://www.gov.uk/sanctions-embargoes-and-restrictions

Address for notifications to the European Commission:

European Commission

Service for Foreign Policy Instruments (FPI)

EEAS 07/99

B-1049 Brussels, Belgium

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


ANNEX II

Goods and technology referred to in point (a) of Article 3(1) and in Article 7

PART I

All goods and technology listed in Annex I to Regulation (EC) No 428/2009.

PART II

Other items, materials, equipment, goods and technology which could contribute to DPRK's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes.

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

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

Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

Definitions of terms between ‘double quotation marks’ can be found in Annex I to Regulation (EC) No 428/2009.

GENERAL NOTES

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

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

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

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with Part C.)

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

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

Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not prohibited.

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

A.   GOODS

NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

II.A0.

Goods

No

Description

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

II.A0.001

Hollow cathode lamps as follows:

a.

Iodine hollow cathode lamps with windows in pure silicon or quartz;

b.

Uranium hollow cathode lamps.

 

II.A0.002

Faraday isolators in the wavelength range 500 nm-650 nm.

 

II.A0.003

Optical gratings in the wavelength range 500 nm-650 nm.

 

II.A0.004

Optical fibres in the wavelength range 500 nm-650 nm coated with anti-reflecting layers in the wavelength range 500 nm-650 nm and having a core diameter greater than 0,4 mm but not exceeding 2 mm.

 

II.A0.005

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

a.

Seals;

b.

Internal components;

c.

Sealing, testing and measurement equipment.

0A001

II.A0.006

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

N.B: For personal equipment refer to I.A1.004 below.

0A001.j.

1A004.c.

II.A0.007

Bellows-sealed valves other than those specified in 0B001.c.6., 2A226 or 2B350, made of aluminium alloy or stainless steel type 304, 304L or 316L.

0B001.c.6.

2A226

2B350

II.A0.008

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

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

0B001.g.5.

6A005.e.

II.A0.009

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

0B001.g.

6A005.e.2.

II.A0.010

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

2B350

II.A0.011

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

a.

Turbo-molecular pumps having a flow-rate equal to or greater than 400 l/s;

b.

Roots type vacuum roughing pumps having a volumetric aspiration flow-rate greater than 200 m3/h;

c.

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

0B002.f.2.

2B231

II.A0.012

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

0B006

II.A0.013

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

0C001

II.A0.014

Detonation chambers having a capacity of explosion absorption of more than 2,5 kg TNT equivalent.

 

SPECIAL MATERIALS AND RELATED EQUIPMENT

II.A1.

Goods

No

Description

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

II.A1.001

Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) Chemical Abstract Number (CAS): [CAS 298-07-7] solvent in any quantity, with a purity greater than 90 %.

 

II.A1.002

Fluorine gas CAS: [7782-41-4], with a purity of at least 95 %.

 

II.A1.003

Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials:

a.

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

b.

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

c.

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

d.

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

e.

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

f.

Polytetrafluoroethylene (PTFE).

1A001

II.A1.004

Personal equipment for detecting radiation of nuclear origin, other than that specified in 1A004.c., including personal dosimeters.

1A004.c.

II.A1.005

Electrolytic cells for fluorine production, other than those specified in 1B225, with an output capacity greater than 100 g of fluorine per hour.

1B225

II.A1.006

Catalysts, other than those specified in 1A225 or 1B231, containing platinum, palladium or rhodium, usable for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

1A225

1B231

II.A1.007

Aluminium and its alloys, other than those specified in 1C002.b.4. or 1C202.a., in crude or semi-fabricated form having either of the following characteristics:

a.

‘Capable of’ an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or

b.

Having a tensile strength of 415 MPa or more at 298 K (25 °C).

The phrase alloys ‘capable of’ encompasses alloys before or after heat treatment.

1C002.b.4.

1C202.a.

II.A1.008

Magnetic metals, of all types and of whatever form, other than those specified in 1C003.a. having an ‘initial relative permeability’ of 120 000 or more and a thickness between 0,05 mm and 0,1 mm.

Measurement of ‘initial relative permeability’ must be performed on fully annealed materials.

1C003.a.

II.A1.009

‘Fibrous or filamentary materials’ or prepregs, other than those specified in 1C010.a., 1C010.b., 1C210.a. or 1C210.b., as follows:

a.

Aramid ‘fibrous or filamentary materials’ having either of the following characteristics:

1.A

‘specific modulus’ exceeding 10 × 106 m; or

2.A

‘specific tensile strength’ exceeding 17 × 104 m;

b.

Glass ‘fibrous or filamentary materials’ having either of the following characteristics:

1.A

‘specific modulus’ exceeding 3,18 × 106 m; or

2.A

‘specific tensile strength’ exceeding 76,2 × 103 m;

c.

Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm or less (once prepregs), made from glass ‘fibrous or filamentary materials’ other than those specified in I.A1.010.a. below;

d.

Carbon ‘fibrous or filamentary materials’;

e.

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

f.

Polyacrylonitrile (PAN) continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’;

g.

Para-aramid ‘fibrous or filamentary materials’ (Kevlar® and other Kevlar®-like fibres).

1C010.a.

1C010.b.

1C210.a.

1C210.b.

II.A1.010

Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or ‘carbon fibre preforms’, as follows:

a.

Made from ‘fibrous or filamentary materials’ specified in I.A1.009 above;

b.

Epoxy resin ‘matrix’ impregnated carbon ‘fibrous or filamentary materials’ (prepregs), specified in 1C010.a., 1C010.b. or 1C010.c., for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm;

c.

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

1C010

1C210

II.A1.011

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

1C107

II.A1.012

Not used.

 

II.A1.013

Tantalum, tantalum carbide, tungsten, tungsten carbide and alloys thereof, other than those specified in 1C226, having both of the following characteristics:

a.

In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and

b.

A mass greater than 5 kg.

1C226

II.A1.014

‘Elemental powders’ of cobalt, neodymium or samarium or alloys or mixtures thereof containing at least 20 % by weight of cobalt, neodymium or samarium, with a particle size less than 200 μm.

‘Elemental powder’ means a high purity powder of one element.

 

II.A1.015

Pure tributyl phosphate (TBP) [CAS No 126-73-8] or any mixture having a TBP content of more than 5 % by weight.

 

II.A1.016

Maraging steel, other than those specified by 1C116 or 1C216.

1.

The phrase maraging steel ‘capable of’ encompasses maraging steel before or after heat treatment.

2.

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

1C116

1C216

II.A1.017

Metals, metal powders and material as follows:

a.

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

b.

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

c.

Tungsten materials in the solid form, other than those specified in 1C226 having material compositions as follows:

1.

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

2.

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

3.

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

1C117

1C226

II.A1.018

Soft magnetic alloys, other than those specified in 1C003, having a chemical composition as follows:

a.

Iron content between 30 % and 60 %; and

b.

Cobalt content between 40 % and 60 %.

1C003

II.A1.019

Not used.

 

II.A1.020

Graphite, other than that specified in 0C004 or 1C107.a., designed or specified for use in Electrical Discharge Machining (EDM) machines.

0C004

1C107.a.

II.A1.021

Steel alloys in sheet or plate form, having any of the following characteristics:

a.

Steel alloys ‘capable of’ ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or

b.

Nitrogen-stabilised duplex stainless steel.

Note: the phrase alloys ‘capable of’ encompasses alloys before or after heat treatment.

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

1C116

1C216

II.A1.022

Carbon-Carbon Composite material.

1A002.b.1

II.A1.023

Nickel alloys in crude or semi-fabricated form, containing 60 % by weight or more nickel.

1C002.c.1.a

II.A1.024

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

Note: the phrase alloys ‘capable of’ encompasses alloys before or after heat treatment.

1C002.b.3

II.A1.025

Titanium alloys, other than those specified in 1C002 and 1C202.

1C002

1C202

II.A1.026

Zirconium and zirconium alloys, other than those specified in 1C011, 1C111 and 1C234.

1C011

1C111

1C234

II.A1.027

Explosive materials other than those specified in 1C239, or materials or mixtures containing more than 2 % by weight of such explosive materials, with a crystalline density higher than 1,5 g/cm3 and with a detonation speed higher than 5 000  m/s.

1C239

MATERIALS PROCESSING

II.A2.

Goods

No

Description

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

II.A2.001

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

a.

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

b.

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

‘Real-time control bandwidth’ is defined as the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals.

c.

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

d.

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

‘bare table’ means a flat table, or surface, with no fixture or fittings.

2B116

II.A2.002

Machine tools, other than those specified in 2B001 or 2B201 and any combination thereof, for removing (or cutting) metals, ceramics, or ‘composites’ that, according to the manufacturer's technical specification, can be equipped with electronic devices for ‘numerical control’, having positioning accuracies of equal to or less (better) than 30 μm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis.

2B001

2B201

II.A2.002a

Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201 or I.A2.002 above.

 

II.A2.003

Balancing machines and related equipment as follows:

a.

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

1.

Not capable of balancing rotors/assemblies having a mass greater than 3 kg;

2.

Capable of balancing rotors/assemblies at speeds greater than 12 500  rpm;

3.

Capable of correcting unbalance in two planes or more; and

4.

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

b.

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

‘Indicator heads’ are sometimes known as balancing instrumentation.

2B119

II.A2.004

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

a.

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

b.

A capability of bridging over the top of a hot cell wall with a thickness of 0,3 m or more (over the wall operation).

Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of master/slave type or operated by joystick or keypad.

2B225

II.A2.005

Controlled atmosphere heat treatment furnaces or oxidation furnaces capable of operation at temperatures above 400 °C.

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

2B226

2B227

II.A2.006

Not used.

 

II.A2.007

‘Pressure transducers’, other than those defined in 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics:

a.

Pressure sensing elements made of or protected by ‘Materials resistant to corrosion by uranium hexafluoride (UF6)’; and

b.

Having either of the following characteristics:

1.

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

2.

A full scale of 200 kPa or greater and an ‘accuracy’ of better than 2 kPa.

For the purposes of 2B230 ‘accuracy’ includes non-linearity, hysteresis and repeatability at ambient temperature.

2B230

II.A2.008

Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, plate columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

a.

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

b.

Fluoropolymers;

c.

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

d.

Graphite or ‘carbon graphite’;

e.

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

f.

Tantalum or tantalum alloys;

g.

Titanium or titanium alloys;

h.

Zirconium or zirconium alloys; or

i.

Stainless steel.

‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

2B350.e.

II.A2.009

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

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from any of the following materials:

a.

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

b.

Fluoropolymers;

c.

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

d.

Graphite or ‘carbon graphite’;

e.

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

f.

Tantalum or tantalum alloys;

g.

Titanium or titanium alloys;

h.

Zirconium or zirconium alloys;

i.

Silicon carbide;

j.

Titanium carbide; or

k.

Stainless steel.

This item does not cover vehicle radiators.

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

2B350.d.

II.A2.010

Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, or vacuum pumps and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

a.

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

b.

Ceramics;

c.

Ferrosilicon;

d.

Fluoropolymers;

e.

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

f.

Graphite or ‘carbon graphite’;

g.

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

h.

Tantalum or tantalum alloys;

i.

Titanium or titanium alloys;

j.

Zirconium or zirconium alloys;

k.

Niobium (columbium) or niobium alloys;

l.

Stainless steel;

m.

Aluminium alloys; or

n.

Rubber.

The materials used for gaskets and seals and other implementations of sealing functions do not determine the status of control of the pump. The term ‘rubber’ encompasses all kinds of natural and synthetic rubbers.

2B350.i.

II.A2.011

‘Centrifugal separators’, other than those specified in 2B352.c., capable of continuous separation without the propagation of aerosols and manufactured from:

a.

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

b.

Fluoropolymers;

c.

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

d.

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

e.

Tantalum or tantalum alloys;

f.

Titanium or titanium alloys; or

g.

Zirconium or zirconium alloys.

‘Centrifugal separators’ include decanters.

2B352.c.

II.A2.012

Sintered metal filters, other than those specified in 2B352.d., made of nickel or nickel alloy with more than 40 % nickel by weight.

2B352.d.

II.A2.013

Spin-forming machines and flow-forming machines, other than those specified by 2B009, 2B109 or 2B209 and specially designed components therefor.

For the purpose of this item, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines.

2B009

2B109

2B209

II.A2.014

Equipment and reagents, other than those specified in 2B350 or 2B352, as follows:

a.

Fermenters capable of cultivation of pathogenic ‘micro-organisms’ or viruses, or capable of toxin production, without the propagation of aerosols, and having a total capacity of 10 l or more;

b.

Agitators for fermenters as mentioned in a. above;

Fermenters include bioreactors, chemostats and continuous-flow systems.

c.

Laboratory equipment as follows:

1.

Polymerase chain reaction (PCR)-equipment

2.

Genetic sequencing equipment;

3.

Genetic synthesizers;

4.

Electroporation equipment;

5.

Specific reagents associated with the equipment in I.A2.014.c. numbers 1. to 4. above;

d.

Filters, micro-filters, nano-filters or ultra-filters usable in industrial or laboratory biology for continuous filtering, except filters specially designed or modified for medical or clear water production purposes and to be used in the framework of EU or UN officially supported projects;

e.

Ultracentrifuges, rotors and adaptors for ultracentrifuges;

f.

Freeze drying equipment.

2B350

2B352

II.A2.015

Equipment, other than that specified in 2B005, 2B105 or 3B001.d., for the deposition of metallic overlays as follows, and specially designed components and accessories therefor:

a.

Chemical vapour deposition (CVD) production equipment;

b.

Physical vapour deposition (PVD) production equipment;

c.

Production equipment for deposition by means of inductive or resistance heating.

2B005

2B105

3B001.d.

II.A2.016

Open tanks or containers, with or without agitators, with a total internal (geometric) volume greater than 0,5 m3 (500 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

a.

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

b.

Fluoropolymers;

c.

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

d.

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

e.

Tantalum or tantalum alloys;

f.

Titanium or titanium alloys;

g.

Zirconium or zirconium alloys;

h.

Niobium (columbium) or niobium alloys;

i.

Stainless steel;

j.

Wood; or

k.

Rubber.

The term ‘rubber’ encompasses all kinds of natural and synthetic rubbers.

2B350

ELECTRONICS

II.A3.

Goods

No

Description

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

II.A3.001

High voltage direct current power supplies, other than those specified in 0B001.j.5. or 3A227, having both of the following characteristics:

a.

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

b.

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

0B001.j.5.

3A227

II.A3.002

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

a.

Inductively coupled plasma mass spectrometers (ICP/MS);

b.

Glow discharge mass spectrometers (GDMS);

c.

Thermal ionisation mass spectrometers (TIMS);

d.

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

e.

Molecular beam mass spectrometers having either of the following characteristics:

1.

A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80 °C) or less; or

2.

A source chamber constructed from, lined with or plated with materials resistant to UF6;

f.

Mass spectrometers equipped with a micro-fluorination ion source designed for actinides or actinide fluorides.

0B002.g.

3A233

II.A3.003

Frequency changers or generators, other than those specified by 0B001.b.13. or 3A225, having all of the following characteristics, and specially designed components and software therefor:

a.

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

b.

Capable of operating in the frequency range between 600 and 2 000  Hz; and

c.

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

1.

Frequency changers are also known as converters, inverters, generators, electronic test equipment, AC power supplies, variable speed motor drives or variable frequency drives.

2.

The functionality specified in this item may be met by certain equipment marketed as: electronic test equipment, AC power supplies, variable speed motor drives or variable frequency drives.

0B001.b.13.

3A225

II.A3.004

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

 

SENSORS AND LASERS

II.A6.

Goods

No

Description

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

II.A6.001

Yttrium aluminium garnet (YAG) rods.

 

II.A6.002

Optical equipment and components, other than those specified in 6A002 or 6A004.b. as follows:

Infrared optics in the wavelength range 9 μm-17 μm and components thereof, including cadmium telluride (CdTe) components.

6A002

6A004.b.

II.A6.003

Wave front corrector systems, other than mirrors specified in 6A004.a., 6A005.e. or 6A005.f., for use with a laser beam having a diameter exceeding 4 mm, and specially designed components thereof, including control systems, phase front sensors and ‘deformable mirrors’ including bimorph mirrors.

6A004.a.

6A005.e.

6A005.f.

II.A6.004

Argon ion ‘lasers’, other than those specified in 0B001.g.5., 6A005.a.6. and/or 6A205.a., having an average output power equal to or greater than 5 W.

0B001.g.5.

6A005.a.6.

6A205.a.

II.A6.005

Semiconductor ‘lasers’, other than those specified in 0B001.g.5., 0B001.h.6. or 6A005.b., and components thereof, as follows:

a.

Individual semiconductor ‘lasers’ with an output power greater than 200 mW each, in quantities larger than 100;

b.

Semiconductor ‘laser’ arrays having an output power greater than 20 W.

1.

Semiconductor ‘lasers’ are commonly called ‘laser’ diodes.

2.

This item does not cover ‘laser’ diodes with a wavelength in the range 1,2 μm-2,0 μm.

0B001.g.5.

0B001.h.6.

6A005.b.

II.A6.006

Tunable semiconductor ‘lasers’ and tunable semiconductor ‘laser’ arrays, other than those specified in 0B001.h.6. or 6A005.b., of a wavelength between 9 μm and 17 μm, as well as array stacks of semiconductor ‘lasers’ containing at least one tunable semiconductor ‘laser’ array of such wavelength.

Semiconductor ‘lasers’ are commonly called ‘laser’ diodes.

0B001.h.6.

6A005.b.

II.A6.007

Solid state ‘tunable’‘lasers’, other than those specified in 0B001.g.5., 0B001.h.6. or 6A005.c.1., and specially designed components thereof, as follows:

a.

Titanium-sapphire lasers;

b.

Alexandrite lasers.

0B001.g.5.

0B001.h.6.

6A005.c.1.

II.A6.008

Neodymium-doped (other than glass) ‘lasers’, other than those specified in 6A005.c.2.b., having an output wavelength greater than 1,0 μm but not exceeding 1,1 μm and output energy exceeding 10 J per pulse.

6A005.c.2.b.

II.A6.009

Components of acousto-optics, as follows:

a.

Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1 kHz;

b.

Recurrence frequency supplies;

c.

Pockels cells.

6A203.b.4.

II.A6.010

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

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

6A203.c.

II.A6.011

Tunable pulsed dye laser amplifiers and oscillators, other than those specified in 0B001.g.5., 6A005 and or 6A205.c., having all of the following characteristics:

a.

Operating at wavelengths between 300 nm and 800 nm;

b.

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

c.

A repetition rate greater than 1 kHz; and

d.

Pulse width less than 100 ns.

This item does not cover single mode oscillators.

0B001.g.5.

6A005

6A205.c.

II.A6.012

Pulsed carbon dioxide ‘lasers’, other than those specified in, 0B001.h.6., 6A005.d. or 6A205.d., having all of the following characteristics:

a.

Operating at wavelengths between 9 μm and 11 μm;

b.

A repetition rate greater than 250 Hz;

c.

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

d.

Pulse width less than 200 ns.

0B001.h.6.

6A005.d.

6A205.d.

II.A6.013

Lasers, other than those specified in 6A005 or 6A205.

6A005

6A205

NAVIGATION AND AVIONICS

II.A7.

Goods

No

Description

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

II.A7.001

Inertial navigation systems and specially designed components thereof, as follows:

a.

Inertial navigation systems which are certified for use on ‘civil aircraft’ by civil authorities of a State participating in the Wassenaar Arrangement, and specially designed components thereof, as follows:

1.

Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment designed for ‘aircraft’, land vehicle, vessels (surface or underwater) or ‘spacecraft’ for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof:

a.

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

b.

Specified to function at linear acceleration levels exceeding 10 g;

2.

Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with ‘Data-Based Referenced Navigation’ (‘DBRN’) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or ‘DBRN’ for a period of up to four minutes, of less (better) than 10 metres ‘Circular Error Probable’ (CEP);

3.

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

a.

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

b.

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

b.

Theodolite systems incorporating inertial equipment specially designed for civil surveying purposes and designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude, and specially designed components thereof.

c.

Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in down-hole well services operations.

The parameters of a.1. and a.2. are applicable with any of the following environmental conditions:

1.

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

a.

A constant power spectral density (PSD) value of 0,04 g2/Hz over a frequency interval of 15 to 1 000  Hz; and

b.

The PSD attenuates with a frequency from 0,04 g2/Hz to 0,01 g2/Hz over a frequency interval from 1 000 to 2 000  Hz;

2.

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

3.

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

1.

a.2. refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance.

2.

‘Circular Error Probable’ (CEP) — In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located.

7A001

7A003

7A101

7A103

AEROSPACE AND PROPULSION

II.A9.

Goods

No

Description

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

II.A9.001

Explosive bolts.

 

II.A9.002

Internal combustion engines (i.e. axial piston or rotary piston type), designed or modified for propelling ‘aircrafts’ or ‘lighter-than-air-vehicles’ and specially designed components therefor.

 

II.A9.003

Trucks, other than those specified in 9A115, having more than one motorised axle and a payload exceeding 5 tonnes.

This item includes flatbed trailers, semi trailers and other trailers.

9A115

B.   SOFTWARE

No

Description

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

II.B.001

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

 

C.   TECHNOLOGY

No

Description Items, materials, equipment, goods and technology

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

II.C.001

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

 

PART III

Certain key components for the ballistic-missile sector.

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

7601

Unwrought aluminium

7602

Aluminium waste and scrap

7603

Aluminium powders and flakes

7604

Aluminium bars, rods and profiles

7605

Aluminium wire

7606

Aluminium plates, sheets and strip, of a thickness exceeding 0,2 mm

7608

Aluminium tubes and pipes

7609

Aluminium tube or pipe fittings (for example, couplings, elbows, sleeves)

7614

Stranded wire, cables, plaited bands and the like, of aluminium, not electrically insulated

PART IV

Weapons of mass destruction-related items, materials, equipment, goods and technology identified and designated pursuant to paragraph 25 of UN Security Council Resolution 2270 (2016).

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

(a)   Nuclear- and/or Missile-usable Items

(1)   Ring Magnets

Permanent magnet materials having both the following characteristics:

i.

Ring-shaped magnet with a relation between outer and inner diameter smaller or equal to 1.6:1; and

ii.

Made of any of the following magnetic materials: aluminium-nickel-cobalt, ferrites, samarium-cobalt, or neodymium-iron-boron.

 

ex 8505 11 00

 

ex 8505 19 10

 

ex 8505 19 90

 

ex 8505 90 90

(2)   Maraging Steel

Maraging steel having both the following characteristics:

i.

‘capable of’ an ultimate tensile strength of 1 500 MPa or more at 293 K (20 °C).

ii.

In bar or tube form, with an outer diameter of 75 mm or greater.

 

ex 7304 49 10

 

ex 7304 51 81

 

ex 7304 51 89

 

ex 7304 59 92

 

ex 7304 59 93

 

ex 7304 59 99

(3)   Magnetic alloy materials in sheet or thin strip form having both of the following characteristics:

(a)

Thickness of 0,05 mm or less; or height of 25 mm or less, and

(b)

Made of any of the following magnetic alloy materials: iron-chromium-cobalt, iron-cobalt-vanadium, iron-chromium-cobalt-vanadium, or iron-chromium.

 

ex 7326 19 10

 

ex 7326 19 90

 

ex 7326 90 92

 

ex 7326 90 94

 

ex 7326 90 96

 

ex 7326 90 98

(4)   Frequency Changers (also known as converters or inverters)

Frequency changers, other than those specified in entries 0B001.b.13 or 3A225 of Annex II, having all of the following characteristics, and specially designed software therefore:

i.

Multiphase frequency output;

ii.

Capable of providing a power of 40 W or greater; and

iii.

Capable of operating anywhere (at any one point or more) within the frequency range of between 600 and 2 000 Hz.

Technical Notes:

(1)

Frequency changers are also known as converters or inverters.

(2)

The functionality specified above may be met by certain equipment described or marketed as electronic test equipment, AC power supplies, variable speed motor drives, or variable frequency drives.

 

ex 8504 40 84

 

ex 8504 40 88

 

ex 8504 40 90

 

ex 8537 10 95

 

ex 8537 10 98

 

ex 8537 20 91

 

ex 8537 20 99

(5)   High-strength Aluminium Alloy

Aluminium alloys having both the following characteristics:

i.

‘capable of’ an ultimate tensile of strength of 415 MPa or more at 293 K (20 °C) and

ii.

In bar or tube form, with an outer diameter of 75 mm or greater.

Technical Note:

The phrase ‘capable of’ encompasses aluminium alloy before or after heat treatment.

 

ex 7601 20 80

 

ex 7604 29 10

 

ex 7608 20 20

 

ex 7608 20 81

 

ex 7608 20 89

(6)   Fibrous or Filamentary Materials

‘Fibrous or filamentary materials’ and prepregs, as follows:

i.

Carbon, aramid, or glass ‘fibrous or filamentary materials’ having both of the following characteristics:

(1)

A ‘specific modulus’ exceeding 3,18 × 106 m; and

(2)

A ‘specific tensile strength’ exceeding 76,2 × 103 m;

ii.

Prepregs: Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 30 mm or less, made from carbon, aramid, or glass ‘fibrous or filamentary materials’ controlled in (a) above.

 

ex 5402 11 00

 

ex 5402 19 00

 

ex 5402 31 00

 

ex 5402 32 00

 

ex 5404 90 90

 

ex 5407 10 00

 

ex 5407 20 90

 

ex 5407 41 00

 

ex 5407 42 00

 

ex 5407 43 00

 

ex 5407 44 00

 

ex 5501 10 00

 

ex 5501 90 00

 

ex 5503 11 00

 

ex 5503 19 00

 

ex 5503 20 00

 

ex 5503 90 00

 

ex 5506 10 00

 

ex 5506 90 00

 

ex 5509 11 00

 

ex 5509 12 00

 

ex 5604 90 10

 

ex 5607 50 11

 

ex 5607 50 19

 

ex 5607 50 30

 

ex 5607 50 90

 

ex 5609 00 00

 

ex 5902 10 10

 

ex 5902 10 90

 

ex 5902 20 90

 

ex 5902 90 10

 

ex 5902 90 90

 

ex 5903 10 10

 

ex 5903 10 90

 

ex 5903 20 10

 

ex 5903 20 90

 

ex 5903 90 10

 

ex 5903 90 91

 

ex 5903 90 99

 

ex 6815 10 10

 

ex 6815 99 00

 

ex 7019 12 00

 

ex 7019 19 10

 

ex 7019 19 90

 

ex 7019 51 00

 

ex 7019 59 00

 

ex 7019 90 00

(7)   Filament Winding Machines and Related Equipment

Filament winding machines and related equipment, as follows:

i.

Filament winding machines having all of the following characteristics:

(1)

Having motions for positioning, wrapping, and winding fibres coordinated and programmed in two or more axes;

(2)

Specially designed to fabricate composite structures or laminates from ‘fibrous or filamentary materials’; and

(3)

Capable of winding cylindrical tubes of diameter of 75 mm or greater;

ii.

Coordinating and programming controls for filament winding machines specified in (a) above;

iii.

Mandrels for filament winding machines specified in (a) above.

 

ex 8419 89 30

 

ex 8419 89 98

 

ex 8419 90 85

 

ex 8444 00 10

 

ex 8444 00 90

 

ex 8446 10 00

 

ex 8446 21 00

 

ex 8446 29 00

 

ex 8446 30 00

 

ex 8447 11 00

 

ex 8447 12 00

 

ex 8447 20 20

 

ex 8447 20 80

 

ex 8447 90 00

 

ex 8448 19 00

 

ex 8448 20 00

 

ex 8448 39 00

 

ex 8448 42 00

 

ex 8448 49 00

 

ex 8448 59 00

 

ex 8479 89 97

 

ex 8479 90 20

 

ex 8479 90 70

 

ex 8537 10 10

 

ex 8537 10 91

 

ex 8537 10 95

 

ex 8537 10 98

 

ex 8538 10 00

 

ex 9022 12 00

 

ex 9022 19 00

 

ex 9022 90 00

 

ex 9031 80 80

 

ex 9031 90 00

(8)   Flow-forming Machines

As described in INFCIRC/254/Rev.9/Part2 and S/2014/253

 

ex 8463 90 00

 

ex 8466 94 00

(9)   Laser welding equipment

 

ex 8515 80 10

 

ex 8515 80 90

 

ex 8515 90 00

(10)   4- and 5-axis CNC machine tools

 

ex 8457 10 10

 

ex 8457 10 90

 

ex 8457 20 00

 

ex 8457 30 10

 

ex 8457 30 90

 

ex 8458 11 20

 

ex 8458 11 41

 

ex 8458 11 49

 

ex 8458 11 80

 

ex 8458 19 00

 

ex 8458 91 20

 

ex 8458 91 80

 

ex 8459 10 00

 

ex 8459 21 00

 

ex 8459 31 00

 

ex 8459 41 00

 

ex 8459 51 00

 

ex 8459 61 10

 

ex 8459 61 90

 

ex 8460 12 00

 

ex 8460 22 00

 

ex 8460 23 00

 

ex 8460 24 00

 

ex 8460 31 00

 

ex 8460 40 10

 

ex 8460 90 00

 

ex 8461 20 00

 

ex 8461 30 10

 

ex 8461 40 11

 

ex 8461 40 31

 

ex 8461 40 71

 

ex 8461 40 90

 

ex 8461 90 00

 

ex 8464 20 11

 

ex 8464 20 19

 

ex 8464 20 80

 

ex 8464 90 00

(11)   Plasma cutting equipment

 

ex 8556 40 00

 

ex 8515 31 00

 

ex 8515 39 90

 

ex 8515 80 10

 

ex 8515 80 90

 

ex 8515 90 00

(12)   Metal hydrides such as, zirconium hydride

ex 2850 00 20

(b)   Chemical/Biological Weapons-usable Items

(1)

Additional chemicals suitable for the production of chemical warfare agents:

Product description

 

CN code

Sodium metal (7440-23-5)

 

2805 11 00

Sulphur trioxide (7446-11-9)

ex

2811 29 10

Aluminium chloride (7446-70-0)

 

2827 32 00

Potassium Bromide (7758-02-3)

 

2827 51 00

Sodium bromide (7647-15-6)

 

2827 51 00

Dichloromethane (75-09-2)

 

2903 12 00

Isopropyl bromide (75-26-3)

ex

2903 39 19

Isopropyl ether (108-20-3)

ex

2909 19 90

Monoisopropylamine (75-31-0)

ex

2921 19 99

Trimethylamine (75-50-3)

ex

2921 11 00

Tributylamine (102-82-9)

ex

2921 19 99

Triethylamine (121-44-8)

ex

2921 19 99

N,N-Dimethylaniline (121-69-7)

ex

2921 42 00

Pyridine (110-86-1)

ex

2933 31 00

(2)

Reaction vessels, reactors, agitators, heat exchangers, condensers, pumps, valves, storage tanks, containers, receivers, and distillation or absorption columns that meet performance parameters described in S/2006/853 and S/2006/853/corr.1.

Single-seal pumps with manufacturer's specified maximum flow-rate greater than 0,6 m3/h and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemical(s) being processed are made from any of the following materials:

(a)

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

(b)

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

(c)

fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

(d)

glass or glass-lined (including vitrified or enamelled coating);

(e)

graphite or carbon-graphite;

(f)

tantalum or tantalum alloys;

(g)

titanium or titanium alloys;

(h)

zirconium or zirconium alloys;

(i)

ceramics;

(j)

ferrosilicon (high silicon iron alloys); or

(k)

niobium (columbium) or niobium alloys.

ex 3925 10 00

ex 3925 90 80

ex 3926 90 92

ex 3926 90 97

ex 4009 21 00

ex 4009 22 00

ex 4009 41 00

ex 4009 42 00

ex 4016 93 00

ex 6909 11 00

ex 6909 12 00

ex 6909 19 00

ex 6909 90 00

ex 6914 90 00

ex 7020 00 10

ex 7020 00 30

ex 7020 00 80

ex 7304 41 00

ex 7304 49 93

ex 7304 49 95

ex 7304 49 99

ex 7304 51 81

ex 7304 51 89

ex 7304 59 92

ex 7304 59 93

ex 7304 59 99

ex 7306 40 20

ex 7306 40 80

ex 7306 50 20

ex 7306 50 80

ex 7306 69 10

ex 7306 69 90

ex 7306 90 00

ex 7309 00 10

ex 7309 00 30

ex 7309 00 51

ex 7309 00 59

ex 7309 00 90

ex 7310 10 00

ex 7310 29 10

ex 7310 29 90

ex 7311 00 00

ex 7326 90 92

ex 7326 90 94

ex 7326 90 96

ex 7326 90 98

ex 7507 11 00

ex 7507 12 00

ex 7507 20 00

ex 7508 90 00

ex 8103 90 90

ex 8108 90 50

ex 8108 90 60

ex 8108 90 90

ex 8109 90 00

ex 8112 99 30

ex 8401 20 00

ex 8401 40 00

ex 8401 10 00

ex 8412 90 20

ex 8413 50 40

ex 8413 60 39

ex 8413 60 61

ex 8413 60 69

ex 8413 60 70

ex 8413 60 80

ex 8413 70 21

ex 8413 70 29

ex 8413 70 45

ex 8413 70 51

ex 8413 70 59

ex 8413 70 65

ex 8413 70 75

ex 8413 70 81

ex 8413 70 89

ex 8413 81 00

ex 8413 82 00

ex 8413 91 00

ex 8414 10 25

ex 8414 10 81

ex 8414 10 89

ex 8414 40 10

ex 8414 40 90

ex 8414 59 15

ex 8414 59 25

ex 8414 59 23

ex 8414 59 95

ex 8414 80 11

ex 8418 99 10

ex 8414 80 19

ex 8414 80 59

ex 8414 80 73

ex 8414 80 75

ex 8414 80 78

ex 8414 80 80

ex 8414 90 00

ex 8417 80 30

ex 8417 80 50

ex 8417 80 70

ex 8418 69 00

ex 8419 40 00

ex 8419 50 00

ex 8419 89 10

ex 8419 89 30

ex 8419 89 98

ex 8419 90 85

ex 8477 80 93

ex 8477 80 99

ex 8479 82 00

ex 8479 89 97

ex 8479 90 70

(3)

Conventional or turbulent air-flow clean-air rooms and self-contained fan-HEPA filter units that could be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containment facilities.

 

ex 8414 51 00

 

ex 8414 59 00

 

ex 8414 60 00

 

ex 8414 80 80

 

ex 8421 39 15

 

ex 8421 39 25

 

ex 8479 89 97

PART V

Weapons of mass destruction-related items, materials, equipment, goods and technology identified and designated pursuant to paragraph 4 of UN Security Council Resolution 2321 (2016).

EXPLANATORY NOTE

A reference number in the column entitled Related item from Annex I to Council Regulation (EC) No 428/2009 or from Part II of Annex II to this Regulation (goods and technology) means that the characteristics of the item described in the column ‘Description’ lie outside the parameters set out in the description of the goods and technology referred to.

Nuclear- and/or Missile-usable Items

Description

Related item from Annex I to Regulation (EC) No 428/2009 or from Part II of Annex II to this Regulation

Isocyanates (TDI (Toluene di-isocyanate), MDI (Methylene bis (phenyl isocyanate)), IPDI (Isophorone diiosocyanate), HNMDI or HDI (Hexamethylene diisocyanate), and DDI (dimeryl diisocyanate) and production equipment.

 

Ammonium nitrate, chemically pure or in phase stabilized version (PSAN).

 

Non-destructive test chambers with a 1m or more critical internal dimension.

 

Turbo-pumps for liquid or hybrid rocket engines

9A006

Polymeric Substances (Hydroxyl Terminated Poly-Ether (HTPE), Hydroxyl Terminated Caprolactone Ether (HTCE), Polypropylene glycol (PPG), Polydiethyleneglycol adipate (PGA) and Polyethylene Glycol (PEG)).

 

Countermeasure Subsystems and Penetration Aids (e.g. jammers, chaff, decoys) designed to saturate, confuse, or evade missile defences.

 

Manganese metal Brazing Foils.

 

Hydroforming machines.

 

Thermal treatment furnaces — Temperature > 850 degrees C and one dimension > 1m

II.A2.005, 2B226, 2B227

Electrical Discharge Machines (EDMs)

2B001.d

Friction stir welding machines.

 

Modelling and design software related to the modelling of aerodynamic and thermodynamic analysis of rocket or unmanned aerial vehicle systems.

 

High-speed imaging cameras except those used in medical imaging systems

6A003.a.2

Truck chassis with 6 or more axles

9A115 and II.A9.003

Chemical/Biological Weapons-usable Items

Description

Related item from Annex I to Regulation (EC) No 428/2009 or from Part II of Annex II to this Regulation

1.

Floor-mounted fume hoods (walk-in style) with a minimum nominal width of 2,5 meters

2B352

2.

Batch centrifuges with a rotor capacity of 4 L or greater, usable with biological materials

II.A2.014.e., 2B350, 2B352

3.

Fermenters with an internal volume of 10-20 L (.01-.02 cubic meters), usable with biological materials

2B352 and II.A2.014.a.


(1)  Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established.


ANNEX III

Aviation fuel referred to in point (b) of Article 3(1)

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

Code

Description

From 2710 12 31 till 2710 12 59

Gasoline

2710 12 70

Naptha-type jet fuel

2710 19 21

Kerosene-type jet fuel

2710 19 25

Kerosene-type rocket fuel


ANNEX IV

Gold, titanium ore, vanadium ore and rare earth minerals referred to in point (d) of Article 3(1)

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

Code

Description

ex ex 2530 90 00

Ores of the rare earth metals

ex ex 26 12

Monazites and other ores used solely or principally for the extraction of uranium or thorium

ex ex 2614 00 00

Titanium ore

ex ex 2615 90 00

Vanadium ore

2616 90 00 10

Gold ores and concentrates


ANNEX V

Coal, iron and iron ore as referred to in point (e) of Article 3(1)

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

Code

Description

ex ex 26 01

Iron ore

2701

Coal; briquettes, ovoids and similar solid fuels manufactured from coal

2702

Lignite, whether or not agglomerated, excluding jet

2703

Peat (including peat litter), whether or not agglomerated

2704 00 10

Coke and semi-coke of coal, of lignite or of peat, whether or not agglomerated; retort carbon

7201

Pig iron and spiegeleisen in pigs, blocks or other primary forms

7202

Ferro-alloys

7203

Ferrous products obtained by direct reduction of iron ore and other spongy ferrous products, in lumps, pellets or similar forms; iron having a minimum purity by weight of 99,94 %, in lumps, pellets or similar forms

7204 10 00

Waste and scrap of cast iron

ex ex 7204 30 00

Waste and scrap of tinned iron or steel

ex ex 7204 41

Other waste and scrap: Turnings, shavings, chips, milling waste, sawdust, filings, trimmings and stampings, whether or not in bundles

ex ex 7204 49

Other waste and scrap: Other

ex ex 7204 50 00

Other waste and scrap: Remelting scrap ingot

ex ex 7205 10 00

Granules

ex ex 7205 29 00

Powders, other than of alloy steel

ex ex 7206 10 00

Ingots

ex ex 7206 90 00

Other

ex ex 72 07

Semi-finished products of iron or non-alloy steel

ex ex 72 08

Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, hot-rolled, not clad, plated or coated

ex ex 72 09

Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, cold-rolled (cold-reduced), not clad, plated or coated

ex ex 72 10

Flat-rolled products of iron or non-alloy steel, of a width of 600 mm or more, clad, plated or coated

ex ex 72 11

Flat-rolled products of iron or non-alloy steel, of a width of less than 600 mm, not clad, plated or coated

ex ex 72 12

Flat-rolled products of iron or non-alloy steel, of a width of less than 600 mm, clad, plated or coated

ex ex 72 14

Other bars and rods of iron or non-alloy steel, not further worked than forged, hot-rolled, hot-drawn or hot-extruded, but including those twisted after rolling

ex ex 72 15

Other bars and rods of iron or non-alloy steel

ex ex 72 16

Angles, shapes and sections of iron or non-alloy steel

ex ex 72 17

Wire of iron or non-alloy steel


ANNEX VI

Petroleum products referred to in point (f) of Article 3(1)

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

 

2707

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

 

2709

Petroleum oils and oils obtained from bituminous minerals, crude

 

2710

Petroleum oils and oils obtained from bituminous minerals, other than crude; preparations not elsewhere specified or included, containing by weight 70 % or more of petroleum oils or of oils obtained from bituminous minerals, these oils being the basic constituents of the preparations; waste oils

 

2711

Petroleum gases and other gaseous hydrocarbons

 

2712 10

Petroleum jelly

 

2712 20

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

Ex

2712 90

Other

 

2713

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

Ex

2714

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

Ex

2715

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

 

 

Preparations containing petroleum oils or oils obtained from bituminous minerals

 

3403 11

– –

Preparations for the treatment of textile materials, leather, furskins or other materials

 

3403 19

– –

Other

 

 

Other

Ex

3403 91

– –

Preparations for the treatment of textile materials, leather, furskins or other materials

Ex

3403 99

– –

Other

 

 

– – – – –

Chemical products or preparations, predominantly composed of organic compounds, not elsewhere specified or included

Ex

3824 99 92

– – – – – –

In the form of a liquid at 20 °C

Ex

3824 99 93

– – – – – –

Other

Ex

3824 99 96

– – – – –

Other

 

3826 00 10

Fatty-acid mono-alkyl esters, containing by volume 96,5 % or more of esters (FAMAE)

 

3826 00 90

Other


ANNEX VII

Copper, nickel, silver and zinc referred to in point (g) of Article 3(1)

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

Copper

 

2603

Copper ores and concentrates

 

74

Copper and articles thereof

 

8536 90 95 30

Rivet contacts

of copper

plated with silver nickel alloy AgNi10 or with silver containing by weight 11,2 % (± 1,0 %) of tin oxide and of indium oxide taken together

with a thickness of the plating of 0,3 mm (– 0/+ 0,015mm)

ex

8538 90 99

Copper parts suitable for use solely or principally with the apparatus of heading 8535 , 8536 or 8537

 

8544 11

Winding wire of copper

 

 

Other copper electric conductors, for a voltage not exceeding 1 000 V:

ex

8544 42

– –

Fitted with connectors

ex

8544 49

– –

Other

 

 

Other electric conductors, for a voltage exceeding 1 000 V:

 

8544 60 10

– –

With copper conductors

Nickel

 

2604

Nickel ores and concentrates

 

 

Ferro-alloys:

 

7202 60

Ferro-nickel

 

 

Wire of stainless steel:

 

7223 00 11

– –

Containing by weight 28 % or more but not more than 31 % of nickel and 20 % or more but not more than 22 % of chromium

 

75

Nickel and articles thereof

 

8105 90 00 10

Bars or wires made of cobalt alloy containing, by weight:

35 % (± 2 %) cobalt,

25 % (± 1 %) nickel,

19 % (± 1 %) chromium and

7 % (± 2 %) iron

conforming to the material specifications AMS 5842, of a kind used in the aerospace industry

Silver

 

2616 10

Silver ores and concentrates

Zinc

 

2608

Zinc ores and concentrates

 

79

Zinc and articles thereof


ANNEX VIII

Luxury goods referred to in Article 10

EXPLANATORY NOTE

The nomenclature codes are taken from the Combined Nomenclature as defined in Article 1(2) of Council Regulation (EEC) No 2658/87 of 23 July 1987 on the tariff and statistical nomenclature and on the Common Customs Tariff and as set out in Annex I thereto, which are valid at the time of publication of this Regulation and mutatis mutandis as amended by subsequent legislation.

(1)   Pure-Bred Horses

 

0101 21 00

Pure-bred breeding animals

ex

0101 29 90

Other

(2)   Caviar and caviar substitutes

 

1604 31 00

Caviar

 

1604 32 00

Caviar substitutes

(3)   Truffles and preparations thereof

 

0709 59 50

Truffles

ex

0710 80 69

Other

ex

0711 59 00

Other

ex

0712 39 00

Other

ex

2001 90 97

Other

 

2003 90 10

Truffles

ex

2103 90 90

Other

ex

2104 10 00

Soups and broths and preparations therefor

ex

2104 20 00

Homogenised composite food preparations

ex

2106 00 00

Food preparations not elsewhere specified or included

(4)   High quality wines (including sparkling wines), spirits and spirituous beverages

 

2204 10 11

Champagne

 

2204 10 91

Asti spumante

ex

2204 10 93

Other

ex

2204 10 94

With a protected geographical indication (PGI)

ex

2204 10 96

Other varietal wines

ex

2204 10 98

Other

ex

2204 21 00

In containers holding 2 litres or less

ex

2204 29 00

Other

ex

2205 00 00

Vermouth and other wine of fresh grapes flavoured with plants or aromatic substances

ex

2206 00 00

Other fermented beverages (for example, cider, perry, mead); mixtures of fermented beverages and mixtures of fermented beverages and non-alcoholic beverages, not elsewhere specified or included

ex

2207 10 00

Undenatured ethyl alcohol of an alcoholic strength by volume of 80 % vol or higher

ex

2208 00 00

Undenatured ethyl alcohol of an alcoholic strength by volume of less than 80 % vol; spirits, liqueurs and other spirituous beverages

(5)   High quality cigars and cigarillos

ex

2402 10 00

Cigars, cheroots and cigarillos, containing tobacco

ex

2402 90 00

Other

(6)   Luxury perfumes, toilet waters and cosmetics, including beauty and make-up products

ex

3303 00 00

Perfumes and toilet waters

ex

3304 00 00

Beauty or make-up preparations and preparations for the care of the skin (other than medicaments), including sunscreen or suntan preparations; manicure or pedicure preparations

ex

3305 00 00

Preparations for use on the hair

ex

3307 00 00

Pre-shave, shaving or aftershave preparations, personal deodorants, bath preparations, depilatories and other perfumery, cosmetic or toilet preparations, not elsewhere specified or included; prepared room deodorisers, whether or not perfumed or having disinfectant properties

ex

6704 00 00

Wigs, false beards, eyebrows and eyelashes, switches and the like, of human or animal hair or of textile materials; articles of human hair not elsewhere specified or included

(7)   High quality leather, saddlery and travel goods, handbags and similar articles

ex

4201 00 00

Saddlery and harness for any animal (including traces, leads, knee pads, muzzles, saddle-cloths, saddlebags, dog coats and the like), of any material

ex

4202 00 00

Trunks, suitcases, vanity cases, executive-cases, briefcases, school satchels, spectacle cases, binocular cases, camera cases, musical instrument cases, gun cases, holsters and similar containers; travelling-bags, insulated food or beverages bags, toilet bags, rucksacks, handbags, shopping-bags, wallets, purses, map-cases, cigarette-cases, tobacco-pouches, tool bags, sports bags, bottle-cases, jewellery boxes, powder boxes, cutlery cases and similar containers, of leather or of composition leather, of sheeting of plastics, of textile materials, of vulcanised fibre or of paperboard, or wholly or mainly covered with such materials or with paper

ex

4205 00 90

Other

ex

9605 00 00

Travel sets for personal toilet, sewing or shoe or clothes cleaning

(8)   High quality garments, clothing accessories and shoes (regardless of their material)

ex

4203 00 00

Articles of apparel and clothing accessories, of leather or of composition leather

ex

4303 00 00

Articles of apparel, clothing accessories and other articles of furskin

ex

6101 00 00

Men's or boys' overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, knitted or crocheted, other than those of heading 6103

ex

6102 00 00

Women's or girls' overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, knitted or crocheted, other than those of heading 6104

ex

6103 00 00

Men's or boys' suits, ensembles, jackets, blazers, trousers, bib and brace overalls, breeches and shorts (other than swimwear), knitted or crocheted

ex

6104 00 00

Women's or girls' suits, ensembles, jackets, blazers, dresses, skirts, divided skirts, trousers, bib and brace overalls, breeches and shorts (other than swimwear), knitted or crocheted

ex

6105 00 00

Men's or boys' shirts, knitted or crocheted

ex

6106 00 00

Women's or girls' blouses, shirts and shirt-blouses, knitted or crocheted

ex

6107 00 00

Men's or boys' underpants, briefs, nightshirts, pyjamas, bathrobes, dressing gowns and similar articles, knitted or crocheted

ex

6108 00 00

Women's or girls' slips, petticoats, briefs, panties, nightdresses, pyjamas, négligés, bathrobes, dressing gowns and similar articles, knitted or crocheted

ex

6109 00 00

T-shirts, singlets and other vests, knitted or crocheted

ex

6110 00 00

Jerseys, pullovers, cardigans, waistcoats and similar articles, knitted or crocheted

ex

6111 00 00

Babies' garments and clothing accessories, knitted or crocheted

ex

6112 11 00

Of cotton

ex

6112 12 00

Of synthetic fibres

ex

6112 19 00

Of other textile materials

 

6112 20 00

Ski suits

 

6112 31 00

Of synthetic fibres

 

6112 39 00

Of other textile materials

 

6112 41 00

Of synthetic fibres

 

6112 49 00

Of other textile materials

ex

6113 00 10

Of knitted or crocheted fabrics of heading 5906

ex

6113 00 90

Other

ex

6114 00 00

Other garments, knitted or crocheted

ex

6115 00 00

Pantyhose, tights, stockings, socks and other hosiery, including graduated compression hosiery (for example, stockings for varicose veins) and footwear without applied soles, knitted or crocheted

ex

6116 00 00

Gloves, mittens and mitts, knitted or crocheted

ex

6117 00 00

Other made-up clothing accessories, knitted or crocheted; knitted or crocheted parts of garments or of clothing accessories

ex

6201 00 00

Men's or boys' overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, other than those of heading 6203

ex

6202 00 00

Women's or girls' overcoats, car coats, capes, cloaks, anoraks (including ski jackets), windcheaters, wind-jackets and similar articles, other than those of heading 6204

ex

6203 00 00

Men's or boys' suits, ensembles, jackets, blazers, trousers, bib and brace overalls, breeches and shorts (other than swimwear)

ex

6204 00 00

Women's or girls. suits, ensembles, jackets, blazers, dresses, skirts, divided skirts, trousers, bib and brace overalls, breeches and shorts (other than swimwear)

ex

6205 00 00

Men's or boys' shirts

ex

6206 00 00

Women's or girls' blouses, shirts and shirt-blouses

ex

6207 00 00

Men's or boys' singlets and other vests, underpants, briefs, nightshirts, pyjamas, bathrobes, dressing gowns and similar articles

ex

6208 00 00

Women's or girls' singlets and other vests, slips, petticoats, briefs, panties, nightdresses, pyjamas, négligés, bathrobes, dressing gowns and similar articles

ex

6209 00 00

Babies' garments and clothing accessories

ex

6210 10 00

Of fabrics of heading 5602  or 5603

 

6210 20 00

Other garments, of the type described in subheadings 6201 11  to 6201 19

 

6210 30 00

Other garments, of the type described in subheadings 6202 11  to 6202 19

ex

6210 40 00

Other men's or boys' garments

ex

6210 50 00

Other women's or girls' garments

 

6211 11 00

Men's or boys'

 

6211 12 00

Women's or girls'

 

6211 20 00

Ski suits

ex

6211 32 00

Of cotton

ex

6211 33 00

Of man-made fibres

ex

6211 39 00

Of other textile materials

ex

6211 42 00

Of cotton

ex

6211 43 00

Of man-made fibres

ex

6211 49 00

Of other textile materials

ex

6212 00 00

Brassières, girdles, corsets, braces, suspenders, garters and similar articles and parts thereof, whether or not knitted or crocheted

ex

6213 00 00

Handkerchiefs

ex

6214 00 00

Shawls, scarves, mufflers, mantillas, veils and the like

ex

6215 00 00

Ties, bow ties and cravats

ex

6216 00 00

Gloves, mittens and mitts

ex

6217 00 00

Other made-up clothing accessories; parts of garments or of clothing accessories, other than those of heading 6212

ex

6401 00 00

Waterproof footwear with outer soles and uppers of rubber or of plastics, the uppers of which are neither fixed to the sole nor assembled by stitching, riveting, nailing, screwing, plugging or similar processes

ex

6402 20 00

Footwear with upper straps or thongs assembled to the sole by means of plugs

ex

6402 91 00

Covering the ankle

ex

6402 99 00

Other

ex

6403 19 00

Other

ex

6403 20 00

Footwear with outer soles of leather, and uppers which consist of leather straps across the instep and around the big toe

ex

6403 40 00

Other footwear, incorporating a protective metal toecap

ex

6403 51 00

Covering the ankle

ex

6403 59 00

Other

ex

6403 91 00

Covering the ankle

ex

6403 99 00

Other

ex

6404 19 10

Slippers and other indoor footwear

ex

6404 20 00

Footwear with outer soles of leather or composition leather

ex

6405 00 00

Other footwear

ex

6504 00 00

Hats and other headgear, plaited or made by assembling strips of any material, whether or not lined or trimmed

ex

6505 00 10

Of fur felt or of felt of wool and fur, made from the hat bodies, hoods or plateaux of heading 6501 00 00

ex

6505 00 30

Peaked caps

ex

6505 00 90

Other

ex

6506 99 00

Of other materials

ex

6601 91 00

Having a telescopic shaft

ex

6601 99 00

Other

ex

6602 00 00

Walking sticks, seat-sticks, whips, riding-crops and the like

ex

9619 00 81

Napkins and napkin liners for babies

(9)   Carpets, rugs and tapestries, hand-made or not, valued higher than EUR 473 (1)

ex

5701 00 00

Carpets and other textile floor coverings, knotted, whether or not made up

ex

5702 10 00

‘Kelem’, ‘Schumacks’, ‘Karamanie’ and similar hand-woven rugs

ex

5702 20 00

Floor coverings of coconut fibres (coir)

ex

5702 31 80

Other

ex

5702 32 00

Of man-made textile materials

ex

5702 39 00

Of other textile materials

ex

5702 41 90

Other

ex

5702 42 00

Of man-made textile materials

ex

5702 50 00

Other, not of pile construction, not made up

ex

5702 91 00

Of wool or fine animal hair

ex

5702 92 00

Of man-made textile materials

ex

5702 99 00

Of other textile materials

ex

5703 00 00

Carpets and other textile floor coverings, tufted, whether or not made up

ex

5704 00 00

Carpets and other textile floor coverings, of felt, not tufted or flocked, whether or not made up

ex

5705 00 00

Other carpets and other textile floor coverings, whether or not made up

ex

5805 00 00

Hand-woven tapestries of the type Gobelins, Flanders, Aubusson, Beauvais and the like, and needle-worked tapestries (for example, petit point, cross stitch), whether or not made up

(10)   Pearls, precious and semi-precious stones, articles of pearls, jewellery, gold- or silversmith articles

 

7101 00 00

Pearls, natural or cultured, whether or not worked or graded but not strung, mounted or set; pearls, natural or cultured, temporarily strung for convenience of transport

 

7102 00 00

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

 

7103 00 00

Precious stones (other than diamonds) and semi-precious stones, whether or not worked or graded but not strung, mounted or set; ungraded precious stones (other than diamonds) and semi-precious stones, temporarily strung for convenience of transport

 

7104 20 00

Other, unworked or simply sawn or roughly shaped

 

7104 90 00

Other

 

7105 00 00

Dust and powder of natural or synthetic precious or semi-precious stones

 

7106 00 00

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

 

7107 00 00

Base metals clad with silver, not further worked than semi-manufactured

 

7108 00 00

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

 

7109 00 00

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

 

7110 11 00

Unwrought or in powder form

 

7110 19 00

Other

 

7110 21 00

Unwrought or in powder form

 

7110 29 00

Other

 

7110 31 00

Unwrought or in powder form

 

7110 39 00

Other

 

7110 41 00

Unwrought or in powder form

 

7110 49 00

Other

 

7111 00 00

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

 

7113 00 00

Articles of jewellery and parts thereof, of precious metal or of metal clad with precious metal

 

7114 00 00

Articles of goldsmiths' or silversmiths' wares and parts thereof, of precious metal or of metal clad with precious metal

 

7115 00 00

Other articles of precious metal or of metal clad with precious metal

 

7116 00 00

Articles of natural or cultured pearls, precious or semi-precious stones (natural, synthetic or reconstructed)

(11)   Coins and banknotes, not being legal tender