EUROPEAN COMMISSION

Brussels, 7.12.2022

JOIN(2022) 55 final/2 DOWNGRADED ON 14.3.2023

2022/0422(NLE)

Joint Proposal for a

COUNCIL REGULATION

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

EXPLANATORY MEMORANDUM

2022/0422 (NLE)

Joint Proposal for a

COUNCIL REGULATION

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

THE COUNCIL OF THE EUROPEAN UNION,

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

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

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

Whereas:

(1)On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine.

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

(3)On XXX the Council adopted Decision (CFSP) 2022/XXX amending Decision (CFSP) 2022/XXX.

(4)Decision (CFSP) 2022/XXX extends the list of restricted items which might contribute to Russia’s military and technological enhancement or the development of its defence and security sector, by adding drone engines, further chemical and biological equipment, riot control agents and electronic components.

(5)Decision (CFSP) 2022/XXXX expands the list of entities connected to Russia’s military and industrial complex, on whom tighter export restrictions regarding dual-use goods and technology as well as goods and technology which might contribute to the technological enhancement of Russia’s defence and security sector are imposed by adding 169 new entities. In view of the concrete risk that certain goods or technology are redirected from Crimea or Sevastopol to the Russian Federation, it is also appropriate to include certain Russian-controlled entities based in Crimea or Sevastopol in this list of end-users. This inclusion does not affect the fact that the Union does not recognise and continues to strongly condemn the illegal annexation of Crimea and Sevastopol by the Russian Federation.

(6)Decision (CFSP) 2022/XXX extends the suspension of the broadcasting licences in the Union of Russian media outlets under the permanent control of the Russian leadership.

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

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

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

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

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

(12)In light of the specific procedure foreseen by the Council to suspend broadcasting licences, including a prior notification to targeted media outlet and hearings, it is appropriate to confer on the Council implementing powers to decide, by way of implementing acts, whether the restrictive measures are to become applicable, on the date specified in this Regulation, in respect of several entities listed in Annex XV to this Regulation.

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

(14)Decision (CFSP) 2022/XXX expands the export ban covering goods and technology suited for use in aviation and the space industry to include aircraft engines and their parts. This prohibition as well as the prohibition to land, take off from, or overfly the territory of the Union applies to both manned and unmanned aircrafts. In addition, Decision (CFSP) 2022/XXX introduces a derogation allowing the provision of technical assistance related to the use of goods and technology suited for use in aviation or the space industry, when this is necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment. Moreover, it introduces a possibility for the national competent authorities to grant derogations to allow for certain aviation goods, which are also widely used in the medical field, to be exported for medical, pharmaceutical and humanitarian purposes. 

(15)Decision (CFSP) 2022/XXX also extends the list of goods which could contribute to the enhancement of Russian industrial capacities by including such items as generators, toy drones, laptops, hard drives, IT components, night-vision and radio-navigation equipment, cameras and lenses.  

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

(17)Council Regulation 833/2014 contains a prohibition to import crude oil from Russia, whether by pipeline or via maritime transport. Regulation 833/2014 also provides for temporary derogations for imports by pipeline, and for seaborne import for Bulgaria . Those derogations were exclusively meant to ensure the security of supply of the Member States, while maintaining a level playing field among them. It is thus appropriate to clarify that, as is the case for the Member States importing Russian crude oil by pipeline, Bulgaria cannot sell petroleum products obtained from Russian crude oil imported on the basis of the abovementioned derogation to buyers located in other Member States or in third countries.

(18)In a spirit of solidarity with Ukraine, Decision 2022/XXX nevertheless allows Hungary, Slovakia and Bulgaria to export to Ukraine diesel products obtained from Russian crude oil imported on the basis of the derogations in question.

(19)Decision 2022/XXX also provides for a derogation allowing competent authorities to authorise the import, purchase, transfer into the Union of natural gas condensate, which is needed for the production of liquefied natural gas. This derogation is therefore necessary to ensure the gas security of supply of the Union.

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

(21)Decision (CFSP) 2022/XXX imposes a ban on Union nationals to hold any posts on the governing bodies of all Russian State-owned or controlled legal persons, entities or bodies located in Russia.

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

(23)In order to facilitate divestment from the Russian market by Union operators, Decision (CFSP) 2022/XXX introduces a tempoary derogation from certain import and export prohibitions contained in Council Regulation (EU) 833/2014. To faciliate an expeditious exit from the Russian market, this derogation is temporary and applies only to those goods that were already physically located in Russia at the time when the relevant prohibitions entered into force. Additionally, national authorities should ensure that the prohibited goods remaining in Russia as a result of divestment do not benfit military end-user or have a military-end use. 

(24)Decision (CFSP) 2022/XXX aligns Member States’ reporting obligation on deposits exceeding EUR 100 000 from legal persons, entities or bodies established in third countries and majority-owned by Russian nationals or natural persons residing in Russia, with the similar obligations already existing for the other types of deposits.

(25)Furthermore, Decision (CFSP) 2022/XXX extends the existing prohibition on the provision of certain services to the Russian Federation and to legal persons, entities or bodies established in Russia by banning the provision of advertising, market research and public opinion polling services, as well as product testing and technical inspection services. In line with the Central Products Classification as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No 77, CPC prov., 1991, ‘Market research and public opinion polling services’ covers market research services and public opinion polling services. ‘Technical testing and analysis services’ covers composition and purity testing and analysis services, testing and analysis services of physical properties, testing and analysis services of integrated mechanical and electrical systems, technical inspection services, as well as other technical testing and analysis services. ‘Advertising services’ covers the sale or leasing services of advertising space or time and the planning, creating and placement services of advertising, as well as other advertising services.

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

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

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

HAS ADOPTED THIS REGULATION:

Article 1

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

(1)In Article 1, the following point is added:

‘(x) ‘mining and quarrying sector’ means a sector covering the location, extraction, management and processing activities relating to energy and non-energy producing materials;’

(2)Article 3a is replaced by the following:

‘Article 3a

(1)It shall be prohibited to:

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

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

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

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

(2)It shall be prohibited to:

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

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

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

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

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

(a)it  is necessary for ensuring critical energy supply within the Union, as well as the transport of fossil fuels, in particular coal, oil and natural gas, from or through Russia into the Union; or

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

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

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

(3)In Article 3c, the following paragraph is added:

‘5b. With regard to the goods listed in Part C of Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution until [OJ: please insert date 30 days after the entry into force of this Regulation] of contracts concluded before [OJ: please insert date of entry into force], or of ancillary contracts necessary for the execution of such contracts.’

(4)In Article 3c, the following paragraphs are added:

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

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

When deciding on requests for authorisations for medical, pharmaceutical or humanitarian purposes in accordance with this paragraph, the national competent authorities shall not grant an authorisation for exports to any natural or legal person, entity or body in Russia or for use in Russia, if they have reasonable grounds to believe that the goods might have a military end-use.’

(5)In Article 3i, paragraph 3b is replaced by the following:

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

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

(6)In Article 3i, the following paragraph is added:

‘3ba. With regard to goods falling under CN code 2905 11 as listed in Part B of Annex XXI, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until [OJ: please insert date 6 months after the entry into force of this Regulation] of contracts concluded before 7 October 2022 or of ancillary contracts necessary for the execution of such contracts.’

(7)In Article 3k, paragraph 3 is replaced by the following:

‘3. With regard to the goods listed in Part A of Annex XXIII, the prohibitions in paragraph 1 and 2 shall not apply to the execution until 10 July 2022 of contracts concluded before 9 April 2022 or ancillary contracts necessary for the execution of such contracts.’

(8)In Article 3k, paragraph 3a is replaced by the following:

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

(9)In Article 3k, the following paragraph is added:

‘3b. With regard to the goods listed in Part B of Annex XXIII, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until [OJ: please insert date 30 days after the entry into force of this Regulation] of contracts concluded before [OJ: please insert date of entry into force], or of ancillary contracts necessary for the execution of such contracts.’

(10)In Article 3m, the following sub-paragraph is added in paragraph 7:

As from 5 February 2023, it shall be prohibited to transfer or transport petroleum products falling under CN 2710 which are obtained from crude oil imported on the basis of a derogation granted by the Bulgarian competent authority under paragraph 5, to other Member States or to third countries, or to sell such petroleum products to purchasers in other Member States or in third countries.

By way of derogation from the prohibition set out in the second subparagraph, the competent authorities of Bulgaria may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export to Ukraine of diesel products as listed in Annex XXXI which are obtained from crude oil imported under paragraph 5, after having determined that:

(a)the products are intended for an exclusive use in Ukraine;

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

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

(11)In Article 3m, the following subparagraph is added as fourth subparagraph in paragraph 8:

‘As of 5 February 2023, by way of derogation from the prohibitions referred to in the third subparagraph of paragraph 8, the competent authorities of Hungary and Slovakia may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export to Ukraine of diesel products as listed in Annex XXXI which are obtained from crude oil imported under paragraph 3(d), after having determined that:

(a)the products are intended for an exclusive use in Ukraine;

(b)such sale, supply, transfer or export is not meant to circumvent the prohibitions in the third subparagraph of paragraph 8.

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

(12)In Article 3m, the following paragraph is added:

‘11. As of 5 February 2023, by way of derogation to the prohibitions in paragraph 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the purchase, import or transfer of natural gas condensate falling under CN 2709 00 10 after having determined that this is necessary for ensuring the security of energy supplied, in particular of liquified natural gas, of the Union.

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

(13)In Article 5, paragraph 5 is replaced by the following:

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

(14)In Article 5aa, the following paragraph is added:

‘1b. It shall be prohibited as from [OJ: please insert date 15 days after the entry into force of this Regulation] to hold any posts in the governing bodies of:

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

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

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

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

1c The prohibition in paragraph 1 shall not apply to transactions, including sales, which are strictly necessary for the wind-down, by 30 June 2023, of a joint venture or similar legal arrangement concluded before 16 March 2022, involving a legal person, entity or body referred to in paragraph 1.’

(15)In Article 5aa, the following paragraphs are added:

‘2d. The prohibition in paragraph 1 shall not apply to the execution until [OJ: please insert date 3 months after the entry into force of this Regulation] of contracts concluded with a legal person, entity or body referred to in Part C of Annex XIX before [OJ: please insert date of entry into force], or of ancillary contracts necessary for the execution of such contracts.

2e. The prohibition in paragraph 1 shall not apply to the reception of payments due by the legal persons, entities or bodies referred to in Part C of Annex XIX pursuant to contracts performed before [OJ: please insert date 3 months after the entry into force of this Regulation].’

(16)In Article 5aa, paragraph 3, point (d) is replaced by the following:

‘(d) transactions, including sales, which are strictly necessary for the wind-down, by 30 June 2023, of a joint venture or similar legal arrangement concluded before 16 March 2022, involving a legal person, entity or body referred to in paragraph 1;’

(17)In Article 5aa, the following paragraph is added:

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

(18)In Article 5aa, the following paragraph is added:

‘5. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 3a within two weeks of the authorisation.’

(19)In Article 5g, paragraph 1, the following point is added:

‘(aa) supply to the national competent authority of the Member State where they are located or to the Commission by no later than 27 May 2023 a list of deposits exceeding 100 000 EUR held by a legal person, entity or body established outside the Union and whose proprietary rights are directly or indirectly owned for more than 50 % by Russian nationals or natural persons residing in Russia. They shall provide updates regarding the amounts of such deposits every 12 months.’

(20)Article 5n is replaced by the following:

‘Article 5n

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

(a)the Government of Russia; or

(b)legal persons, entities or bodies established in Russia

(2)It shall be prohibited to provide, directly or indirectly, architectural and engineering services, legal advisory services and IT consultancy services to:

(a)the Government of Russia; or

(b)legal persons, entities or bodies established in Russia

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

(c)the Government of Russia; or

(d)legal persons, entities or bodies established in Russia

(3)Paragraph 1 shall not apply to the provision of services that are strictly necessary for the termination by 5 July 2022 of contracts which are not compliant with this Article concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts.

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

(4a) Paragraph 2a shall not apply to the provision of services that are strictly necessary for the termination by [OJ: please insert the date 30 days after the entry into force of this Regulation] of contracts which are not compliant with this Article concluded before [OJ: please insert date of entry into force], or of ancillary contracts necessary for the execution of such contracts.

(5)Paragraphs 1 and 2 shall not apply to the provision of services that are strictly necessary for the exercise of the right of defence in judicial proceedings and the right to an effective legal remedy.

(6)Paragraphs 1 and 2 shall not apply to the provision of services which are strictly necessary to ensure access to judicial, administrative or arbitral proceedings in a Member State, as well as for the recognition or enforcement of a judgment or an arbitration award rendered in a Member State and if such provision of services is consistent with the objectives of this Regulation and Regulation (EU) No 269/2014.

(7)Paragraphs 1, 2 and 2a shall not apply to the provision of services intended for the exclusive use of legal persons, entities or bodies established in Russia that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State, a country member of the European Economic Area, Switzerland or a partner country as listed in Annex VIII.

(8)Paragraph 2 and 2a shall not apply to the provision of services necessary for public health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters.

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

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

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

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

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

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

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

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

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

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

(21)The following articles are inserted:

‘Article 12b

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

(a)the goods and technologies are owned by a national of a Member State or by a legal person, entity or body which is incorporated or constituted under the law of a Member State or by legal persons, entities or bodies established in Russia that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State; and

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

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

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

(a)the goods are owned by a national of a Member State or by a legal person, entity or body which is incorporated or constituted under the law of a Member State or by legal persons, entities or bodies established in Russia that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State; and

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

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

(4)All autorisations referred to in paragraph 1 with respect to goods and technologies listed in Annex VII as well as in Annex I to Regulation (EU) 2021/821 shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the model C set out in Annex IX.

Article 12c

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

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

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

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

(22)Annex IV is amended in accordance with Annex I of this Regulation.

(23)Annex VII is amended in accordance with Annex II of this Regulation.

(24)Annex IX is amended in accordance with Annex III of this Regulation.

(25)Annex XI is amended in accordance with Annex IV of this Regulation.

(26)Annex XV is amended in accordance with Annex V of this Regulation.

This point shall apply in respect of several of the entities referred to in Annex V to this Regulation as from [OJ: please insert date 3 weeks after entry into force] and provided that the Council, having examined the respective cases, so decides by implementing act.

(27)Annex XVII is amended in accordance with Annex VI of this Regulation.

(28)Annex XIX is amended in accordance with Annex VII of this Regulation.

(29)Annex XXIII is amended in accrodance with Annex VIII of this Regulation.

(30)Annex XXX is inserted in accordance with Annex IX of this Regulation.

(31)Annex XXXI is inserted in accordance with Annex X of this Regulation.

Article 2

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

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

Done at Brussels,

(1)    OJ L […], […], p. […].

EUROPEAN COMMISSION

Brussels, 7.12.2022

JOIN(2022) 55 final/2 DOWNGRADED ON 14.3.2023

Joint Proposal for a

ANNEXES

to the

Council Regulation

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

ANNEX I

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

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

JSC Sirius

OJSC Stankoinstrument

OAO JSC Chemcomposite

JSC Kalashnikov

JSC Tula Arms Plant

NPK Technologii Maschinostrojenija

OAO Wysokototschnye Kompleksi

OAO Almaz Antey

OAO NPO Bazalt

Admiralty Shipyard JSC

Aleksandrov Scientific Research Technological Institute NITI

Argut OOO

Communication center of the Ministry of Defense

Federal Research Center Boreskov Institute of Catalysis

Federal State Budgetary Enterprise of the Administration of the President of Russia

Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the President of Russia

Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA)

Foreign Intelligence Service (SVR)

Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior Affairs

International Center for Quantum Optics and Quantum Technologies (the Russian Quantum Center)

Irkut Corporation

Irkut Research and Production Corporation Public Joint Stock Company

Joint Stock Company Scientific Research Institute of Computing Machinery

JSC Central Research Institute of Machine Building (JSC TsNIIMash)

JSC Kazan Helicopter Plant Repair Service

JSC Shipyard Zaliv (Zaliv Shipbuilding yard)

JSC Rocket and Space Centre – Progress

Kamensk-Uralsky Metallurgical Works J.S. Co.

Kazan Helicopter Plant PJSC

Komsomolsk-na-Amur Aviation Production Organization (KNAAPO)

Ministry of Defence RF

Moscow Institute of Physics and Technology

NPO High Precision Systems JSC

NPO Splav JSC

OPK Oboronprom

PJSC Beriev Aircraft Company

PJSC Irkut Corporation

PJSC Kazan Helicopters

POLYUS Research Institute of M.F. Stelmakh Joint Stock Company

Promtech-Dubna, JSC

Public Joint Stock Company United Aircraft Corporation

Radiotechnical and Information Systems (RTI) Concern

Rapart Services LLC

Rosoboronexport OJSC (ROE)

Rostec (Russian Technologies State Corporation)

Rostekh – Azimuth

Russian Aircraft Corporation MiG

Russian Helicopters JSC

SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii)

Sukhoi Aviation JSC

Sukhoi Civil Aircraft

Tactical Missiles Corporation JSC

Tupolev JSC

UEC-Saturn

United Aircraft Corporation

JSC AeroKompozit

United Engine Corporation

UEC-Aviadvigatel JSC

United Instrument Manufacturing Corporation

United Shipbuilding Corporation

JSC PO Sevmash

Krasnoye Sormovo Shipyard

Severnaya Shipyard

Shipyard Yantar

UralVagonZavod

Baikal Electronics

Center for Technological Competencies in Radiophtonics

Central Research and Development Institute Tsiklon

Crocus Nano Electronics

Dalzavod Ship-Repair Center

Elara

Electronic Computing and Information Systems

ELPROM

Engineering Center Ltd.

Forss Technology Ltd.

Integral SPB

JSC Element

JSC Pella-Mash

JSC Shipyard Vympel

Kranark LLC

Lev Anatolyevich Yershov (Ershov)

LLC Center

MCST Lebedev

Miass Machine-Building Factory

Microelectronic Research and Development Center Novosibirsk

MPI VOLNA

N.A. Dollezhal Order of Lenin Research and Design Institute of Power Engineering

Nerpa Shipyard

NM-Tekh

Novorossiysk Shipyard JSC

NPO Electronic Systems

NPP Istok

NTC Metrotek

OAO GosNIIkhimanalit

OAO Svetlovskoye Predpriyatiye Era

OJSC TSRY

OOO Elkomtekh (Elkomtex)

OOO Planar

OOO Sertal

Photon Pro LLC

PJSC Zvezda

Amur Shipbuilding Factory PJSC

AO Center of Shipbuilding and Ship Repairing JSC

AO Kronshtadt

Avant Space LLC

Production Association Strela

Radioavtomatika

Research Center Module

Robin Trade Limited

R.Ye. Alekseyev Central Design Bureau for Hydrofoil Ships

Rubin Sever Design Bureau

Russian Space Systems

Rybinsk Shipyard Engineering

Scientific Research Institute of Applied Chemistry

Scientific-Research Institute of Electronics

Scientific Research Institute of Hypersonic Systems

Scientific Research Institute NII Submikron

Sergey IONOV

Serniya Engineering

Severnaya Verf Shipbuilding Factory

Ship Maintenance Center Zvezdochka

State Governmental Scientific Testing Area of Aircraft Systems (GkNIPAS)

State Machine Building Design Bureau Raduga Bereznya

State Scientific Center AO GNTs RF—FEI A.I. Leypunskiy Physico-Energy Institute

State Scientific Research Institute of Machine Building Bakhirev (GosNIImash)

Tomsk Microwave and Photonic Integrated Circuits and Modules Collective Design Center

UAB Pella-Fjord

United Shipbuilding Corporation JSC ‘35th Shipyard’

United Shipbuilding Corporation JSC ‘Astrakhan Shipyard’

United Shipbuilding Corporation JSC ‘Aysberg Central Design Bureau’

United Shipbuilding Corporation JSC ‘Baltic Shipbuilding Factory’

United Shipbuilding Corporation JSC ‘Krasnoye Sormovo Plant OJSC’

United Shipbuilding Corporation JSC SC ‘Zvyozdochka’

United Shipbuilding Corporation ‘Pribaltic Shipbuilding Factory Yantar’

United Shipbuilding Corporation ‘Scientific Research Design Technological Bureau Onega’

United Shipbuilding Corporation ‘Sredne-Nevsky Shipyard’

Ural Scientific Research Institute for Composite Materials

Urals Project Design Bureau Detal

Vega Pilot Plant

Vertikal LLC

Vladislav Vladimirovich Fedorenko

VTK Ltd

Yaroslavl Shipbuilding Factory

ZAO Elmiks-VS

ZAO Sparta

ZAO Svyaz Inzhiniring

46th TSNII Central Scientific Research Institute

Alagir Resistor Factory

All-Russian Research Institute of Optical and Physical Measurements

All-Russian Scientific-Research Institute Etalon JSC

Almaz JSC

Arzam Scientific Production Enterprise Temp Avia

Automated Procurement System for State Defense Orders, LLC

Dolgoprudniy Design Bureau of Automatics (DDBA JSC)

Electronic Computing Technology Scientific-Research Center JSC

Electrosignal JSC

Energiya JSC

Engineering Center Moselectronproekt

Etalon Scientific and Production Association

Evgeny Krayushin

Foreign Trade Association Mashpriborintorg

Ineko LLC

Informakustika JSC

Institute of High Energy Physics

Institute of Theoretical and Experimental Physics

Inteltech PJSC

ISE SO RAN Institute of High-Current Electronics

Kaluga Scientific-Research Institute of Telemechanical Devices JSC

Kulon Scientific-Research Institute JSC

Lutch Design Office JSC

Meteor Plant JSC

Moscow Communications Research Institute JSC

Moscow Order of the Red Banner of Labor Research Radio Engineering Institute JSC

NPO Elektromechaniki JSC

Omsk Production Union Irtysh JSC

Omsk Scientific-Research Institute of Instrument Engineering JSC

Optron, JSC

Pella Shipyard OJSC

Polyot Chelyabinsk Radio Plant JSC

Pskov Distance Communications Equipment Plant

Radiozavod JSC

Razryad JSC

Research Production Association Mars

Ryazan Radio-Plant

Scientific Production Center Vigstar JSC

Scientific Production Enterprise ‘Radiosviaz’

Scientific Research Institute Ferrite-Domen

Scientific Research Institute of Communication Management Systems

Scientific-Production Association and Scientific-Research Institute of Radio- Components

Scientific-Production Enterprise ‘Kant’

Scientific-Production Enterprise ‘Svyaz’

Scientific-Production Enterprise Almaz JSC

Scientific-Production Enterprise Salyut JSC

Scientific-Production Enterprise Volna

Scientific-Production Enterprise Vostok JSC

Scientific-Research Institute ‘Argon’

Scientific-Research Institute and Factory Platan

Scientific-Research Institute of Automated Systems and Communications Complexes Neptune JSC

Special Design and Technical Bureau for Relay Technology

Special Design Bureau Salute JSC

Tactical Missile Company, Joint Stock Company ‘Salute’

Tactical Missile Company, Joint Stock Company ‘State Machine Building Design Bureau ‘Vympel’ By Name I.I.Toropov’

Tactical Missile Company, Joint Stock Company ‘URALELEMENT’

Tactical Missile Company, Joint Stock Company ‘Plant Dagdiesel’

Tactical Missile Company, Joint Stock Company ‘Scientific Research Institute of Marine Heat Engineering’

Tactical Missile Company, Joint Stock Company PA Strela

Tactical Missile Company, Joint Stock Company Plant Kulakov

Tactical Missile Company, Joint Stock Company Ravenstvo

Tactical Missile Company, Joint Stock Company Ravenstvo-service

Tactical Missile Company, Joint Stock Company Saratov Radio Instrument Plant

Tactical Missile Company, Joint Stock Company Severny Press

Tactical Missile Company, Joint-Stock Company ‘Research Center for Automated Design’

Tactical Missile Company, KB Mashinostroeniya

Tactical Missile Company, NPO Electromechanics

Tactical Missile Company, NPO Lightning

Tactical Missile Company, Petrovsky Electromechanical Plant ‘Molot’

Tactical Missile Company, PJSC ‘MBDB ‘ISKRA’’

Tactical Missile Company, PJSC ANPP Temp Avia

Tactical Missile Company, Raduga Design Bureau

Tactical Missile Corporation, ‘Central Design Bureau of Automation’

Tactical Missile Corporation, 711 Aircraft Repair Plant

Tactical Missile Corporation, AO GNPP ‘Region’

Tactical Missile Corporation, AO TMKB ‘Soyuz’

Tactical Missile Corporation, Azov Optical and Mechanical Plant

Tactical Missile Corporation, Concern ‘MPO – Gidropribor’

Tactical Missile Corporation, Joint Stock Company ‘KRASNY GIDROPRESS’

Tactical Missile Corporation, Joint Stock Company Avangard

Tactical Missile Corporation, Joint Stock Company Concern Granit-Electron

Tactical Missile Corporation, Joint Stock Company Elektrotyaga

Tactical Missile Corporation, Joint Stock Company GosNIIMash

Tactical Missile Corporation, RKB Globus

Tactical Missile Corporation, Smolensk Aviation Plant

Tactical Missile Corporation, TRV Engineering

Tactical Missile Corporation, Ural Design Bureau ‘Detal’

Tactical Missile Corporation, Zvezda-Strela Limited Liability Company

Tambov Plant (TZ) ‘October’

United Shipbuilding Corporation ‘Production Association Northern Machine Building Enterprise’

United Shipbuilding Corporation ‘5th Shipyard’

Federal Center for Dual-Use Technology (FTsDT) Soyuz

Turayev Machine Building Design Bureau Soyuz

Zhukovskiy Central Aerohydrodynamics Institute (TsAGI)

Rosatomflot

Lyulki Experimental-Design Bureau

Lyulki Science and Technology Center

AO Aviaagregat

Central Aerohydrodynamic Institute (TsAGI)

Closed Joint Stock Company Turborus (Turborus)

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

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

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

Joint Stock Company 123 Aviation Repair Plant (123 ARZ)

Joint Stock Company 218 Aviation Repair Plant (218 ARZ)

Joint Stock Company 360 Aviation Repair Plant (360 ARZ)

Joint Stock Company 514 Aviation Repair Plant (514 ARZ)

Joint Stock Company 766 UPTK

Joint Stock Company Aramil Aviation Repair Plant (AARZ)

Joint Stock Company Aviaremont (Aviaremont)

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

Joint Stock Company Metallist Samara (Metallist Samara)

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

JSC NII Steel

Joint Stock Company Remdizel

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

Joint Stock Company STAR

Joint Stock Company Votkinsk Machine Building Plant

Joint Stock Company Yaroslav Radio Factory

Joint Stock Company Zlatoustovsky Machine Building Plant (JSC Zlatmash)

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

Lytkarino Machine-Building Plant

Moscow Aviation Institute

Moscow Institute of Thermal Technology

Omsk Motor-Manufacturing Design Bureau

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

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

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

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

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

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

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

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

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

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

Public Joint Stock Company Agregat (PJSC Agregat)

Salute Gas Turbine Research and Production Center

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

Scientific Research Institute of Applied Acoustics (NIIPA)

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

Software Research Institute

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

Tula Arms Plant

Russian Institute of Radio Navigation and Time

Federal Technical Regulation and Metrology Agency (Rosstandart)

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

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

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

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

National Research Center Kurchatov Institute (The Kurchatov Institute)

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

UEC-Perm Engines, JSC

Ural Works of Civil Aviation, JSC

Central Design Bureau for Marine Engineering “Rubin”, JSC

"Aeropribor-Voskhod", JSC

Aerospace Equipment Corporation, JSC

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

Aerospace Systems Design Bureau, JSC

Afanasyev Technomac, JSC

Ak Bars Shipbuilding Corporation, CJSC

AGAT, Gavrilov-Yaminskiy Machine-Building Plant, JSC

Almaz Central Marine Design Bureau, JSC

Joint Stock Company Eleron

AO Rubin

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

Branch of PAO II – Aviastar

Branch of RSK MiG Nizhny Novgorod Aircraft-Construction Plant Sokol

Chkalov Novosibirsk Aviation Plant

Joint Stock Company All-Russian Scientific-Research Institute Gradient

Joint Stock Company Almatyevsk Radiopribor Plant (JSC AZRP)

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

Joint Stock Company Industrial Controls Design Bureau

Joint Stock Company Kazan Instrument-Engineering and Design Bureau

Joint Stok Company Microtechnology

Phasotron Scientific-Research Institute of Radio-Engineering

Joint Stock Company Radiopribor

Joint Stock Company Ramensk Instrument-Engineering Bureau

Joint Stock Company Research and Production Center SAPSAN

Joint Stock Company Rychag

Joint Stock Company Scientific Production Enterprise Izmeritel

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

Joint Stock Company Taganrog Communications Scientific-Research Institute

Joint Stock Company Urals Instrument-Engineering Plant

Joint Stock Company Vzlet Engineering Testing Support

Joint Stock Company Zhiguli Radio Plant

Joint Stock Company Bryansk Electromechanical Plant

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

Public Joint Stock Company Stavropol Radio Plant Signal

Public Joint Stock Company Techpribor

Joint Stock Company Ramensky Instrument-Engineering Plant

V.V. Tarasov Avia Avtomatika

Design Bureau of Chemical Machine Building KBKhM

Far Eastern Shipbuilding and Ship Repair Center

Ilyushin Aviation Complex Branch: Myasishcheva Experimental Mechanical Engineering Plant

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

Irkutsk Aviation Plant

Joint Stock Company Aerocomposit Ulyanovsk Plant

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

Joint Stock Company Federal Research and Production Center Altai

Joint Stock Company “Head Special Design Bureau Prozhektor

Joint Stock Company Ilyushin Aviation Complex

Joint Stock Company Lazurit Central Design Bureau

Joint Stock Company Research and Development Enterprise Protek

Joint Stock Company SPMDB Malachite

Joint Stock Company Votkinsky Zavod

Kalyazinsky Machine Building Factory – Branch of RSK MiG

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

NPP Start

OAO Radiofizika

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

Public Joint Stock Company Bryansk Special Design Bureau

Public Joint Stock Company Voronezh Joint Stock Aircraft Company

Radio Technical Institute named after A. L. Mints

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

Shvabe JSC

Special Technological Center LLC

St. Petersburg Marine Bureau of Machine Building Malakhit

St. Petersburg Naval Design Bureau Almaz

St. Petersburg Shipbuilding Institution Krylov 45

Strategic Control Posts Corporation

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

Vladimir Design Bureau for Radio Communications OJSC

Voentelecom JSC

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

Ak Bars Holding

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

Systems of Biological Synthesis LLC

Borisfen, JSC

Barnaul cartridge plant, JSC

Concern Avrora Scientific and Production Association, JSC

Bryansk Automobile Plant, JSC

Burevestnik Central Research Institute, JSC

Research Institute of Space Instrumentation, JSC

Arsenal Machine-building plant, OJSC

Central Design Bureau of Automatics, JSC

Zelenodolsk Design Bureau, JSC

Zavod Elecon, JSC

VMP "Avitec", JSC

JSC V. Tikhomirov Scientific Research Institute of Instrument Design

Tulatochmash, JSC

PJSC “I.S. Brook” INEUM

SPE "Krasnoznamenets", JSC

SPA Pribor named after S.S. Golembiovsky, SC

SPA "Impuls", JSC

RusBITech

ROTOR 43

Rostov optical and mechanical plant, PJSC

RATEP, JSC

PLAZ

OKB "Technika"

Ocean Chips

Nudelman Precision Engineering Design Bureau

Angstrem JSC

NPCAP

Novosibirsk Plant of Artificial Fibre

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

Novator DB

NIMI named after V.V. BAHIREV, JSC

NII Stali JSC

Nevskoe Design Bureau, JSC

Neva Electronica JSC

ENICS

The JSC Makeyev Design Bureau

KURGANPRIBOR, JSC

’

ANNEX II

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

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

Part A

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

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

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

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

Category I - Electronics

X.A.I.001    Electronic devices and components.

a.    “Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following:

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

2.    A clock frequency rate exceeding 25 MHz; or

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

b.    Storage integrated circuits, as follows:

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

a.    Exceeding 16 Mbits per package for flash memory types; or

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

1.    Exceeding 1 Mbit per package; or

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

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

a.    Exceeding 1 Mbit per package; or

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

c.    Analogue-to-digital converters having any of the following:

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

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

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

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

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

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

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

1.    More than 144 terminals; or

2.    A typical basic propagation delay time of less than 0,4 ns;

g.    Traveling-wave “vacuum electronic devices”, pulsed or continuous wave, as follows:

1.    Coupled cavity devices, or derivatives thereof;

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

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

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

h.    Flexible waveguides designed for use at frequencies exceeding 40 GHz;

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

1.    A carrier frequency exceeding 1 GHz; or

2.    A carrier frequency of 1 GHz or less; and

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

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

c.    A dispersive delay of more than 10 μs;

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

j.    ‘Cells’ as follows:

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

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

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

Technical Notes:

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

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

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

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

k.    “Superconductive” electromagnets or solenoids specially designed to be fully charged or discharged in less than one minute, having all of the following:

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

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

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

3.    Rated for a magnetic induction of more than 8T or “overall current density” in the winding of more than 300 A/mm2;

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

1.    Resonant operating frequencies exceeding 1 MHz;

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

3.    A discharge time of less than 1 ms;

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

n.    Not used;

o.    Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space qualified” and not controlled by 3A001.e.4 ( 1 ).

X.A.I.002    General purpose "electronic assemblies", modules and equipment.

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

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

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

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

3.    “Space qualified”;

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

d.    Non-modular analogue oscilloscopes having a bandwidth of 1 GHz or greater;

e.    Modular analogue oscilloscope systems having either of the following characteristics:

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

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

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

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

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

1.    Plug-in units;

2.    External amplifiers;

3.    Pre-amplifiers;

4.    Sampling devices;

5.    Cathode ray tubes.

X.A.I.003    Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:

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

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

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

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

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

1.    Digital time delay generators with a resolution of 50 ns or less over time intervals of 1 μs or greater; or

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

f.    Chromatography and spectrometry analytical instruments.

X.B.I.001    Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor:

a.    Equipment specially designed for the manufacture of electron tubes, optical elements and specially designed components therefor controlled by 3A001 ( 2 ) or X.A.I.001;

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

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

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

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

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

b.    Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 ( 4 ) except crystal pullers, for which see X.B.I.001.b.1.c below;

c.    Crystal pullers and furnaces, as follows:

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

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

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

a.    Rechargeable without replacing the crucible container;

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

c.    Capable of pulling crystals of a diameter exceeding 100 mm;

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

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

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

3.    Rotation of individual wafers during processing;

e.    Molecular beam epitaxial growth equipment;

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

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

1.    Patterning capability;

2.    Beam energy (accelerating voltage) exceeding 200 keV;

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

4.    Capable of high energy oxygen implant into a heated “substrate”;

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

1.    ‘Batch types’ having either of the following:

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

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

2.    ‘Single wafer types’ having any of the following:

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

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

c.    Cassette-to-cassette and load locks wafer handling;

Notes:

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

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

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

1.    Chemical vapour deposition equipment operating below 105 Pa; or

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

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

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

1.    Electrostatic beam deflection;

2.    Shaped, non-Gaussian beam profile;

3.    Digital-to-analogue conversion rate exceeding 3 MHz;

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

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

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

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

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

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

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

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

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

1.    Positioning accuracy less than ± 1 μm; or

2.    Spot size (kerf width) less than 3 μm.

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

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

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

a.    Finished masks, reticles and designs therefor, except:

1.    Finished masks or reticles for the production of integrated circuits not controlled by 3A001 ( 5 ); or

2.    Masks or reticles, having both of the following characteristics:

a.    Their design is based on geometries of 2,5 μm or more; and

b.    The design does not include special features to alter the intended use by means of production equipment or “software”;

b.    Mask substrates as follows:

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

2.    Substrates specially designed for X-ray masks;

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

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

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

2.    Mask or reticle fabrication equipment using ion or “laser” beam lithography capable of producing line widths of less than 2,5 μm; or

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

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

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

1.    A resolution of 0,25 μm or finer; and

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

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

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

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

1.    Production of a pattern size of less than 2,5 μm;

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

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

4.    A light source wavelength shorter than 400 nm;

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

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

h.    Equipment using “lasers” for direct write on wafers capable of producing patterns less than 2,5 μm.

3.    Equipment for the assembly of integrated circuits, as follows:

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

1.    Specially designed for “hybrid integrated circuits”;

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

3.    Placement accuracy in the X-Y plane of finer than ± 10 μm;

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

c.    Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 ( 6 ) and that have a throughput equal to or more than one package per minute.

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

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

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

X.B.I.002    Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor.

a.    Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor controlled by 3A001 ( 7 ) or X.A.I.001;

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

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

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

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

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

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

b.    Equipment for line width measurement with a resolution of 1 μm or finer;

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

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

a.    Positioning accuracy finer than 3,5 μm;

b.    Capable of testing devices having more than 68 terminals; or

c.    Capable of testing at a frequency exceeding 1 GHz;

4.    Test equipment as follows:

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

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

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

1.    At a ‘pattern rate’ exceeding 20 MHz; or

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

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

1.    Memories;

2.    Assemblies or a class of “electronic assemblies” for home and entertainment applications; and

3.    Electronic components, “electronic assemblies” and integrated circuits not controlled by 3A001 ( 8 ) or X.A.I.001 provided such test equipment does not incorporate computing facilities with “user accessible programmability”.

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

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

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

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

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

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

a.    Stroboscopic capability with either beam blanking or detector strobing;

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

c.    Electrical tests fixtures for performance analysis of integrated circuits;

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

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

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

b.    Digital-to-analogue conversion accuracy exceeding 12 bit;

7.    Particle measuring systems employing “lasers” designed for measuring particle size and concentration in air having both of the following characteristics:

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

b.    Capable of characterizing Class 10 clean air or better.

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

X.C.I.001    Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths between 370 and 193 nm.

X.D.I.001    “Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 and X.B.I.002; or “software” specially designed for the “use” of equipment controlled by 3B001.g and 3B001.h ( 9 ).

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

Category II – Computers

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

X.A.II.001    Computers, “electronic assemblies” and related equipment, not controlled by 4A001 or 4A003 ( 10 ), and specially designed components therefor.

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

a.    The “digital computers” or related equipment are essential for the operation of the other equipment or systems;

b.    The “digital computers” or related equipment are not a “principal element” of the other equipment or systems; and

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

N.B.2: For the control status of “digital computers” or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications) ( 11 ).

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

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

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

c.    “Electronic assemblies” that are specially designed or modified to enhance performance by aggregation of processors, as follows:

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

2.    Not used;

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

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

d.    Not used;

e.    Not used;

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

g.    Not used;

h.    Not used;

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

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

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

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

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

k.    Hybrid computers and “electronic assemblies” and specially designed components therefor containing analogue-to-digital converters having all of the following characteristics:

1.    32 channels or more; and

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

X.D.II.001    “Program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for “real-time processing’ equipment.”

a.    “Program” proof and validation “software” using mathematical and analytical techniques and designed or modified for “programs” having more than 500 000 “source code” instructions;

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

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

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

X.D.II.002    “Software” other than that controlled in 4D001 ( 13 ) specially designed or modified    for the    “development”,    “production”    or    “use”    of equipment controlled by 4A101 ( 14 ).

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

X.E.II.002    “Technology” for the “development” or “production” of equipment designed for ‘multi-data-stream processing’.

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

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

2.    Multiple Single Instruction Multiple Data (MSIMD) architectures;

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

4.    Structured arrays of processing elements, including systolic arrays.

Category III. Part 1 – Telecommunications

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

X.A.III.101    Telecommunication equipment.

a.    Any type of telecommunications equipment, not controlled by 5A001.a ( 15 ), specially designed to operate outside the temperature range from 219 K (-54°C) to 397 K (124°C).

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

Note: Telecommunication transmission equipment:

a.    Categorised as follows, or combinations thereof:

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

2.    Line terminating equipment;

3.    Intermediate amplifier equipment;

4.    Repeater equipment;

5.    Regenerator equipment;

6.    Translation encoders (transcoders);

7.    Multiplex equipment (statistical mutiplex included);

8.    Modulators/demodulators (modems);

9.    Transmultiplex equipment (see CCITT Rec. G701);

10.    ‘Stored program controlled’ digital crossconnection equipment;

11.    ‘Gateways’ and bridges;

12.    ‘Media access units’; and

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

1.    Wire (line);

2.    Coaxial cable;

3.    Optical fibre cable;

4.    Electromagnetic radiation; or

5.    Underwater acoustic wave propagation.

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

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

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

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

4.    Being equipment containing any of the following:

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

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

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

5.    Employing a “laser” and having any of the following characteristics:

a.    A transmission wavelength exceeding 1 000 nm; or

b.    Employing analogue techniques and having a bandwidth exceeding 45 MHz;

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

d.    Employing wavelength division multiplexing techniques; or

e.    Performing ‘optical amplification’;

6.    Radio equipment operating at input or output frequencies exceeding:

a.    31 GHz for satellite-earth station applications; or

b.    26,5 GHz for other applications;

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

7.    Being radio equipment employing any of the following:

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

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

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

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

Notes:

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

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

a.    Having any of the following:

1.    Not exceeding 960 MHz; or

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

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

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

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

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

2.    Not used;

3.    Routing or switching of ‘datagram’ packets;

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

4.    Not used;

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

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

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

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

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

9.    ‘Dynamic adaptive routing’;

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

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

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

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

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

11.    ‘Optical switching’;

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

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

e.    Centralised network control having all of the following characteristics:

1.    Receives data from the nodes; and

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

14)    ‘Stored program controlled’ is a control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions.

Note: Equipment may be ‘stored program controlled’ whether the electronic storage is internal or external to the equipment.

X.B.III.101    Telecommunications test equipment, other than those specified in the CML or in Regulation (EU) 2021/821.

X.C.III.101     Preforms of glass or of any other material optimised for the manu-facture of optical fibres controlled by X.A.III.101.

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

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

b.    Not used.

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

a.    Specific “technologies” as follows:

1.    “Technology” for the processing and application of coatings to optical fibre specially designed to make it suitable for underwater use;

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

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

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

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

Category III. Part 2 - Information Security

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

X.A.III.201    Equipment as follows:

a.    Not used;

b.    Not used;

c.    Goods classified as mass market encryption in accordance with Cryptography Note – Note 3 to Category 5, Part 2 ( 16 ).

X.D.III.201    “Information Security” “software” as follows:

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

a.    Not used;

b.    Not used;

c.    “Software” classified as mass market encryption “software” in accordance with Cryptography Note – Note 3 to Category 5, Part 2 ( 17 ).

X.E.III.201    “Information Security” “technology” according to the General Technology Note, as follows:

a.    Not used;

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

Category IV – Sensors and Lasers

X.A.IV.001    Marine or terrestrial acoustic equipment, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.IV.002    Optical Sensors as follows:

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

1.    Image intensifier tubes having all the following:

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

b.    A microchannel plate for electron image amplification with a hole pitch (centre-to-centre spacing) of less than 25 μm; and

c.    Having any of the following:

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

2.    A GaAs or GaInAs photocathode;

2.    Specially designed microchannel plates having both of the following characteristics:

a.    15 000 or more hollow tubes per plate; and

b.    Hole pitch (centre-to-centre spacing) of less than 25 μm.

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

X.A.IV.003    Cameras as follows:

a.    Cameras that meet the criteria of Note 3 to 6A003.b.4. ( 18 );

b.    Not used;

X.A.IV.004    Optics as follows:

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

a.    Optical filters:

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

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

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

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

a.    Tunable over a spectral range of 500 nm or more;

b.    Instantaneous optical bandpass of 1,25 nm or less;

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

d.    A single peak transmission of 91 % or more;

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

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

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

X.A.IV.005    “Lasers” as follows:

a.    Carbon dioxide (CO2) “lasers” having any of the following:

1.    A CW output power exceeding 10 kW;

2.    A pulsed output with a “pulse duration” exceeding 10 μs; and

a.    An average output power exceeding 10 kW; or

b.    A pulsed “peak power” exceeding 100 kW; or

3.    A pulsed output with a “pulse duration” equal to or less than 10 μs; and

a.    A pulse energy exceeding 5 J per pulse and “peak power” exceeding 2,5 kW; or

b.    An average output power exceeding 2,5 kW;

b.    Semiconductor lasers, as follows:

1.    Individual, single-transverse mode semiconductor “lasers” having:

a.    An average output power exceeding 100 mW; or

b.    A wavelength exceeding 1 050 nm;

2.    Individual, multiple-transverse mode semiconductor “lasers”, or arrays of individual semiconductor “lasers”, having a wave-length exceeding 1 050 nm;

c.    Ruby “lasers” having an output energy exceeding 20 J per pulse;

d.    Non-“tunable” “pulsed lasers” having an output wavelength exceeding 975 nm but not exceeding 1 150 nm and having any of the following:

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

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

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

2.    An “average output power” exceeding 20 W; or

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

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

2.    A “peak power” exceeding 200 MW; or

3.    An “average output power” exceeding 50 W; or

2.    A “pulse duration” exceeding 1 μs and having any of the following:

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

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

2.    An “average output power” exceeding 20 W; or

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

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

2.    An “average output power” exceeding 500 W;

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

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

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

b.    An “average output power” exceeding 50 W; or

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

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

b.    An “average output power” exceeding 500 W;

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

f.    Non-”tunable” “lasers”, having a wavelength exceeding 1 400 nm, but not exceeding 1 555 nm and having any of the following:

1.    An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or

2.    An average or CW output power exceeding 1 W;

g.    Free electron “lasers”.

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

X.A.IV.006    “Magnetometers”, “Superconductive” electromagnetic sensors, and specially designed components therefor, as follows:

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

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

b.    “Superconductive” electromagnetic sensors, components manufactured from “superconductive” materials:

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

2.    Designed for sensing electromagnetic field variations at frequencies of 1 kHz or less; and

3.    Having any of the following characteristics:

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

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

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

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

X.A.IV.007    Gravity meters (gravimeters) for ground use, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:

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

b.    Being of the quartz element (Worden) type.

X.A.IV.008    Radar systems, equipment and major components, other than those specified in the CML or in Regulation (EU) 2021/821, and specially designed components therefor, as follows:

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

b.    “Space-qualified” “laser” radar or Light Detection and Ranging (LIDAR) equipment specially designed for surveying or for meteorological observation;

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

1.    Operates at a frequency of 94 GHz;

2.    An average output power of less than 20 mW;

3.    Radar beam width of 1 degree; and

4.    Operating range equal to or greater than 1 500 m.

X.A.IV.009    Specific processing equipment, as follows:

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

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

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

X.B.IV.001    Equipment, including tools, dies, fixtures or gauges, and other specially designed components and accessories therefor, specially designed or modified for any of the following:

a.    For the manufacture or inspection of:

1.    Free electron “laser” magnet wigglers;

2.    Free electron “laser” photo injectors;

b.    For the adjustment, to required tolerances, of the longitudinal magnetic field of free electron “lasers”.

X.C.IV.001    Optical sensing fibres that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b ( 19 ) and having a zinc content of equal to or more than 6 % by ‘mole fraction.’

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

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

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

X.C.IV.002    Optical materials, as follows:

a.    Low optical absorption materials, as follows:

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

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

2.    Bulk fluoride glass made from compounds controlled by 6C004.e.1 ( 20 );

b.    ‘Optical fibre preforms’ made from bulk fluoride compounds containing ingredients with a purity of 99,999 % or better, specially designed for the manufacture of ‘fluoride fibres’ controlled by X.A.IV.004.b.

Technical Note: For the purpose of X.C.IV.002:

1)    ‘Fluoride fibres’ are fibres manufactured from bulk fluoride compounds.

2)    ‘Optical fibre preforms’ are bars, ingots, or rods of glass, plastic or other materials that have been specially processed for use in fabricating optical fibres. The characteristics of the preform determine the basic parameters of the resultant drawn optical fibres.

X.D.IV.001    “Software”, other than those specified in the CML or in Regulation (EU) 2021/821, specially designed for the “development”, “production”, or “use” of goods controlled by 6A002, 6A003 ( 21 ), X.A.IV.001, X.A.IV.006, X.A.IV.007, or X.A.IV.008.

X.D.IV.002    “Software” specially designed for the “development” or “production”of equipment controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005.

X.D.IV.003    Other “software”, as follows:

a.    Air Traffic Control (ATC) “software” application “programs” hosted on general purpose computers located at Air Traffic Control centres, and capable of automatically handing over primary radar target data (if not correlated with secondary surveillance radar (SSR) data) from the host ATC centre to another ATC centre;

b.    “Software” specially designed for seismic intrusion detection systems in X.A.IV.009.c; or

c.    “Source code” specially designed for seismic intrusion detection systems in X.A.IV.009.c.

X.E.IV.001    “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.IV.001, X.A.IV.006, X.A.IV.007, X.A.IV.008 or X.A.IV.009.c.

X.E.IV.002    “Technology” for the “development” or “production” of equipment, materials or “software” controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005, X.B.IV.001, X.C.IV.001, X.C.IV.002, or X.D.IV.003.

X.E.IV.003    Other “technology” as follows:

a.    Optical fabrication technologies for serially producing optical components at a rate exceeding 10 m2 of surface area per year on any single spindle and having all of the following:

1.    Area exceeding 1 m2; and

2.    Surface figure exceeding λ/10 (rms) at the designed wavelength;

b.    “Technology” for optical filters with a bandwidth equal to or less than 10 nm, a field of view (FOV) exceeding 40° and a resolution exceeding 0,75 line pairs per milliradian;

c.    “Technology” for the “development” or “production” of cameras controlled by X.A.IV.003;

d.    “Technology” “required” for the “development” or “production” of non-triaxial fluxgate “magnetometers” or non-triaxial fluxgate “magnetometer” systems, having any of the following:

1.    ‘Sensitivity’ lower (better) than 0,05 nT (rms) per square root Hz at frequencies of less than 1 Hz; or

2.    ‘Sensitivity’ lower (better) than 1 x 10-3 nT (rms) per square root Hz at frequencies of 1 Hz or more.

e.    “Technology” “required” for the “development” or “production” of infrared up-conversion devices having all of the following:

1.    A response in the wavelength range exceeding 700 nm but not exceeding 1 500 nm; and

2.    A combination of an infrared photodetector, light emitting diode (OLED), and nanocrystal to convert infrared light into visible light.

Technical Note: For the purposes of X.E.IV.003, ‘sensitivity’ (or noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

Category V – Navigation and Avionics

X.A.V.001    Airborne communication equipment, all "aircraft" inertial navigation systems, and other avionic equipment, including components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note 1: X.A.V.001. does not control headsets or microphones.

Note 2: X.A.V.001. does not control goods for the personal use of the natural persons.

X.B.V.001     Other equipment specially designed for the test, inspection, or “production” of navigation and avionics equipment.

X.D.V.001     “Software”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.

X.E.V.001    “Technology”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production” or “use” of navigation, airborne communication, and other avionics equipment.

Category VI – Marine

X.A.VI.001    Vessels, marine systems or equipment, and specially designed components therefor, components and accessories as follows:

a.    Underwater vision systems, as follows:

1.    Television systems (comprising camera, lights, monitoring and signal transmission equipment) having a limiting resolution when measured in air of more than 500 lines and specially designed or modified for remote operation with a submersible vehicle; or

2.    Underwater television cameras having a limiting resolution when measured in air of more than 700 lines;

Technical Note: Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.

b.    Photographic still cameras specially designed or modified for underwater use, having a film format of 35 mm or larger, and having autofocusing or remote focusing specially designed for underwater use;

c.    Stroboscopic light systems, specially designed or modified for underwater use, capable of a light output energy of more than 300 J per flash;

d.    Other underwater camera equipment, other than those specified in the CML or in Regulation (EU) 2021/821;

e.    Not used;

f.    Vessels (surface or underwater), including inflatable boats, and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

Note: X.A.VI.001.f does not control vessels on temporary sojourn, used for private transport or for the transport of passengers or goods from or through the customs territory of the Union.

g.    Marine engines (both inboard and outboard) and submarine engines and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

h.    Self-contained underwater breathing apparatus (scuba gear) and accessories therefor, other than those specified in the CML or in Regulation (EU) 2021/821;

i.    Life jackets, inflation cartridges, dive compasses and dive computers;

Note: X.A.VI.001.i does not control goods for the personal use of the natural persons.

j.    Underwater lights and propulsion equipment; or

Note: X.A.VI.001.j does not control goods for the personal use of the natural persons.

k.    Air compressors and filtration system specially designed for filling air cylinders.

X.D.VI.001    “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.VI.001.

X.D.VI.002    “Software” specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry.

X.E.VI.001    “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.VI.001.

Category VII – Aerospace and Propulsion

X.A.VII.001    Diesel engines, and tractors and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821:

a.    Diesel engines, other than those specified in the CML or in Regulation (EU) 2021/821, for trucks, tractors, and automotive applications, having an overall power output of 298 kW or more.

b.    Off highway wheel tractors of carriage capacity 9 tonnes or more; and major components and accessories, other than those specified in the CML or in Regulation (EU) 2021/821.

c.    Road tractors for semi-trailers, with single or tandem rear axles rated for 9 tonnes per axel or more and specially designed major components.

Note: X.A.VII.001.b and X.A.VII.001.c do not control vehicles on temporary sojourn, used for private transport or for the transport of passengers or goods from or through the customs territory of the Union.

X.A.VII.002    Gas turbine engines and components, other than those specified in the CML or in Regulation (EU) 2021/821.

a.    Not used.

b.    Not used.

c.    Aero gas turbine engines and components specially designed therefor.

d.    Not used.

e.    Pressurised aircraft breathing equipment components specially designed therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.VII.003    Aircraft engines, other than those specified in X.A.VII.002, the CML or in Regulation (EU) 2021/821, as follows:

a.    Reciprocating or rotary internal combustion piston engines; or

b.    Electric engines.

Technical Note: For the purpose of X.A.VII.003 aircrafts includes: aeroplanes, UAVs, helicopters, autogyros, hybrid aircrafts or radio-controlled models.

X.B.VII.001    Vibration test equipment and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note: X.B.VII.001. controls only equipment for the “development” or “production”. It does not control condition monitoring systems.

X.B.VII.002    Specially designed equipment, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:

a.    Automated equipment using non-mechanical methods for measuring airfoil wall thickness;

b.    Tooling, fixtures or measuring equipment for the “laser”, water jet or ECM/EDM hole drilling processes controlled by 9E003.c ( 22 );

c.    Ceramic core leaching equipment;

d.    Ceramic core manufacturing equipment or tools;

e.    Ceramic shell wax pattern preparation equipment;

f.    Ceramic shell burn out or firing equipment.

X.D.VII.001    “Software”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” of equipment controlled by X.A.VII.001 or X.B.VII.001.

X.D.VII.002    “Software”, for the “development” or “production” of equipment controlled by X.A.VII.002 or X.B.VII.002.

X.E.VII.001    “Technology”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” or “use” of equipment controlled by X.A.VII.001 or X.B.VII.001.

X.E.VII.002    “Technology”, for the “development”, “production” or “use” of equipment controlled by X.A.VII.002 or X.B.VII.002.

X.E.VII.003    Other “technology”, not described by 9E003 ( 23 ), as follows:

a.    Rotor blade tip clearance control systems employing active compensating casing “technology” limited to a design and development data base; or

b.    Gas bearing for turbine engine rotor assemblies.

Category VIII – Miscellaneous items

X.A.VIII.001    Equipment for oil production or oil exploration as follows:

a.    Drill head integrated measurement equipment, including inertial navigation systems for measurement while drilling (MWD);

b.    Gas monitoring systems and detectors therefor, designed for continuous operation and detection of hydrogen sulphide;

c.    Equipment for seismological measurements, including reflection seismetics and seismic vibrators;

d.    Sediment echo sounders.

X.A.VIII.002    Equipment, “electronic assemblies” and components, specially designed for quantum computers, quantum electronics, quantum sensors, quantum processing units, qubit circuits, qubit devices or quantum radar systems, including pockels cells.

Note 1: Quantum computers perform computations that harness the collective properties of quantum states, such as superposition, interference and entanglement.

Note 2: Units, circuits and devices include but are not limited to superconducting circuits, Quantum annealing, Ion Trap, photonic interaction, silicon/spin, cold atoms.

X.A.VIII.003    Microscopes, related equipment and detectors as follows:

a.    Scanning electron microscopes (SEM);

b.    Scanning auger microscopes;

c.    Transmission electron microscopes (TEM);

d.    Atomic force microscopes (AFM);

e.    Scanning force microscopes (SFM);

f.    Equipment and detectors, specially designed for use with the microscopes specified in X.A.VIII.003.a to X.A.VIII.0003.e, employing any of the following material analysis techniques:

1.    X-ray photo spectroscopy (XPS);

2.    Energy-dispersive X-ray spectroscopy (EDX, EDS) or

3.    Electron spectroscopy for chemical analysis (ESCA).

X.A.VIII.004    Collector equipment for metal ores in deep seabed.

X.A.VIII.005    Manufacturing equipment and machine tools as follows:

a.    Additive manufacturing equipment for the “production” of metal parts;

Note: X.A.VIII.005.a only applies to the following systems:

1.    Powder-bed systems using selective laser melting (SLM), laser cusing, direct metal laser sintering (DMLS) or electron beam melting (EBM); or

2.    Powder-fed systems using laser cladding, direct energy deposition or laser metal deposition.

b.    Additive manufacturing equipment for “energetic materials”, including equipment using ultrasonic extrusion;

c.    Vat photopolymerization (VVP) additive manufacturing equipment using stereo lithography (SLA) or digital light processing (DLP).

X.A.VIII.006    Equipment for the “production” of printed electronics for organic light emitting diodes (OLED), organic field-effect transistors (OFET) or organic photovoltaic cells (OPVC).

X.A.VIII.007    Equipment for the “production” of microelectromechanical systems (MEMS) using the mechanical properties of silicon, including sensors in chip format like pressure membranes, bending beams or micro adjustment devices.

X.A.VIII.008    Equipment, specially designed for the production of E-Fuels (electrofuels and synthetic fuels) or ultra efficient solar cells (efficiency > 30 %).

X.A.VIII.009     Equipment for Ultra-High-Vacuum (UHV) as follows:

a.    UHV pumps (sublimation, turbomolecular, diffusion, cryogenic, ion getter);

b.    UHV pressure gauges.

Note: UHV means 100 nanoPascals (nPa) or lower.

X.A.VIII.010    ‘Cryogenic refrigeration systems’ designed to maintain temperatures below 1,1 K for 48 hrs or more and related cryogenic refrigeration equipment as follows:

a.    Pulse Tubes;

b.    Cryostats;

c.    Dewars;

d.    Gas Handling System (GHS);

e.    Compressors; or

f.    Control Units.

Note: ‘Cryogenic refrigeration systems’ include but are not limited to Dilution Refrigeration, Adiabatic Demagnisation Refrigerators and Laser Cooling Systems.

X.A.VIII.011 ‘Decapsulation’ equipment for semiconductor devices.

Note: ‘Decapsulation’ is the removal of a cap, lid, or encapsulating material from a packaged integrated circuit by mechanical, thermal, or chemical means.

X.A.VIII.012    High Quantum Efficiency (QE) photodetectors with a QE greater than 80 % in the wavelength range exceeding 400 nm but not exceeding 1 600 nm.

X.AVIII.013    Numerical controlled machine tools, having one or more linear axis with a travel length greater than 8 000 mm.

X.A.VIII.014    Water cannon systems for riot or crowd control, and components specially designed therefor. 

Note: X.A.VIII.014 water cannon systems include, for example: vehicles or fixed stations equipped with remotely operated water cannon that are designed to protect the operator from an outside riot with features such as armor, shatter resistant windows, metal screens, bull-bars, or run-flat tires. Components specially designed for water cannons may include, for example: deck gun water nozzles, pumps, reservoirs, cameras, and lights that are hardened or shielded against projectiles, elevating masts for those items, and teleoperation systems for those items.

X.A.VIII.015    Law enforcement striking weapons, including saps, police batons, side handle batons, tonfas, sjamboks, and whips.

X.A.VIII.016    Police helmets and shields; and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.VIII.017    Law enforcement restraint devices, including leg irons, shackles, and handcuffs; straight jackets; stun cuffs; shock belts; shock sleeves; multipoint restraint devices such as restraint chairs; and specially designed components and accessories, other than those specified in the CML or in Regulation (EU) 2021/821.

Note: X.A.VIII.017 applies to restraint devices used in law enforcement activities. It does not apply to medical devices that are equipped to restrain patient movement during medical procedures. It does not apply to devices that confine memory impaired patients to appropriate medical facilities. It does not apply to safety equipment such as safety belts or child automobile safety seats.

X.A.VIII.018    Oil and gas exploration equipment, “software”, and data, as follows (see List of Items Controlled):

a.    Not used.

b.    Hydraulic fracturing items, as follows:

1.    Hydraulic fracturing design and analysis “software” and data;

2.    Hydraulic fracturing ‘proppant’, ‘fracking fluid’, and chemical additives therefor; or

3.    High pressure pumps.

Technical Note:

A ‘proppant’ is a solid material, typically treated sand or man-made ceramic materials, designed to keep an induced hydraulic fracture open, during or following a fracturing treatment. It is added to a ‘fracking fluid’ which may vary in composition depending on the type of fracturing used, and can be gel, foam or slickwater-based. 

X.A.VIII.019    Specific processing equipment, as follows (see List of Items Controlled):

a.    Ring magnets;

b.    Not used.

X.A.VIII.020    Weapons and devices designed for the purpose of riot control or self-protection, as follows:

a.    Portable electric discharge weapons that can target only one individual each time an electric shock is administered, including but not limited to electric shock batons, electric shock shields, stun guns and electric shock dart guns;

b.    Kits containing all essential components for assembly of portable electric discharge weapons controlled by item X.A.VIII.020.a; or

Note:    The following goods are considered to be essential components:

1.    The unit producing an electric shock;

2.    The switch, whether or not on a remote control; and

3.    The electrodes or, where applicable, the wires through which the electrical shock is to be administered.

c.    Fixed or mountable electric discharge weapons that cover a wide area and can target multiple individuals with electrical shocks.

X.A.VIII.021    Weapons and equipment disseminating incapacitating or irritating chemical substances for the purpose of riot control or self-protection and certain related substances, as follows:

a.    Portable weapons and equipment which either administer a dose of an incapacitating or irritating chemical substance that targets one individual or disseminate a dose of such substance affecting a small area, e.g. in the form of a spray fog or cloud, when the chemical substance is administered or disseminated;

Note 1: This item does not control equipment controlled by item ML7(e) of the CML of the European Union.

Note 2: This item does not control individual portable equipment, even if containing a chemical substance, when accompanying their user for the user's own personal protection.

Note 3: In addition to relevant chemical substances, such as riot control agents or PAVA, the goods controlled by items X.A.VIII.021.c and X.A.VIII.021.d shall be deemed to be incapacitating or irritating chemical substances.

b.    Pelargonic acid vanillylamide (PAVA) (CAS 2444-46-4);

c.    Oleoresin capsicum (OC) (CAS 8023-77-6);

d.    Mixtures containing at least 0,3 % by weight of PAVA or OC and a solvent (such as ethanol, 1-propanol or hexane), which could be administered as such as incapacitating or irritating agents, in particular in aerosols and in liquid form, or used for manufacturing of incapacitating or irritating agents;

Note 1: This item does not control sauces and preparations therefor, soups or preparations therefor and mixed condiments or seasonings, provided that PAVA or OC is not the only constituent flavour in them.

Note 2: This item does not control medicinal products for which a marketing authorisation has been granted in accordance with Union law.

e.    Fixed equipment for the dissemination of incapacitating or irritating chemical substances, which can be attached to a wall or to a ceiling inside a building, comprises a canister of irritating or incapacitating chemical agents and is activated using a remote control system; or

Note: In addition to relevant chemical substances, such as riot control agents or PAVA, the goods controlled by items X.A.VIII.021.c and X.A.VIII.021.d shall be deemed to be incapacitating or irritating chemical substances.

f.    Fixed or mountable equipment for the dissemination of incapacitating or irritating chemical agents that covers a wide area and is not designed to be attached to a wall or to a ceiling inside a building;

Note 1: This item does not control equipment controlled by item ML7(e) of the CML of the European Union.

Note 2: In addition to relevant chemical substances, such as riot control agents or PAVA, the goods controlled by items X.A.VIII.021.c and X.A.VIII.021.d shall be deemed to be incapacitating or irritating chemical substances.

g.    Other irritating chemical substances, and mixtures thereof containing at least 0,3 % by weight of the active substance, as follows:

   1.    Dibenzo[b,f][1,4]oxazepine (CR) (CAS 257-07-8);

2.    8-Methyl-N-vanillyl-trans-6-nonenamide (capsaicin) (CAS 404-86-4);

3.    8-Methyl-N-vanillylnonamide (dihydrocapsaicin) (CAS 19408-84-5);

4.    N-Vanillyl-9-methyldec-7-(E)-enamide (homocapsaicin) (CAS 58493-48-4);

5.    N-Vanillyl-9-methyldecanamide (homodihydrocapsaicin) (CAS 20279-06-5);

6.    N-Vanillyl-7-methyloctanamide (nordihydrocapsaicin) (CAS 28789-35-7);

7.    4-Nonanolylmorpholine (MPA) (CAS 5299-64-9);

8.    Cis-4-acetylaminodicyclohexylmethane (CAS 37794-87-9);

9.    N,N'-Bis(isopropyl)ethylenediimine; or

10.    N,N'-Bis(tert-butyl)ethylenediimine.

X.A.VIII.022    Products which could be used for the execution of human beings by means of lethal injection, as follows:

a.    Short and intermediate acting barbiturate anaesthetic agents including, but not limited to:

1.    Amobarbital (CAS 57-43-2);

2.    Amobarbital sodium salt (CAS 64-43-7);

3.    Pentobarbital (CAS 76-74-4);

4.    Pentobarbital sodium salt (CAS 57-33-0);

5.    Secobarbital (CAS 76-73-3);

6.    Secobarbital sodium salt (CAS 309-43-3);

7.    Thiopental (CAS 76-75-5); or

8.    Thiopental sodium salt (CAS 71-73-8), also known as thiopentone sodium;

b.    Products containing one of the anaesthetic agents listed under X.A.VIII.022.a.

X.A.VIII.023    Nettings, canopies, tents, blankets and apparel, specially designed for camouflage.

X.B.VIII.001    Specific processing equipment, as follows (see List of Items Controlled):

a.    Hot cells; or

b.    Glove boxes suitable for use with radioactive materials.

X.C.VIII.001    Metal powders and metal alloy powders, usable for any of the systems listed in X.A.VIII.005.a.

X.C.VIII.002    Advanced materials as follows:

a.    Materials for cloaking or adaptive camouflage;

b.    Metamaterials, e.g. with a negative refractive index;

c.    Not used;

d.    High entropy alloys (HEA);

e.    Heusler compounds; or

f.    Kitaev materials, including kitaev spin liquids.

X.C.VIII.003    Conjugated polymers (conductive, semiconductive, electroluminescent) for printed or organic electronics.

X.C.VIII.004    Energetic materials as follows and mixtures thereof:

a.    Ammonium picrate (CAS 131-74-8);

b.    Black powder;

c.    Hexanitrodiphenylamine (CAS 131-73-7);

d.    Difluoroamine(CAS 10405-27-3);

e.    Nitrostarch (CAS9056-38-6);

f.    Not used;

g.    Tetranitronaphthalene;

h.    Trinitroanisole;

i.    Trinitronaphthalene;

j.    Trinitroxylene;

k.    N-pyrrolidinone; 1-methyl-2-pyrrolidinone (CAS 872-50-4);

l.    Dioctylmaleate (CAS 142-16-5);

m.    Ethylhexylacrylate (CAS 103-11-7);

n.    Triethylaluminium (TEA) (CAS 97-93-8), trimethylaluminium (TMA) (CAS 75-24-1), and other pyrophoric metal alkyls and aryls of lithium, sodium, magnesium, zinc or boron;

o.    Nitrocellulose (CAS 9004-70-0);

p.    Nitroglycerin (or glyceroltrinitrate, trinitroglycerine) (NG) (CAS 55-63-0);

q.    2,4,6-trinitrotoluene (TNT) (CAS 118-96-7);

r.    Ethylenediaminedinitrate (EDDN) (CAS 20829-66-7);

s.    Pentaerythritoltetranitrate (PETN) (CAS 78-11-5);

t.    Lead azide (CAS 13424-46-9), normal lead styphnate(CAS 15245-44-0) and basic lead styphnate (CAS 12403-82-6), and primary explosives or priming compositions containing azides or azide complexes;

u.    Not used;

v.    Not used;

w.    Diethyldiphenylurea (CAS 85-98-3); dimethyldiphenylurea (CAS 611-92-7); methylethyldiphenyl urea.

x.    N,N-diphenylurea (unsymmetrical diphenylurea) (CAS 603-54-3);

y.    Methyl-N,N-diphenylurea (methyl unsymmetrical diphenylurea) (CAS 13114-72-2);

z.    Ethyl-N,N-diphenylurea (ethyl unsymmetrical diphenylurea) (CAS 64544-71-4);

aa.    Not used;

bb.    4-Nitrodiphenylamine (4-NDPA)(CAS 836-30-6);

cc.    2,2-dinitropropanol (CAS 918-52-5); or

dd.    Not used.

X.D.VIII.001    “Software”, specially designed for the “development”, “production” or “use” of equipment specified in X.A.VIII.005 to X.A.VIII.0013.

X.D.VIII.002    “Software”, specially designed for the “development”, “production” or “use” of equipment, “electronic assemblies” or components specified in X.A.VIII.002.

X.D.VIII.003    “Software” for digital twins of additive manufacturing products or for the determination of the reliability of additive manufacturing products.

X.D.VIII.004    “Software” specially designed for the “development,” “production” or “use” of commodities controlled by X.A.VIII.014.

X.D.VIII.005    Specific “software”, as follows (see List of Items Controlled):

a.    “Software” for neutronic calculations/modeling;

b.    “Software” for radiation transport calculations/modeling; or

c.    “Software” for hydrodynamic calculations/modeling.

X.E.VIII.001    “Technology” for    the    “development”,    “production”    or            “use”    of equipment specified in X.A.VIII.001 to X.A.VIII.0013.

X.E.VIII.002    “Technology”    for    the    “development”,    “production”    or            “use”    of materials specified in X.C.VIII.002 or X.C.VIII.003

X.E.VIII.003    “Technology” for digital twins of additive manufacturing products, for the determination of the reliability of additive manufacturing products or for “software” specified in X.D.VIII.003.

X.E.VIII.004    “Technology” for the “development”, “production” or “use” of “software” specified in X.D.VIII.001 to X.D.VIII.002.

X.E.VIII.005    “Technology” “required” for the “development” or “production” of commodities controlled by X.A.VIII.014.

X.E.VIII.006    “Technology” exclusively for the “development” or “production” of equipment controlled by X.A.VIII.017.

Category IX – Special Materials and Related Equipment

X.A.IX.001    Chemical agents, including tear gas formulation containing 1 % or less of orthochlorobenzalmalononitrile (CS), or 1 % or less of chloroacetophenone (CN), except in individual containers with a net weight of 20 g or less; liquid pepper except when packaged in individual containers with a net weight of 85,05 g or less; smoke bombs; non-irritant smoke flares, canisters, grenades and charges; and other pyrotechnic articles having dual military and commercial use, and components specially designed therefor, other than those specified in the CML or in Regulation (EU) 2021/821.

X.A.IX.002    Fingerprinting powders, dyes, and inks.

X.A.IX.003    Protective and detection equipment not specially designed for military use and not controlled by 1A004 or 2B351 ( 24 ), as follows (see List of Items Controlled), and components not specially designed for military use and not controlled by 1A004 or 2B351 therefor:

a.    Personal radiation monitoring dosimeters; or

b.    Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.

Note: X.A.IX.003 does not control items for protection against chemical or biological agents that are consumer goods, packaged for retail sale or personal use, or medical products, such as latex exam gloves, latex surgical gloves, liquid disinfectant soap, disposable surgical drapes, surgical gowns, surgical foot covers, and surgical masks.

X.A.IX.004    Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    Radiation detection, monitoring and measurement equipment, other than those specified in the CML or in Regulation (EU) 2021/821; or

b.    Radiographic detection equipment such as X-ray converters, and storage phosphor image plates.

X.B.IX.001    Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    Electrolytic cells for fluorine production, other than those specified in the CML or in Regulation (EU) 2021/821;

b.    Particle accelerators;

c.    Industrial process control hardware/systems designed for power industries, other than those specified in the CML or in Regulation (EU) 2021/821;

d.    Freon and chilled water cooling systems capable of continuous cooling duties of 29,3 kW/hr or greater; or

e.    Equipment for the production of structural composites, fibres, prepregs and preforms.

X.C.IX.001    Separate chemically defined compounds according to Note 1 to Chapters 28 and 29 of the Combined Nomenclature:

a.    In concentrations of 95 % weight or greater, as follows:

1.    Ethylene dichloride (CAS 107-06-2);

2.    Nitromethane (CAS 75-52-5);

3.    Picric acid (CAS 88-89-1);

4.    Aluminium chloride (CAS 7446-70-0);

5.    Arsenic (CAS 7440-38-2);

6.    Arsenic trioxide (CAS 1327-53-3);

7.    Bis(2-chloroethyl)ethylamine hydrochloride (CAS 3590-07-6);

8.    Bis(2-chloroethyl)methylamine hydrochloride (CAS 55-86-7);

9.    Tris(2-chloroethyl)amine hydrochloride (CAS 817-09-4);

10.    Tributylphosphite (CAS 102-85-2);

11.    Isocyanatomethane (CAS 624-83-9);

12.    Quinaldine (CAS 91-63-4);

13.    2-bromochloroethane (CAS 107-04-0);

14.    Benzil (CAS 134-81-6);

15.    Diethyl ether (CAS 60-29-7);

16.    Dimethyl ether (CAS 115-10-6);

17.    Dimethylaminoethanol (CAS 108-01-0);

18.    2-methoxyethanol (CAS 109-86-4);

19.    Butyrylcholinesterase (BCHE);

20.    Diethylenetriamine (CAS 111-40-0);

21.    Dichloromethane (CAS 75-09-2);

22.    Dimethylaniline (CAS 121-69-7);

23.    Ethyl bromide (CAS 74-96-4);

24.    Ethyl chloride (CAS 75-00-3);

25.    Ethylamine (CAS 75-04-7);

26.    Hexamine (CAS 100-97-0);

27.    Isopropanol (CAS 67- 63-0);

28.    Isopropyl bromide (CAS 75-26-3);

29.    Isopropyl ether (CAS 108-20-3);

30.    Methylamine (CAS 74-89-5);

31.    Methyl bromide (CAS 74-83-9);

32.    Monoisopropylamine (CAS 75-31-0);

33.    Obidoxime chloride (CAS 114-90-9);

34.    Potassium bromide (CAS 7758-02-3);

35.    Pyridine (CAS 110-86-1);

36.    Pyridostigmine bromide (CAS 101-26-8);

37.    Sodium bromide (CAS 7647-15-6);

38.    Sodium metal (CAS 7440-23-5);

39.    Tributylamine (CAS 102-82-9);

40.    Triethylamine (CAS 121-44-8); or

41.    Trimethylamine (CAS 75-50-3).

b.    In concentrations of 90 % weight or greater, as follows:

1.    Acetone (CAS 67-64-1);

2.    Acetylene (CAS 74-86-2);

3.    Ammonia (CAS 7664-41-7);

4.    Antimony (CAS 7440-36-0);

5.    Benzaldehyde (CAS 100-52-7);

6.    Benzoin (CAS 119-53-9);

7.    1-Butanol (CAS 71-36-3);

8.    2-Butanol (CAS 78-92-2);

9.    Iso-Butanol (CAS 78-83-1);

10.    Tert-Butanol (CAS 75-65-0);

11.    Calcium carbide (CAS 75-20-7);

12.    Carbon monoxide (CAS 630-08-0);

13.    Chlorine (CAS 7782-50-5);

14.    Cyclohexanol (CAS 108-93-0);

15.    Dicyclohexylamine (CAS 101-83-7);

16.    Ethanol (CAS 64-17-5);

17.    Ethylene (CAS 74-85-1);

18.    Ethylene oxide (CAS 75-21-8);

19.    Fluoroapatite (CAS 1306-05-4);

20.    Hydrogen chloride (CAS 7647-01-0);

21.    Hydrogen sulfide (CAS 7783-06-4);

22.    Mandelic acid (CAS 90-64-2);

23.    Methanol (CAS 67-56-1);

24.    Methyl chloride (CAS 74-87-3);

25.    Methyl iodide (CAS 74-88-4);

26.    Methyl mercaptan (CAS 74-93-1);

27.    Monoethyleneglycol (CAS 107-21-1);

28.    Oxalyl chloride (CAS 79-37-8);

29.    Potassium sulphide (CAS 1312-73-8);

30.    Potassium thiocyanate (CAS 333-20-0);

31.    Sodium hypochlorite (CAS 7681-52-9);

32.    Sulphur (CAS 7704-34-9);

33.    Sulphur dioxide (CAS 7446-09-5);

34.    Sulphur trioxide (CAS 7446-11-9);

35.    Thiophosphoryl chloride (CAS 3982-91-0);

36.    Tri-isobutyl phosphite (CAS 1606-96-8);

37.    White phosphorus (CAS 12185-10-3);

38.    Yellow phosphorus (CAS 7723-14-0);

39.    Mercury (CAS 7439-97-6);

40.    Barium chloride (CAS 10361-37-2);

41.    Sulphuric acid (CAS 7664-93-9);

42.    3,3-dimethyl-1-butene (CAS 558-37-2);

43.    2,2-dimethylpropanal (CAS 630-19-3);

44.    2,2-dimethylpropylchloride (CAS 753-89-9);

45.    2-methylbutene (CAS 26760-64-5);

46.    2-chloro-3-methylbutane (CAS 631-65-2);

47.    2,3-dimethyl-2,3-butanediol (CAS 76-09-5);

48.    2-methyl-2-butene (CAS 513-35-9);

49.    Butyl lithium (CAS 109-72-8);

50.    Bromo(methyl)magnesium (CAS 75-16-1);

51.    Formaldehyde (CAS 50-00-0);

52.    Diethanolamine (CAS 111-42-2);

53.    Dimethylcarbonate (CAS 616-38-6);

54.    Methyldiethanolamine hydrochloride (CAS 54060-15-0);

55.    Diethylamine hydrochloride (CAS 660-68-4);

56.    Diisopropylamine hydrochloride (CAS 819-79-4);

57.    3-Quinuclidinone hydrochloride (CAS 1193-65-3);

58.    3-Quinuclidinol hydrochloride (CAS 6238-13-7);

59.    (R)-3- Quinuclidinol hydrochloride (CAS 42437-96-7); or

60.    N,N-Diethylaminoethanol hydrochloride (CAS 14426-20-1).

X.C.IX.002    Fentanyl and its derivatives Alfentanil, Sufentanil, Remifentanil, Carfentanil, and salts thereof.

Note: X.C.IX.002 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

X.C.IX.003    Chemical precursors to Central Nervous System Acting Chemicals, as follows:

a.    4-anilino-N-phenethylpiperidine (CAS 21409-26-7); or

b.    N-phenethyl-4-piperidone (CAS 39742-60-4).

Notes:

1.    X.C.IX.003 does not control "chemical mixtures" containing one or more of the chemicals specified in entry X.C.IX.003 in which no individually specified chemical constitutes more than 1 % by the weight of the mixture.

2.    X.C.IX.003 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

X.C.IX.004    Fibrous and filamentary materials, not controlled by 1C010 or 1C210 ( 25 ), for use in “composite” structures and with a specific modulus of 3,18 x 106 m or greater and a specific tensile strength of 7,62 x 104 m or greater.

X.C.IX.005    “Vaccines”, “immunotoxins”, ‘medical products’, ‘diagnostic and food testing kits’, as follows (see List of Items controlled):

a.    “Vaccines” containing, or designed for use against, items controlled by 1C351, 1C353 or 1C354;

b.    “Immunotoxins” containing items controlled by 1C351.d; or

c.    ‘Medical products’ that contain any of the following:

1.    “Toxins” controlled by 1C351.d (except for botulinum toxins controlled by 1C351.d.1, conotoxins controlled by 1C351.d.3, or items controlled for CW reasons under 1C351.d.4 or .d.5); or

2.    Genetically modified organisms or genetic elements controlled by 1C353.a.3 (except for those that contain, or code for, botulinum toxins controlled by 1C351.d.1 or conotoxins controlled by 1C351.d.3);

d.    ‘Medical products’ not controlled by X.C.IX.005.c that contain any of the following:

1.    Botulinum toxins controlled by 1C351.d.1;

2.    Conotoxins controlled by 1C351.d.3; or

3.    Genetically modified organisms or genetic elements controlled by 1C353.a.3 that contain, or code for, botulinum toxins controlled by 1C351.d.1 or conotoxins controlled by 1C351.d.3; or

e.    ‘Diagnostic and food testing kits’ containing items controlled by 1C351.d (except for items controlled for CW reasons under 1C351.d.4 or .d.5).

Technical Notes:

1.    ‘Medical products’ are: (1) pharmaceutical formulations designed for testing and human (or veterinary) administration in the treatment of medical conditions, (2) prepackaged for distribution as clinical or medical products, and (3) approved by the European Medicines Agency (EMA) either to be marketed as clinical or medical products or for use as research new drug.

2.    ‘Diagnostic and food testing kits’ are specifically developed, packaged and marketed for diagnostic or public health purposes. Biological toxins in any other configuration, including bulk shipments, or for any other end-uses are controlled by 1C351.

X.C.IX.006    Commercial charges and devices containing energetic materials, other than those specified in the CML or in Regulation (EU) 2021/821, and nitrogen trifluoride in a gaseous state (see List of Items Controlled):

a.    Shaped charges specially designed for oil well operations, utilizing one charge functioning along a single axis, that upon detonation produce a hole, and

1.    Contain any formulation of ‘controlled materials’;

2.    Have only a uniform shaped conical liner with an included angle of 90 degrees or less;

3.    Contain more than 0,010 kg but less than or equal to 0,090 kg of ‘controlled materials’; and

4.    Have a diameter not exceeding 114,3 cm;

b.    Shaped charges specially designed for oil well operations containing less than or equal to 0,010 kg of ‘controlled materials’;

c.    Detonation cord or shock tubes containing less than or equal to 0,064 kg/m of ‘controlled materials’;

d.    Cartridge power devices, that contain less than or equal to 0,70 kg of ‘controlled materials’ in the deflagration material;

e.    Detonators (electric or nonelectric) and assemblies thereof, that contain less than or equal to 0,01 kg of ‘controlled materials’;

f.    Igniters, that contain less than or equal to 0,01 kg of ‘controlled materials’;

g.    Oil well cartridges, that contain less than or equal to 0,015 kg of controlled “energetic materials”;

h.    Commercial cast or pressed boosters containing less than or equal to 1,0 kg of ‘controlled materials’;

i.    Commercial prefabricated slurries and emulsions containing less than or equal to 10,0 kg and less than or equal to 35 % by weight of ML8 ‘controlled materials’;

j.    Cutters and severing tools containing less than or equal to 3,5 kg of ‘controlled materials’;

k.    Pyrotechnic devices when designed exclusively for commercial purposes (e.g., theatrical stages, motion picture special effects, and fireworks displays) and containing less than or equal to 3,0 kg of ‘controlled materials’;

l.    Other commercial explosive devices and charges not controlled by X.C.IX.006.a through .k containing less than or equal to 1,0 kg of ‘controlled materials’; or

Note: X.C.IX.006.l includes automotive safety devices; extinguishing systems; cartridges for riveting guns; explosive charges for agricultural, oil and gas operations, sporting goods, commercial mining, or public works purposes; and delay tubes used in the assembly of commercial explosive devices.

m.    Nitrogen trifluoride (NF3) in a gaseous state.

Notes:

1.    ‘Controlled materials’ means controlled energetic materials (see 1C011, 1C111, 1C239 or ML8).

2.    Nitrogen trifluoride when not in a gaseous state is controlled under ML8.d by the CML.

X.C.IX.007    Mixtures not controlled by 1C350 or 1C450 ( 26 ) that contain chemicals controlled by 1C350 or 1C450 and medical, analytical, diagnostic, and food testing kits not controlled by 1C350 or 1C450 that contain chemicals controlled by 1C350, as follows (see List of Items Controlled):

a.    Mixtures containing the following concentrations of precursor chemicals controlled by 1C350:

1.    Mixtures containing 10 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C350;

2.    Mixtures containing less than 30 %, by weight, of:

a.    Any single CWC Schedule 3 chemical controlled by 1C350; or

b.    Any single non-CWC precursor chemical controlled by 1C350;

b.    Mixtures containing the following concentrations of toxic or precursor chemicals controlled by 1C450:

1.    Mixtures containing the following concentrations of CWC Schedule 2 chemicals controlled by 1C450:

a.    Mixtures containing 1 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.a.1 and a.2 (i.e., mixtures containing Amiton or PFIB); or

b.    Mixtures containing 10 % or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C450.b.1, b.2, b.3, b.4, b.5, or b.6;

2.    Mixtures containing less than 30 %, by weight, of any single CWC Schedule 3 chemical controlled by 1C450.a.4, a.5., a.6., a.7, or 1C450.b.8;

c.    ‘Medical, analytical, diagnostic, and food testing kits’ that contain precursor chemicals controlled by 1C350 in an amount not exceeding 300 grams per chemical.

Technical Note:

For the purpose of this entry, ‘medical, analytical, diagnostic, and food testing kits’ are pre-packaged materials of defined composition that are specifically developed, packaged and marketed for medical, analytical, diagnostic, or public health purposes. Replacement reagents for medical, analytical, diagnostic, and food testing kits described in X.C.IX.007.c are controlled by 1C350 if the reagents contain at least one of the precursor chemicals identified in that entry in concentrations equal to or greater than the control levels for mixtures indicated in 1C350.

X.C.IX.008    Non-fluorinated polymeric substances, not controlled by 1C008 ( 27 ), as follows (see List of Items Controlled):

a.    Polyarylene ether ketones, as follows:

1.    Polyether ether ketone (PEEK);

2.    Polyether ketone ketone (PEKK);

3.    Polyether ketone (PEK); or

4.    Polyether ketone ether ketone ketone (PEKEKK);

b.    Not used.

X.C.IX.009    Specific materials, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    Hardened steel and tungsten carbide precision ball bearings (3 mm or greater diameter);

b.    304 and 316 stainless steel plate, other than those specified in the CML or in Regulation (EU) 2021/821;

c.    Monel plate;

d.    Tributyl phosphate (CAS 126-73-8);

e.    Nitric acid (CAS 7697-37-2) in concentrations of 20 % weight or greater;

f.    Fluorine (CAS 7782-41-4); or

g.    Alpha-emitting radionuclides, other than those specified in the CML or in Regulation (EU) 2021/821.

X.C.IX.010    Aromatic polyamides (aramids) not controlled by 1C010, 1C210 or X.C.IX.004, presented in any of the following forms (see List of Items Controlled):

a.    Primary forms;

b.    Filament yarn or monofilaments;

c.    Filament tows;

d.    Rovings;

e.    Staple or chopped fibres;

f.    Fabrics;

g.    Pulp or flocks.

X.C.IX.011    Nanomaterials as follows (see List of Items Controlled):

a.    Semiconductor nanomaterials;

b.    Composite-based nanomaterials; or

c.    Any of the following carbon-based nanomaterials:

1.    Carbon nanotubes;

2.    Carbon nanofibres;

3.    Fullerenes;

4.    Graphenes; or

5.    Carbon onions.

Notes:     For the purpose of X.C.IX.011, nanomaterial means a material that meets at least one of the following criteria:

1.    Consists of particles, with one or more external dimensions in the size range 1 - 100 nm for more than 1 % of their number size distribution;

2.    Has internal or surface structures in one or more dimensions in the size range 1 - 100 nm; or

3.    Has a specific surface area by volume greater than 60 m2/cm3, excluding materials consisting of particles with a size lower than 1 nm.

X.D.IX.001    Specific “software”, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    “Software” specially designed for industrial process control hardware/systems controlled by X.B.IX.001, other than those specified in the CML or in Regulation (EU) 2021/821; or

b.    “Software” specially designed for equipment for the production of structural composites, fibres, prepregs and preforms controlled by X.B.IX.001, other than those specified in the CML or in Regulation (EU) 2021/821.

X.E.IX.001    “Technology” for the “development”, “production”, or “use” of fibrous and filamentary materials controlled by X.C.IX.004 and X.C.IX.010.

X.E.IX.002    “Technology” for the “development”, “production”, or “use” of nanomaterials controlled by X.C.IX.011.

Category X – Materials Processing

X.A.X.001    Explosives or detonator detection equipment, both bulk and trace based, consisting of an automated device, or combination of devices for automated decision making to detect the presence of different types of explosives, explosive residue, or detonators; and components, other than those specified in the CML or in Regulation (EU) 2021/821:

a.    Explosives detection equipment for ‘automated decision making’ to detect and identify bulk explosives utilizing, but not limited to, X-ray (e.g., computed tomography, dual energy, or coherent scattering), nuclear (e.g., thermal neutron analysis, pulse fast neutron analysis, pulse fast neutron transmission spectroscopy, and gamma resonance absorption), or electromagnetic techniques (e.g., quadropole resonance and dielectrometry);

b.    Not used;

c.    Detonator detection equipment for automated decision making to detect and identify initiation devices (e.g. detonators, blasting caps) utilizing, but not limited to, X-ray (e.g. dual energy or computed tomography) or electromagnetic techniques.

Note: Explosives or detonation detection equipment in X.A.X.001 includes equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.

Technical Notes:

1.    ‘Automated decision making is the ability of the equipment to detect explosives or detonators at the design or operator- selected level of sensitivity and provide an automated alarm when explosives or detonators at or above the sensitivity level are detected.

2.    This entry does not control equipment that depends on operator interpretation of indicators such as inorganic/organic color mapping of the items(s) being scanned.

3.    Explosives and detonators include commercial charges and devices controlled by X.C.VIII.004 and X.C.IX.006 and energetic materials controlled by 1C011, 1C111 and 1C239 ( 28 ).

X.A.X.002    Concealed object detection equipment operating in the frequency range from 30 GHz to 3 000 GHz and having a spatial resolution of 0,1 mrad (milliradian) up to and including 1 mrad (milliradian) at a standoff distance of 100 m; and components, other than those specified in the CML or in Regulation (EU) 2021/821.

Note: Concealed object detection equipment includes but is not limited to equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.

Technical Note:

The range of frequencies span what is generally considered as the millimetre-wave, submillimetre-wave and terahertz frequency regions.

X.A.X.003     Bearings and bearing systems not controlled by 2A001 (see List of Items Controlled):

a.    Ball bearings or Solid ball bearings, having tolerances specified by the manufacturer in accordance with ABEC 7, ABEC 7P, or ABEC 7T or ISO Standard Class 4 or better (or equivalents) and having any of the following characteristics;

1.    Manufactured for use at operating temperatures above 573 K (300°C) either by using special materials or by special heat treatment; or

2.    With lubricating elements or component modifications that, according to the manufacturer's specifications, are specially designed to enable the bearings to operate at speeds exceeding 2,3 million ‘DN’;

b.    Solid tapered roller bearings, having tolerances specified by the manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or Class A (metric) or better (or equivalents) and having either of the following characteristics:

1.    With lubricating elements or component modifications that, according to the manufacturer's specifications, are specially designed to enable the bearings to operate at speeds exceeding 2,3 million ‘DN’; or

2.    Manufactured for use at operating temperatures below 219 K (-54°C) or above 423 K (150°C);

c.    Gas-lubricated foil bearing manufactured for use at operating temperatures of 561 K (288°C) or higher and a unit load capacity exceeding 1 MPa;

d.    Active magnetic bearing systems;

e.    Fabric-lined self-aligning or fabric-lined journal sliding bearings manufactured for use at operating temperatures below 219 K (-54°C) or above 423 K (150°C).

Technical Notes:

1.    ‘DN’ is the product of the bearing bore diameter in mm and the bearing rotational velocity in rpm.

2.    Operating temperatures include those temperatures obtained when a gas turbine engine has stopped after operation 

X.A.X.004    Piping, fittings and valves made of, or lined with stainless, copper-nickel alloy or other alloy steel containing 10 % or more nickel and/or chromium:

a.    Pressure tube, pipe, and fittings of 200 mm or more inside diameter, and suitable for operation at pressures of 3,4 MPa or greater;

b.    Pipe valves having all of the following characteristics that are not controlled by 2B350.g ( 29 ):

1.    A pipe size connection of 200 mm or more inside diameter; and

2.    Rated at 10,3 MPa or more.

Notes:

1.    See X.D.X.005 for “software” for items controlled under this entry.

2.    See 2E001 (“development”), 2E002 (“production”), and X.E.X.003 (“use”) for technology for items controlled under this entry.

3.    See related controls 2A226, 2B350 and X.B.X.010.

X.A.X.005     Pumps designed to move molten metals by electromagnetic forces.

Notes:

1.    See X.D.X.005 for “software” for items controlled under this entry.

2.    See 2E001 (“development”), 2E002 (“production”), and X.E.X.003 (“use”) for “technology” for items controlled under this entry.

3.    Pumps for use in liquid-metal-cooled reactors are controlled by 0A001.

X.A.X.006    ‘Portable electric generators’ and specially designed components.

Technical Note:

‘Portable electric generators’ – The generators that are in X.A.X.006 are portable – 2 268 kg or less on wheels or transportable in a 2,5 tonnes truck without a special set up requirement.

X.A.X.007    Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    Bellows sealed valves;

b.    Not used.

X.B.X.001    ‘Continuous flow reactors’ and their ‘modular components’.

Technical Notes:

1.    For the purposes of X.B.X.001, ‘continuous flow reactors’ consist in plug and play systems where reactants are continuously fed into the reactor and the resultant product is collected at the outlet.

2.    For purposes of X.B.X.001, ‘modular components’ are fluidic modules, liquid pumps, valves, packed-bed modules, mixer modules, pressure gauges, liquid-liquid separators, etc.

X.B.X.002    Nucleic acid assemblers and synthesizers not controlled by 2B352.i, which are partly or entirely automated, and designed to generate nucleic acids greater than 50 bases.

X.B.X.003    Automated peptide synthesizers capable to work under controlled atmosphere conditions.

X.B.X.004    Numerical control units for machine tools and “numerically controlled” machine tools, other than those specified in the CML or in Regulation (EU) 2021/821 (see List of Items Controlled):

a.    “Numerical control” units for machine tools:

1.    Having four interpolating axes that can be coordinated simultaneously for contouring control; or

2.    Having two or more axes that can be coordinated simultaneously for contouring control and a minimum programmable increment better (less) than 0,001 mm;

3.    “Numerical control” units for machine tools having two, three or four interpolating axes that can be coordinated simultaneously for contouring control, and capable of receiving directly (on-line) and processing computer-aided-design (CAD) data for internal preparation of machine instructions; or

b.    Motion control boards specially designed for machine tools and having any of the following characteristics:

1.    Interpolation in more than four axes;

2.    Capable of real-time processing of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:

a.    Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data; or 

b.    Adaptive control with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process; or

3.    Capable of receiving and processing CAD data for internal preparation of machine instructions;

c.    “Numerically controlled” machine tools that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous contouring control in two or more axes and that have both of the following characteristics:

1.    Two or more axes that can be coordinated simultaneously for contouring control; and

2.    Positioning accuracies according to ISO 230/2 (2006), with all compensations available:

a.    Better than 15 μm along any linear axis (overall positioning) for grinding machines;

b.    Better than 15 μm along any linear axis (overall positioning) for milling machines; or

c.    Better than 15 μm along any linear axis (overall positioning) for turning machines; or

d.    Machine tools, as follows, for removing or cutting metals, ceramics or composites, that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous contouring control in two or more axes:

1.    Machine tools for turning, grinding, milling or any combination thereof, having two or more axes that can be coordinated simultaneously for contouring control and having any of the following characteristics:

a.    One or more contouring “tilting spindles”;

Note: X.B.X.004.d.1.a. applies to machine tools for grinding or milling only.

b.    “Camming” (axial displacement) in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR);

Note: X.B.X.004.d.1.b. applies to machine tools for turning only.

c.    “Run-out” (out-of-true running) in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR); or

d.    The positioning accuracies, with all compensations available, are less (better) than: 0,001° on any rotary axis;

2.    Electrical discharge machines (EDM) of the wire feed type that have five or more axes that can be coordinated simultaneously for contouring control.

X.B.X.005    Non-“numerically controlled” machine tools for generating optical quality surfaces, (see List of Items Controlled) and specially designed components therefor:

a.    Turning machines using a single point cutting tool and having all of the following characteristics:

1.    Slide positioning accuracy less (better) than 0,0005 mm per 300 mm of travel;

2.    Bidirectional slide positioning repeatability less (better) than 0,00025 mm per 300 mm of travel;

3.    Spindle “run-out” and “camming” less (better) than 0,0004 mm total indicator reading (TIR);

4.    Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and

5.    Slide perpendicularity less (better) than 0,001 mm per 300 mm of travel;

Technical Note:

The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in part 2.11 of ISO 230/2: 1988.

b.    Fly cutting machines having all of the following characteristics:

1.    Spindle “run-out” and “camming” less (better) than 0,0004 mm TIR; and

2.    Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.

X.B.X.006    Gearmaking and/or finishing machinery not controlled by 2B003 capable of producing gears to a quality level of better than AGMA 11.

X.B.X.007    Dimensional inspection or measuring systems or equipment not controlled by 2B006 or 2B206, as follows (see List of Items Controlled):

a.    Manual dimensional inspection machines, having both of the following characteristics:

1.    Two or more axes; and

2.    A measurement uncertainty equal to or less (better) than (3 + L/300) μm in any axes (L measured length in mm).

X.B.X.008    “Robots” not controlled by 2B007 or 2B207 that are capable of employing feedback information in real-time processing from one or more sensors to generate or modify programs or to generate or modify numerical program data.

X.B.X.009    Assemblies, circuit boards or inserts specially designed for machine tools controlled by X.B.X.004, or for equipment controlled by X.B.X.006, X.B.X.007 or X.B.X.008:

a.    Spindle assemblies, consisting of spindles and bearings as a minimal assembly, with radial (“run-out”) or axial (“camming”) axis motion in one revolution of the spindle less (better) than 0,0006 mm total indicator reading (TIR);

b.    Single point diamond cutting tool inserts, having all of the following characteristics:

1.    Flawless and chip-free cutting edge when magnified 400 times in any direction;

2.    Cutting radius from 0,1 to 5 mm inclusive; and

3.    Cutting radius out-of-roundness less (better) than 0,002 mm TIR.

c.    Specially designed printed circuit boards with mounted components capable of upgrading, according to the manufacturer's specifications, “numerical control” units, machine tools or feed-back devices to or above the levels specified in X.B.X.004, X.B.X.006, X.B.X.007, X.B.X.008, or X.B.X.009.

Technical Note:

This entry does not control measuring interferometer systems, without closed or open loop feedback, containing a laser to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.

X.B.X.010    Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows (see List of Items Controlled):

a.    Isostatic presses, other than those specified in the CML or in Regulation (EU) 2021/821;

b.    Bellows manufacturing equipment, including hydraulic forming equipment and bellows forming dies;

c.    Laser welding machines;

d.    MIG welders;

e.    E-beam welders;

f.    Monel equipment, including valves, piping, tanks and vessels;

g.    304 and 316 stainless steel valves, piping, tanks and vessels;

Note: Fittings are considered part of piping for purposes of X.B.X.010.g.

h.    Mining and drilling equipment, as follows:

1.    Large boring equipment capable of drilling holes greater than 61 cm in diameter;

2.    Large earth-moving equipment used in the mining industry;

i.    Electroplating equipment designed for coating parts with nickel or aluminium;

j.    Pumps designed for industrial service and for use with an electrical motor of 5 HP or greater;

k.    Vacuum valves, piping, flanges, gaskets and related equipment specially designed for use in high-vacuum service, other than those specified in the CML or in Regulation (EU) 2021/821;

l.    Spin forming and flow forming machines, other than those specified in the CML or in Regulation (EU) 2021/821;

m.    Centrifugal multiplane balancing machines, other than those specified in the CML or in Regulation (EU) 2021/821; or

n.    Austenitic stainless steel plate, valves, piping, tanks and vessels.

X.B.X.011    Floor-mounted fume hoods (walk-in style) with a minimum nominal width of 2,5 metres.

X.B.X.012    Class II biosafety cabinets and glove boxes.

X.B.X.013    Batch centrifuges with a rotor capacity of 4 litres or greater, usable with biological materials.

X.B.X.014    Fermenters with an internal volume of 10–20 litres, usable with biological materials.

X.B.X.015    Reaction vessels, reactors, agitators, heat exchangers, condensers, pumps (including single seal pumps), valves, storage tanks, containers, receivers, and distillation or absorption columns that meet performance parameters of the control 2B350 ( 30 ), regardless of their materials of construction.

X.B.X.016    Conventional or turbulent air-flow clean-air rooms and self-contained fan-HEPA filter units that may be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containment facilities.

X.B.X.017    Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m3/h (under standard temperature and pressure conditions), casings (pump bodies), preformed casing-liners, impellers, rotors, and jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemicals being processed are made from controlled materials.

X.B.X.018    Laboratory equipment, including parts and accessories for such equipment, for the analysis or detection, destructive or non-destructive, of chemical substances.

X.B.X.019    Whole chlor-alkali electrolysis cells – mercury, diaphragm, and membrane.

X.B.X.020    Titanium electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

X.B.X.021    Nickel electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

X.B.X.022    Bipolar titanium nickel electrodes (including those with coatings produced from other metal oxides), specially designed for use in chlor-alkali cells.

X.B.X.023    Asbestos diaphragms specially designed for use in chlor-alkali cells.

X.B.X.024    Fluoropolymer based diaphragms specially designed for use in chlor-alkali cells.

X.B.X.025    Fluoropolymer based ion exchange membranes specially designed for use in chlor-alkali cells.

X.B.X.026    Compressors specially designed to compress wet or dry chlorine, regardless of material of construction.

X.B.X.027    Microwave reactors – Machinery, plant or laboratory equipment, whether or not electrically heated, for the treatment of materials by a process involving a change of temperature such as heating.

X.D.X.001    “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.X.001.

X.D.X.002    “Software” “required” for the “development”, “production” or “use” of concealed object detection equipment controlled by X.A.X.002.

X.D.X.003    “Software” specially designed for the “development”, “production”, or “use” of equipment controlled by X.B.X.004, X.B.X.006, or X.B.X.007, X.B.X.008, and X.B.X.009.

X.D.X.004    Specific “software”, as follows (see List of Items Controlled):

a.    “Software” to provide adaptive control and having both of the following characteristics:

1.    For flexible manufacturing units (FMUs); and

2.    Capable of generating or modifying, in real-time processing, programs or data by using the signals obtained simultaneously by means of at least two detection techniques, such as:

a.    Machine vision (optical ranging);

b.    Infrared imaging;

c.    Acoustical imaging (acoustical ranging);

d.    Tactile measurement;

e.    Inertial positioning;

f.    Force measurement; and

g.    Torque measurement.

Note: X.D.X.004.a does not control “software” which only provides rescheduling of functionally identical equipment within ‘flexible manufacturing units’ using pre-stored part programs and a pre-stored strategy for the distribution of the part programs.

b.    Not used.

X.D.X.005    “Software” specially designed or modified for the “development,” “production,” or “use” of items controlled by X.A.X.004 or X.A.X.005.

Note: See 2E001 (“development”) for “technology” for “software” controlled under this entry.

X.D.X.006    “Software” specially designed for the “development” or “production” of portable electric generators controlled by X.A.X.006.

X.E.X.001    “Technology” “required” for the “development,” “production” or “use” of equipment controlled by X.A.X.002 or “required” for the “development” of “software” controlled by X.D.X.002.

Note: See X.A.X.002 and X.D.X.002 for related commodity and “software” controls.

X.E.X.002    “Technology” for the “use” of equipment controlled by X.B.X.004, X.B.X.006, X.B.X.007, or X.B.X.008.

X.E.X.003    “Technology” according to the General Technology Note for the “use” of equipment controlled by X.A.X.004 or X.A.X.005.

X.E.X.004    “Technology” for the “use” of portable electric generators controlled by X.A.X.006.

Part B

1. Semiconductor devices

2. Electronic integrated circuits

3. Photographic cameras

4. Other electrical/magnetic components

5. Machines for additive manufacturing

’

ANNEX III

In Annex IX to Regulation (EU) No 833/2014, the following is added:

‘ANNEX IX

C. Model for sale, supply or transfer notification, application and authorisation forms (referred to in Article 12b(1) of this Regulation)

The export authorisation is valid in all Member States of the European Union until its expiry date.

EUROPEAN UNION    EXPORT AUTHORISATION / NOTIFICATION (Reg. (EU) 2022/328)

1    See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).

1    If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate the exact number of attachments in this box. The description should be as precise as possible and integrate, where relevant, the CAS or other references for chemical items in particular.

EUROPEAN UNION    (Reg. (EU) 2022/328)