ISSN 1977-0677

Official Journal

of the European Union

L 059I

European flag  

English edition

Legislation

Volume 66
25 February 2023


Contents

 

II   Non-legislative acts

page

 

 

REGULATIONS

 

*

Council Regulation (EU) 2023/426 of 25 February 2023 amending Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine

1

 

*

Council Regulation (EU) 2023/427 of 25 February 2023 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

6

 

*

Council Implementing Regulation (EU) 2023/428 of 25 February 2023 implementing Article 12(2) of Regulation (EU) 2017/1770 concerning restrictive measures in view of the situation in Mali

275

 

*

Council Implementing Regulation (EU) 2023/429 of 25 February 2023 implementing Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine

278

 

*

Council Implementing Regulation (EU) 2023/430 of 25 February 2023 implementing Regulation (EU) 2020/1998 concerning restrictive measures against serious human rights violations and abuses

423

 

 

DECISIONS

 

*

Council Decision (CFSP) 2023/431 of 25 February 2023 amending Council Decision (CFSP) 2017/1775 concerning restrictive measures in view of the situation in Mali

434

 

*

Council Decision (CFSP) 2023/432 of 25 February 2023 amending Decision 2014/145/CFSP concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine

437

 

*

Council Decision (CFSP) 2023/433 of 25 February 2023 amending Decision (CFSP) 2020/1999 concerning restrictive measures against serious human rights violations and abuses

583

 

*

Council Decision (CFSP) 2023/434 of 25 February 2023 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

593

EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.


II Non-legislative acts

REGULATIONS

25.2.2023   

EN

Official Journal of the European Union

LI 59/1


COUNCIL REGULATION (EU) 2023/426

of 25 February 2023

amending Regulation (EU) No 269/2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to Council Decision 2014/145/CFSP of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (1),

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

Whereas:

(1)

Council Regulation (EU) No 269/2014 (2) gives effect to restrictive measures provided for in Decision 2014/145/CFSP.

(2)

On 25 February 2023, the Council adopted Decision (CFSP) 2023/432 (3), amending Decision 2014/145/CFSP. Decision (CFSP) 2023/432 extended to certain newly-listed banks derogations from the asset freeze and from the prohibition on making available funds and economic resources that were applicable to previously-listed banks, and to allow the processing of payments by the Jewish Claims Conference through one of them. Decision (CFSP) 2023/432 also introduced a specific and temporary derogation allowing the disposal or the transfer of securities by an entity established in the Union currently or previously controlled by a specific listed entity. Decision (CFSP) 2023/432 furthermore introduced a derogation allowing for the termination of operations, contracts or other agreements with a listed entity, and extended by three months the deadline for the derogation to allow the sale and transfer of proprietary rights in a legal person, entity or body established in the Union owned by a listed natural or legal person, entity or body.

(3)

It is appropriate to require that natural and legal persons, entities and bodies supply to the national competent authorities detailed information on funds and economic resources which have been frozen or should have been treated as frozen, as well as information on funds and economic resources belonging to, owned, held or controlled by listed natural or legal persons, entities or bodies which were subject to any move, transfer, alteration, use, access, or dealing shortly before the listing. It is also appropriate to require that central securities depositories, due to their systemic importance for the functioning of securities markets, provide the relevant information to the Member State concerned and simultaneously to the Commission. The obligation to report is ancillary to the effective application of the asset freeze provisions, and is without prejudice to the monetary functions and the principle of independence of the European Central Bank and of the national central banks.

(4)

It is also appropriate to specify the type of information to be provided to national competent authorities, which authorities should then transmit that information to the Commission, with specific adaptations in the case of criminal proceedings. In order to allow time to adapt, it is appropriate to provide for deferred application of the more detailed reporting requirements. It should also be clarified that Member States and the relevant natural and legal persons, entities and bodies are required to cooperate with the Commission in any verification of such information, and that the Commission should be able to request any additional information, while informing the Member State concerned of such request.

(5)

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

(6)

Regulation (EU) No 269/2014 should therefore be amended accordingly,

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EU) No 269/2014 is amended as follows:

(1)

in Article 6b, the following paragraph is inserted:

‘2d.

By way of derogation from Article 2, the competent authorities of a Member State may authorise the release of certain frozen funds or economic resources belonging to the entities listed under entry numbers 198, 199 and 200 under the heading “Entities” in Annex I, or the making available of certain funds or economic resources to those entities, under such conditions as the competent authorities deem appropriate and after having determined that such funds or economic resources are necessary for the termination by 26 August 2023 of operations, contracts, or other agreements, including correspondent banking relations, concluded with those entities before 25 February 2023, or, with respect to the entity listed under entry number 198 under the heading “Entities” in Annex I, for transactions for the disbursement of funds by the Jewish Claims Conference to beneficiaries in the Russian Federation by 26 November 2023, irrespective of when the operations, contracts or other agreements were concluded.’;

(2)

in Article 6b, the following paragraphs are inserted:

‘5a.   By way of derogation from Article 2, paragraph 1, the competent authorities of the Member States may, under such conditions as they deem appropriate, authorise the release of certain frozen funds or economic resources held by the entity listed under entry number 101 under the heading “Entities” in Annex I, or the making available of certain funds or economic resources to that entity, after having determined that:

(a)

such funds or economic resources are necessary for the disposal or the transfer of securities by an entity established in the Union, currently or previously controlled by the entity listed under entry number 82 under the heading “Entities” in Annex I;

(b)

such disposal or transfer is completed by 24 July 2023; and,

(c)

such disposal or transfer is carried out on the basis of operations, contracts or other agreements concluded with, or otherwise involving, the entity listed under entry number 101 under the heading “Entities” in Annex I before 3 June 2022.

5b.   By way of derogation from Article 2, paragraph 1, the competent authorities of the Member States may, under such conditions as they deem appropriate, authorise the release of certain frozen funds or economic resources held by the entity listed under entry number 190 under the heading “Entities” in Annex I, or the making available of certain funds or economic resources to that entity, after having determined that such funds or economic resources are necessary for the termination by 26 August 2023 of operations, contracts or other agreements concluded with, or otherwise involving, that entity before 25 February 2023.’

;

(3)

in point (a) of Article 6b(3), the date ‘28 February 2023’ is replaced by the date ‘31 May 2023’;

(4)

in paragraph 1 of Article 6e, the reference to ‘entry numbers 53, 54, 55, 79, 80, 81, 82, 108, 126 and 127 in Annex I’ is replaced by a reference to ‘entry numbers 53, 54, 55, 79, 80, 81, 82, 108, 126, 127, 198, 199 and 200 under the heading ‘Entities’ in Annex I’;

(5)

Article 8 is replaced by the following:

‘Article 8

1.   Notwithstanding the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

(a)

supply immediately any information which would facilitate implementation of this Regulation, such as:

information on funds and economic resources frozen in accordance with Article 2 or information held about funds and economic resources within Union territory belonging to, owned, held or controlled by natural or legal persons, entities or bodies listed in Annex I and which have not been treated as frozen by the natural and legal persons, entities and bodies obliged to do so, to the competent authority of the Member State where they are resident or located, within two weeks of acquiring this information;

information held on funds and economic resources within Union territory belonging to, owned, held or controlled by natural or legal persons, entities or bodies listed in Annex I and which have been subject to any move, transfer, alteration, use of, access to, or dealing referred to in Article 1(e) or 1(f) in the two weeks preceding the listing of those natural or legal persons, entities or bodies in Annex I, to the competent authority of the Member State where they are resident or located, within two weeks of acquiring this information;

and,

(b)

cooperate with the competent authority in any verification of such information.

1a.   The information on funds and economic resources frozen in accordance with Article 2 supplied under paragraph 1 of this Article shall include at least the following:

(a)

information identifying the natural or legal persons, entities or bodies owning, holding or controlling the frozen funds and economic resources, including their name, address and VAT registration or tax identification number;

(b)

the amount or market value of such funds or economic resources at the date of reporting and at the date of freezing; and,

(c)

the types of funds, broken down according to the categories set out in points (i) to (vii) of Article 1(g) as well as crypto-assets and other relevant categories, and an additional category corresponding to economic resources within the meaning of Article 1(d). For each of those categories and where available, the quantity, location and other relevant features of the funds or economic resources.

1b.   The Member State concerned shall transmit to the Commission the information received pursuant to paragraphs 1 and 1a within two weeks of receiving it. The Member State concerned may transmit such information in an anonymised form if an investigating or judicial authority has declared it to be confidential in the context of pending criminal investigations or criminal judicial proceedings.

Central securities depositories within the meaning of Regulation (EU) No 909/2014 of the European Parliament and of the Council (*1) shall provide the information referred to in paragraphs 1and 1a, and information on extraordinary and unforeseen loss and damage concerning the relevant funds and economic resources, to the competent authority of the Member State where they are located, within two weeks of acquiring it and every three months thereafter, and transmit it simultaneously to the Commission.

1c.   Member States, as well as the relevant natural and legal persons, entities and bodies, shall cooperate with the Commission in any verification of the information concerning the funds or economic resources referred to in paragraphs 1 and 1a. The Commission may request any additional information it requires to carry out such verification. When such a request is addressed to a natural or legal person, entity or body, the Commission shall simultaneously transmit it to the Member State concerned.

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

3.   Any information provided to or received by the competent authorities of the Member States in accordance with this Article shall be used by those authorities only for the purposes for which it was provided or received.

4.   The competent authorities of the Member States, including enforcement authorities and administrators of official registers wherein natural persons, legal persons, entities and bodies as well as immovable or movable property are registered, shall process and exchange information, including personal data and, if necessary, the information referred to in paragraphs 1 and 1a with other competent authorities of the Member States and with the Commission.

5.   Any processing of personal data shall be carried out in accordance with this Regulation and with Regulations (EU) 2016/679 (*2) and (EU) 2018/1725 (*3) of the European Parliament and of the Council, and only in so far as necessary for the application of this Regulation and to ensure effective cooperation between Member States as well as with the Commission in the application of this Regulation.

(*1)  Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1)."

(*2)  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1)."

(*3)  Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39)’;"

(6)

in Article 12, point (a) of paragraph 1 is replaced by the following:

‘(a)

in respect of funds and economic resources frozen under Article 2 and authorisations granted under the derogations set out in this Regulation’.

Article 2

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

Article 1, point (5), shall apply from 26 April 2023.

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

Done at Brussels, 25 February 2023.

For the Council

The President

J. ROSWALL


(1)  OJ L 78, 17.3.2014, p. 16.

(2)  Council Regulation (EU) No 269/2014 of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (OJ L 78, 17.3.2014, p. 6).

(3)  Council Decision (CFSP) 2023/432 of 25 February 2023 amending Decision 2014/145/CFSP concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (See page 437 of this Official Journal).


25.2.2023   

EN

Official Journal of the European Union

LI 59/6


COUNCIL REGULATION (EU) 2023/427

of 25 February 2023

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

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to Council Decision (CFSP) 2023/434 of 25 February 2023 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (1),

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

Whereas:

(1)

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

(3)

On 25 February 2023 the Council adopted Decision (CFSP) 2023/434, amending Decision 2014/512/CFSP.

(4)

Decision (CFSP) 2023/434 expands the list of entities directly supporting Russia’s military and industrial complex in its war of aggression against Ukraine, 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 96 new entities to that list. Taking into account the direct connection between Iranian manufacturers of Unmanned Aerial Vehicles and the Russian military and industrial complex and the concrete risk that certain goods or technology are used for the manufacture of military systems that contribute to Russia’s war of aggression against Ukraine, several Iranian entities have been added to the list of natural and legal persons, entities and bodies subject to restrictive measures set out in Annex IV to Decision 2014/512/CFSP.

(5)

It is appropriate to extend the list of restricted items which might contribute to Russia’s military and technological enhancement or the development of its defence and security sector, by adding rare-earths and compounds, electronic integrated circuits and thermographic cameras, among others.

(6)

Decision (CFSP) 2023/434 extends the list of partner countries which are applying a set of export control measures substantially equivalent to those set out in Regulation (EU) No 833/2014.

(7)

Decision (CFSP) 2023/434 imposes further restrictions on exports of goods which could contribute in particular to the enhancement of Russian industrial capacities. Additionally, that Decision introduces further restrictions on imports of goods which generate significant revenues for Russia, thereby enabling the continuation of its war of aggression against Ukraine.

(8)

Furthermore, in order to minimise the risk of circumvention of the restrictive measures, Decision (CFSP) 2023/434 prohibits the transit via the territory of Russia of dual-use goods and technology and of arms exported from the Union.

(9)

Decision (CFSP) 2023/434 extends the suspension of broadcasting licences in the Union of Russian media outlets under the permanent control of the Russian leadership and the prohibition against broadcasting their content.

(10)

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

(11)

In order to justify and support its war of 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.

(12)

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 war of aggression against Ukraine, and for the destabilisation of its neighbouring countries.

(13)

In view of the gravity of the situation, and in response to Russia’s war of aggression against 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.

(14)

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.

(15)

In order to ensure consistency with the process in Decision 2014/512/CFSP for suspending broadcasting licences, the Council should exercise implementing powers to decide, following an examination of the respective cases, whether the restrictive measures are to become applicable, on the date specified in this Regulation, in respect of several entities listed in Annex XV to Regulation (EU) No 833/2014.

(16)

Critical infrastructures and entities, as providers of essential services, play an indispensable role in the maintenance of vital societal functions or economic activities in the internal market in an increasingly interdependent Union economy. The Union framework is set out in Council Directive 2008/114/EC (4), which is repealed with effect from 18 October 2024, on the identification and designation of European critical infrastructures and Directive (EU) 2022/2557 of the European Parliament and of the Council (5) on the resilience of critical entities with the aim of both enhancing the resilience of critical entities in the internal market by harmonised minimum rules and assisting them by means of coherent and dedicated support and supervision measures.

(17)

Russia’s influence in such infrastructures and entities could jeopardise their well-functioning and ultimately constitute a hazard for the provision of essential services to European citizens. It is therefore appropriate to restrict the possibility to hold any posts in the governing bodies of those entities.

(18)

In accordance with the current legal framework, the new prohibition on holding any posts in the governing bodies applies to European critical infrastructures and critical infrastructures identified or designated as such under national law, as defined in Directive 2008/114/EC, which applies until 18 October 2024. As from 18 October 2024, the new prohibition will apply to critical entities and critical infrastructures, as defined in Directive (EU) 2022/2557. Directive (EU) 2022/2557 lays down an obligation for Member States to identify by 17 July 2026 in their national law the critical entities for the sectors and subsectors set out in the Annex thereto. Therefore, as from 17 July 2026, the new prohibition on holding any posts in the governing bodies will concern all the critical entities identified or designated as such by Member States.

(19)

Gas storage capacity being a critical asset for the security of supply of gas in the Union, Decision (CFSP) 2023/434 imposes a prohibition on providing gas storage capacity in the Union to Russian nationals, natural persons residing in Russia or legal persons or entities established in Russia. This is necessary in oder to avoid Russia’s weaponisation of its gas supply and risks of market manipulation that would be detrimental to the critical energy supply of the Union.

(20)

In order to avoid circumvention of and ensure compliance with the prohibition on any non-Russian-registered aircraft which is owned or chartered, or otherwise controlled by any Russian natural or legal person, entity or body from landing in, taking off from, or overflying, the territory of the Union, Decision (CFSP) 2023/434 introduces an obligation for aircraft operators to notify non-scheduled flights to their competent authorities. The Member State concerned should immediately inform other Member States, the Network Manager and the Commission where it does not clear such a flight.

(21)

Decision (CFSP) 2023/434 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 extends the duration of the period in which the competent authorities of the Member States may authorise transactions which are necessary for the divestment and withdrawal by those Russian state-owned entities from Union companies.

(22)

In order to ensure uniform application of the prohibition of transactions relating to the management of reserves and assets of the Central Bank of Russia, it is appropriate to require that natural and legal persons, entities and bodies supply to the competent authorities of the Member States and simultaneously to the Commission information on such assets and reserves which they hold or control or are a counterparty to. It is also appropriate to specify the type of information to be provided and how this should be treated and used to ensure the uniform application of this reporting obligation. It should also be clarified that Member States and the relevant natural and legal persons, entities and bodies must cooperate with the Commission in any verification of such information and that the Commission may request any additional information, while informing the Member State concerned of such request. The obligation to report is ancillary to the effective application of the prohibition of the transactions related to the management of reserves and assets of the Central Bank of Russia and is without prejudice to the monetary functions and the principle of independence of the European Central Bank and the national central banks. In order to allow time to adapt, it is appropriate to provide for deferred application of the new reporting requirements.

(23)

In order to further facilitate divestment from the Russian market by Union operators, Decision (CFSP) 2023/434 introduces a temporary derogation from the prohibition on providing certain services set out in Regulation (EU) No 833/2014. In order to facilitate an expeditious exit from the Russian market, this derogation is temporary and limited in scope, enabling until 31 December 2023 the continuation of the provision of services to and for the exclusive benefit of the legal persons, entities or bodies resulting from the divestment. Additionally, the competent authorities of the Member States should ensure that the services are not provided to the Government of Russia or benefit military end-users or have a military-end use.

(24)

The Union is committed to avoiding threats to maritime safety. Consequently, Decision (CFSP) 2023/434 provides for certain exemptions for Union operators to provide pilot services to vessels in innocent passage as defined by international law which are necessary for reasons of maritime safety.

(25)

In order to ensure legal certainty concerning the treatment of imports, Decision (CFSP) 2023/434 provides for rules on the release by the customs authorities of the Member States of goods which are physically in the Union and which had already been presented to customs authorities when they became subject to such restrictions. This possibility applies regardless of the procedures under which the goods were placed after presentation to customs (transit, inward processing, release for free circulation etc.) or of the procedural steps and formalities pursuant to the Union Customs Code necessary for the release. Decision (CFSP) 2023/434 also authorises Member States to release goods already brought into the Union in the past. This is necessary for the benefit of Union operators that brought those goods into the Union in good faith at a time when they were not yet subject to any import restrictive measures, including when their import was still allowed during a wind-down period. The competent authorities of the Member States should ensure that the release of the goods and any payment related thereto comply with the provisions and objectives of Union restrictive measures. Similarly, any decision not to release such goods should comply with those objectives and ensure, among others, that the goods are not returned to Russia.

(26)

Finally, Decision (CFSP) 2023/434 makes certain technical corrections in the operative text of Decision 2014/512/CFSP.

(27)

These measures fall within the scope of the Treaty on European Union 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 points are added:

‘(y)

“critical entities” means entities as defined in Article 2(1) of Directive (EU) 2022/2557 of the European Parliament and of the Council (*1);

(z)

“critical infrastructure” means infrastructure as defined in Article 2(a) of Council Directive 2008/114/EC (*2) and Article 2(4) of Directive (EU) 2022/2557;

(za)

“European critical infrastructure” means infrastructure as defined in Article 2(b) of Directive 2008/114/EC;

(zb)

“owners or operators of critical infrastructures” means those entities responsible for investments in, and/or day-to-day operation of, a particular asset, system or part thereof designated as critical infrastructure or European critical infrastructure.

(*1)  Directive (EU) 2022/2557 of the European Parliament and of the Council of 14 December 2022 on the resilience of critical entities and repealing Council Directive 2008/114/EC (OJ L 333, 27.12.2022, p. 164)."

(*2)  Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection (OJ L 345, 23.12.2008, p. 75).’;"

(2)

in Article 2, the following paragraphs are inserted:

‘1a.   The transit via the territory of Russia of the dual-use goods and technology, as referred to in paragraph 1, exported from the Union shall be prohibited.

3a.   Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibition in paragraph 1a of this Article shall not apply to the transit via the territory of Russia of dual-use goods and technology intended for the purposes set out in points (a) to (e) of paragraph 3 of this Article.

4a.   By way of derogation from paragraph 1a, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the transit via the territory of Russia of dual-use goods and technology after having determined that such goods or technology are intended for the purposes set out in points (b), (c), (d), and (h) of paragraph 4 of this Article.’

;

(3)

in Article 2aa, the following paragraph is inserted:

‘1a.   The transit via the territory of Russia of firearms, their parts and essential components and ammunition, as referred to in paragraph 1, exported from the Union shall be prohibited.’

;

(4)

in Article 3c, the following paragraph is added:

‘5c.   With regard to the goods listed in Part D of Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution until 27 March 2023 of contracts concluded before 26 February 2023, or of ancillary contracts necessary for the execution of such contracts.’

;

(5)

in Article 3d, the following paragraphs are added:

‘5.   Aircraft operators of non-scheduled flights between Russia and the Union, operated directly or via a third country, shall notify all relevant information concerning the flight to their competent authorities prior to their operation, and at least 48 hours in advance.

6.   Upon refusal of a flight notified in accordance with paragraph 5, the Member State concerned shall immediately inform the other Member States, the Network Manager and the Commission.’

;

(6)

Article 3i is amended as follows:

(a)

the following paragraphs are inserted:

‘3d.   With regard to the goods listed in Part C of Annex XXI, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 27 May 2023 of contracts concluded before 26 February 2023, or of ancillary contracts necessary for the execution of such contracts.

This provision does not apply to goods falling under CN codes 2803 and 4002 as listed in Part C of Annex XXI, to which paragraph 3da applies.

3da.   The prohibitions in paragraphs 1 and 2 shall not apply to the import, purchase or transport, or related technical or financial assistance, necessary for the import into the Union, until 30 June 2024, of the following quantities:

(a)

752 475 metric tonnes for goods falling under CN code 2803;

(b)

562 973 metric tonnes for goods falling under CN code 4002.’

;

(b)

paragraph 5 is replaced by the following:

‘5.   The import volume quotas set out in paragraphs 3da and 4 of this Article shall be managed by the Commission and the Member States in accordance with the management system for tariff-rate quotas provided for in Articles 49 to 54 of Commission Implementing Regulation (EU) 2015/2447 (*3).

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

(7)

Article 3k is amended as follows:

(a)

the following paragraphs are inserted:

‘3c.   With regard to the goods listed in Part C of Annex XXIII, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 27 March 2023 of contracts concluded before 26 February 2023, or of ancillary contracts necessary for the execution of such contracts.

This provision does not apply to goods falling under CN codes 7208 25, 7208 90, 7209 25, 7209 28, 7219 24 as listed in Part C of Annex XXIII, to which paragraph 3 applies.

5b.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods listed in Part C of Annex XXIII, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is strictly necessary for the production of titanium goods required in the aeronautic industry, for which no alternative supply is available.’

;

(b)

paragraphs 5a and 6 are replaced by the following:

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

6.   When deciding on requests for authorisations referred to in paragraphs 5, 5a and 5b, the competent authorities shall not grant an authorisation for exports to any natural or legal person, entity or body in Russia or for use in Russia, if they have reasonable grounds to believe that the goods might have a military end-use.’

;

(8)

in Article 5a, the following paragraphs are inserted:

‘4a.   Notwithstanding the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies, including the European Central Bank, national central banks, financial sector entities as defined in Article 4 of Regulation (EU) No 575/2013 of the European Parliament and of the Council (*4), insurance and reinsurance undertakings as defined in Article 13 of Directive 2009/138/EC of the European Parliament and of the Council (*5), central securities depositories as defined in Article 2 of Regulation (EU) No 909/2014 and central counterparties as defined in Article 2 of Regulation (EU) No 648/2012 of the European Parliament and of the Council (*6) shall provide, no later than two weeks after 26 February 2023, to the competent authority of the Member State where they are resident or located, and simultaneously to the Commission, information on the assets and reserves referred to in paragraph 4 of this Article which they hold or control or are a counterparty to. Such information shall be updated every three months and shall at least cover the following:

(a)

information identifying the natural or legal persons, entities or bodies owning, holding or controlling such assets and reserves, including the name, address and VAT registration or tax identification number;

(b)

the amount or market value of such assets and reserves at the date of reporting and at the date of immobilisation;

(c)

types of the assets and reserves, broken down according to the categories set out in points (i) to (vii) of Article 1(g) of Council Regulation (EU) 269/2014 (*7) as well as crypto-assets and other relevant categories, and an additional category corresponding to economic resources within the meaning of Article 1(d) of Regulation (EU) 269/2014. For each of those categories and where available, relevant features, such as quantity, location, currency, maturity and contractual conditions between the reporting entity and the asset owner shall be indicated.

4b.   Where the reporting natural or legal person, entity or body has established an extraordinary and unforeseen loss or damage to the assets and reserves referred to in paragraph 4a, this information shall be reported immediately to the competent authority of the relevant Member State and transmitted simultaneously to the Commission.

4c.   Member States, as well as the natural and legal persons, entities and bodies covered by the reporting obligation set out in paragraph 4a, shall cooperate with the Commission in any verification of the information received pursuant to that paragraph. The Commission may request any additional information it requires to carry out such verification. When such a request is addressed to a natural or legal person, entity or body, the Commission shall simultaneously transmit it to the competent authority of the relevant Member State. Any additional information received directly by the Commission shall be made available to the competent authority of the relevant Member State.

4d.   Any information provided to or received by the Commission and the competent authorities of the Member States in accordance with this Article shall be used by the Commission and the competent authorities of the Member States only for the purposes for which it was provided or received.

4e.   Any processing of personal data shall be carried out in accordance with this Regulation and Regulations (EU) 2016/679 (*8) and (EU) 2018/1725 (*9) of the European Parliament and of the Council and only in so far as necessary for the application of this Regulation and to ensure effective cooperation between Member States as well as with the Commission in the application of this Regulation.

(*4)  Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176, 27.6.2013, p. 1)."

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

(*6)  Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1)."

(*7)  Council Regulation (EU) No 269/2014 of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine (OJ L 78, 17.3.2014, p. 6)."

(*8)  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1)."

(*9)  Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).’;"

(9)

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 31 December 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;’;

(10)

in Article 5aa, paragraph 3, the following point is added:

‘(h)

the provision of pilot services to vessels in innocent passage as defined by international law which are necessary for reasons of maritime safety;’;

(11)

in Article 5aa, paragraph 3a is replaced by the following:

‘3a.   By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, transactions which are strictly necessary for the divestment and withdrawal by 31 December 2023, by the entities referred to in paragraph 1 or their subsidiaries in the Union from a legal person, entity or body established in the Union.’

;

(12)

the following Articles are inserted:

‘Article 5o

1.   It shall be prohibited as of 27 March 2023 to allow Russian nationals or natural persons residing in Russia to hold any posts in the governing bodies of the owners or operators of critical infrastructures, European critical infrastructures and critical entities.

2.   Paragraph 1 shall not apply to nationals of a Member State, of a country member of the European Economic Area or of Switzerland.

Article 5p

1.   It shall be prohibited to provide storage capacity as defined in Article 2(1), point 28 of Regulation (EC) No 715/2009 of the European Parliament and of the Council (*10) in a storage facility as defined in Article 2, point 9 of Directive 2009/73/EC of the European Parliament and of the Council (*11), except for the part of liquefied natural gas facilities used for storage, to:

(a)

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

(b)

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

(c)

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

2.   Paragraph 1 shall not apply to the operations that are strictly necessary for the termination by 27 March 2023 of contracts which are not compliant with this Article concluded before 26 February 2023 or of ancillary contracts necessary for the execution of such contracts.

3.   By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, the provision of storage capacity as referred to in paragraph 1 after having determined that it is necessary for ensuring critical energy supply within the Union.

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

(*10)  Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 (OJ L 211, 14.8.2009, p. 36)."

(*11)  Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC (OJ L 211, 14.8.2009, p. 94).’;"

(13)

in Article 12b, the following paragraph is inserted:

‘2a.   By way of derogation from Article 5n, the competent authorities may authorise the continuation of the provision of services listed therein until 31 December 2023 where such provision of services 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)

such services are provided to and for the exclusive benefit of the legal persons, entities or bodies resulting from the divestment; and

(b)

the competent authorities deciding on requests for authorisations have no reasonable grounds to believe that the services might be provided, directly or indirectly, to the Government of Russia or a military end-user or have a military end-use in Russia.’

;

(14)

in Article 12b, paragraph 3 is replaced by the following:

‘3.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1, 2 or 2a within two weeks of the authorisation.’

;

(15)

the following Articles are inserted:

‘Article 12d

The prohibitions on providing technical assistance laid down in this Regulation shall not apply to the provision of pilot services to vessels in innocent passage as defined by international law which are necessary for reasons of maritime safety.

Article 12e

1.   For the purposes of the prohibitions on importing goods provided for in this Regulation, goods physically in the Union may be released as provided for in Article 5, point (26) of the Union Customs Code (*12) by the customs authorities provided that they have been presented to customs in accordance with Article 134 of the Union Customs Code before the entry into force or applicability date of the respective import prohibitions, whichever is latest.

2.   All procedural steps necessary for the release referred to in paragraphs 1 and 5 of the relevant goods pursuant to the Union Customs Code shall be allowed.

3.   The customs authorities shall not allow the release of the goods if they have reasonable grounds to suspect circumvention and shall not authorise the re-export of the goods to Russia.

4.   Payments in relation to such goods shall be consistent with the provisions and objectives of this Regulation, in particular the prohibition on purchasing, and Regulation (EU) No 269/2014.

5.   Goods physically in the Union and presented to customs prior to 26 February 2023 which were stopped in application of this Regulation may be released by the customs authorities under the conditions provided for in paragraphs 1, 2, 3 and 4.

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

(16)

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

(17)

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

(18)

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

(19)

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

(20)

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

Point 20 shall apply in respect of one or several of the entities referred to in Annex V to this Regulation as from 10 April 2023 and provided that the Council, having examined the respective cases, so decides by implementing act;

(21)

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

(22)

Annex XXIII is amended in accordance with Annex VII to this Regulation.

Article 2

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

Article 1, point (8), shall apply from 27 April 2023.

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

Done at Brussels, 25 February 2023.

For the Council

The President

J. ROSWALL


(1)  See page 593 of this Official Journal.

(2)  Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (OJ L 229 31.7.2014, p. 1).

(3)  Council Decision 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine (OJ L 229, 31.7.2014, p. 13).

(4)  Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection (OJ L 345, 23.12.2008, p. 75).

(5)  Directive (EU) 2022/2557 of the European Parliament and of the Council of 14 December 2022 on the resilience of critical entities and repealing Council Directive 2008/114/EC (OJ L 333, 27.12.2022, p. 164).


ANNEX I

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

‘ANNEX IV

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

1.

JSC Sirius

2.

OJSC Stankoinstrument

3.

OAO JSC Chemcomposite

4.

JSC Kalashnikov

5.

JSC Tula Arms Plant

6.

NPK Technologii Maschinostrojenija

7.

OAO Wysokototschnye Kompleksi

8.

OAO Almaz Antey

9.

OAO NPO Bazalt

10.

Admiralty Shipyard JSC

11.

Aleksandrov Scientific Research Technological Institute NITI

12.

Argut OOO

13.

Communication center of the Ministry of Defense

14.

Federal Research Center Boreskov Institute of Catalysis

15.

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

16.

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

17.

Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA)

18.

Foreign Intelligence Service (SVR)

19.

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

20.

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

21.

Irkut Corporation

22.

Irkut Research and Production Corporation Public Joint Stock Company

23.

Joint Stock Company Scientific Research Institute of Computing Machinery

24.

JSC Central Research Institute of Machine Building (JSC TsNIIMash)

25.

JSC Kazan Helicopter Plant Repair Service

26.

JSC Shipyard Zaliv (Zaliv Shipbuilding yard)

27.

JSC Rocket and Space Centre – Progress

28.

Kamensk-Uralsky Metallurgical Works J.S. Co.

29.

Kazan Helicopter Plant PJSC

30.

Komsomolsk-na-Amur Aviation Production Organization (KNAAPO)

31.

Ministry of Defence RF

32.

Moscow Institute of Physics and Technology

33.

NPO High Precision Systems JSC

34.

NPO Splav JSC

35.

OPK Oboronprom

36.

PJSC Beriev Aircraft Company

37.

PJSC Irkut Corporation

38.

PJSC Kazan Helicopters

39.

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

40.

Promtech-Dubna, JSC

41.

Public Joint Stock Company United Aircraft Corporation

42.

Radiotechnical and Information Systems (RTI) Concern

43.

Rapart Services LLC

44.

Rosoboronexport OJSC (ROE)

45.

Rostec (Russian Technologies State Corporation)

46.

Rostekh – Azimuth

47.

Russian Aircraft Corporation MiG

48.

Russian Helicopters JSC

49.

SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii)

50.

Sukhoi Aviation JSC

51.

Sukhoi Civil Aircraft

52.

Tactical Missiles Corporation JSC

53.

Tupolev JSC

54.

UEC-Saturn

55.

United Aircraft Corporation

56.

JSC AeroKompozit

57.

United Engine Corporation

58.

UEC-Aviadvigatel JSC

59.

United Instrument Manufacturing Corporation

60.

United Shipbuilding Corporation

61.

JSC PO Sevmash

62.

Krasnoye Sormovo Shipyard

63.

Severnaya Shipyard

64.

Shipyard Yantar

65.

UralVagonZavod

66.

Baikal Electronics

67.

Center for Technological Competencies in Radiophtonics

68.

Central Research and Development Institute Tsiklon

69.

Crocus Nano Electronics

70.

Dalzavod Ship-Repair Center

71.

Elara

72.

Electronic Computing and Information Systems

73.

ELPROM

74.

Engineering Center Ltd.

75.

Forss Technology Ltd.

76.

Integral SPB

77.

JSC Element

78.

JSC Pella-Mash

79.

JSC Shipyard Vympel

80.

Kranark LLC

81.

Lev Anatolyevich Yershov (Ershov)

82.

LLC Center

83.

MCST Lebedev

84.

Miass Machine-Building Factory

85.

Microelectronic Research and Development Center Novosibirsk

86.

MPI VOLNA

87.

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

88.

Nerpa Shipyard

89.

NM-Tekh

90.

Novorossiysk Shipyard JSC

91.

NPO Electronic Systems

92.

NPP Istok

93.

NTC Metrotek

94.

OAO GosNIIkhimanalit

95.

OAO Svetlovskoye Predpriyatiye Era

96.

OJSC TSRY

97.

OOO Elkomtekh (Elkomtex)

98.

OOO Planar

99.

OOO Sertal

100.

Photon Pro LLC

101.

PJSC Zvezda

102.

Amur Shipbuilding Factory PJSC

103.

AO Center of Shipbuilding and Ship Repairing JSC

104.

AO Kronshtadt

105.

Avant Space LLC

106.

Production Association Strela

107.

Radioavtomatika

108.

Research Center Module

109.

Robin Trade Limited

110.

R.Ye. Alekseyev Central Design Bureau for Hydrofoil Ships

111.

Rubin Sever Design Bureau

112.

Russian Space Systems

113.

Rybinsk Shipyard Engineering

114.

Scientific Research Institute of Applied Chemistry

115.

Scientific-Research Institute of Electronics

116.

Scientific Research Institute of Hypersonic Systems

117.

Scientific Research Institute NII Submikron

118.

Sergey IONOV

119.

Serniya Engineering

120.

Severnaya Verf Shipbuilding Factory

121.

Ship Maintenance Center Zvezdochka

122.

State Governmental Scientific Testing Area of Aircraft Systems (GkNIPAS)

123.

State Machine Building Design Bureau Raduga Bereznya

124.

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

125.

State Scientific Research Institute of Machine Building Bakhirev (GosNIImash)

126.

Tomsk Microwave and Photonic Integrated Circuits and Modules Collective Design Center

127.

UAB Pella-Fjord

128.

United Shipbuilding Corporation JSC “35th Shipyard”

129.

United Shipbuilding Corporation JSC “Astrakhan Shipyard”

130.

United Shipbuilding Corporation JSC “Aysberg Central Design Bureau”

131.

United Shipbuilding Corporation JSC “Baltic Shipbuilding Factory”

132.

United Shipbuilding Corporation JSC “Krasnoye Sormovo Plant OJSC”

133.

United Shipbuilding Corporation JSC SC “Zvyozdochka”

134.

United Shipbuilding Corporation “Pribaltic Shipbuilding Factory Yantar”

135.

United Shipbuilding Corporation “Scientific Research Design Technological Bureau Onega”

136.

United Shipbuilding Corporation “Sredne-Nevsky Shipyard”

137.

Ural Scientific Research Institute for Composite Materials

138.

Urals Project Design Bureau Detal

139.

Vega Pilot Plant

140.

Vertikal LLC

141.

Vladislav Vladimirovich Fedorenko

142.

VTK Ltd

143.

Yaroslavl Shipbuilding Factory

144.

ZAO Elmiks-VS

145.

ZAO Sparta

146.

ZAO Svyaz Inzhiniring

147.

46th TSNII Central Scientific Research Institute

148.

Alagir Resistor Factory

149.

All-Russian Research Institute of Optical and Physical Measurements

150.

All-Russian Scientific-Research Institute Etalon JSC

151.

Almaz JSC

152.

Arzam Scientific Production Enterprise Temp Avia

153.

Automated Procurement System for State Defense Orders, LLC

154.

Dolgoprudniy Design Bureau of Automatics (DDBA JSC)

155.

Electronic Computing Technology Scientific-Research Center JSC

156.

Electrosignal JSC

157.

Energiya JSC

158.

Engineering Center Moselectronproekt

159.

Etalon Scientific and Production Association

160.

Evgeny Krayushin

161.

Foreign Trade Association Mashpriborintorg

162.

Ineko LLC

163.

Informakustika JSC

164.

Institute of High Energy Physics

165.

Institute of Theoretical and Experimental Physics

166.

Inteltech PJSC

167.

ISE SO RAN Institute of High-Current Electronics

168.

Kaluga Scientific-Research Institute of Telemechanical Devices JSC

169.

Kulon Scientific-Research Institute JSC

170.

Lutch Design Office JSC

171.

Meteor Plant JSC

172.

Moscow Communications Research Institute JSC

173.

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

174.

NPO Elektromechaniki JSC

175.

Omsk Production Union Irtysh JSC

176.

Omsk Scientific-Research Institute of Instrument Engineering JSC

177.

Optron, JSC

178.

Pella Shipyard OJSC

179.

Polyot Chelyabinsk Radio Plant JSC

180.

Pskov Distance Communications Equipment Plant

181.

Radiozavod JSC

182.

Razryad JSC

183.

Research Production Association Mars

184.

Ryazan Radio-Plant

185.

Scientific Production Center Vigstar JSC

186.

Scientific Production Enterprise “Radiosviaz”

187.

Scientific Research Institute Ferrite-Domen

188.

Scientific Research Institute of Communication Management Systems

189.

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

190.

Scientific-Production Enterprise “Kant”

191.

Scientific-Production Enterprise “Svyaz”

192.

Scientific-Production Enterprise Almaz JSC

193.

Scientific-Production Enterprise Salyut JSC

194.

Scientific-Production Enterprise Volna

195.

Scientific-Production Enterprise Vostok JSC

196.

Scientific-Research Institute “Argon”

197.

Scientific-Research Institute and Factory Platan

198.

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

199.

Special Design and Technical Bureau for Relay Technology

200.

Special Design Bureau Salute JSC

201.

Tactical Missile Company, Joint Stock Company “Salute”

202.

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

203.

Tactical Missile Company, Joint Stock Company “URALELEMENT”

204.

Tactical Missile Company, Joint Stock Company “Plant Dagdiesel”

205.

Tactical Missile Company, Joint Stock Company “Scientific Research Institute of Marine Heat Engineering”

206.

Tactical Missile Company, Joint Stock Company PA Strela

207.

Tactical Missile Company, Joint Stock Company Plant Kulakov

208.

Tactical Missile Company, Joint Stock Company Ravenstvo

209.

Tactical Missile Company, Joint Stock Company Ravenstvo-service

210.

Tactical Missile Company, Joint Stock Company Saratov Radio Instrument Plant

211.

Tactical Missile Company, Joint Stock Company Severny Press

212.

Tactical Missile Company, Joint-Stock Company “Research Center for Automated Design”

213.

Tactical Missile Company, KB Mashinostroeniya

214.

Tactical Missile Company, NPO Electromechanics

215.

Tactical Missile Company, NPO Lightning

216.

Tactical Missile Company, Petrovsky Electromechanical Plant “Molot”

217.

Tactical Missile Company, PJSC ”MBDB ‘ISKRA’”

218.

Tactical Missile Company, PJSC ANPP Temp Avia

219.

Tactical Missile Company, Raduga Design Bureau

220.

Tactical Missile Corporation, “Central Design Bureau of Automation”

221.

Tactical Missile Corporation, 711 Aircraft Repair Plant

222.

Tactical Missile Corporation, AO GNPP “Region”

223.

Tactical Missile Corporation, AO TMKB “Soyuz”

224.

Tactical Missile Corporation, Azov Optical and Mechanical Plant

225.

Tactical Missile Corporation, Concern “MPO – Gidropribor”

226.

Tactical Missile Corporation, Joint Stock Company “KRASNY GIDROPRESS”

227.

Tactical Missile Corporation, Joint Stock Company Avangard

228.

Tactical Missile Corporation, Joint Stock Company Concern Granit-Electron

229.

Tactical Missile Corporation, Joint Stock Company Elektrotyaga

230.

Tactical Missile Corporation, Joint Stock Company GosNIIMash

231.

Tactical Missile Corporation, RKB Globus

232.

Tactical Missile Corporation, Smolensk Aviation Plant

233.

Tactical Missile Corporation, TRV Engineering

234.

Tactical Missile Corporation, Ural Design Bureau “Detal”

235.

Tactical Missile Corporation, Zvezda-Strela Limited Liability Company

236.

Tambov Plant (TZ) “October”

237.

United Shipbuilding Corporation “Production Association Northern Machine Building Enterprise”

238.

United Shipbuilding Corporation “5th Shipyard”

239.

Federal Center for Dual-Use Technology (FTsDT) Soyuz

240.

Turayev Machine Building Design Bureau Soyuz

241.

Zhukovskiy Central Aerohydrodynamics Institute (TsAGI)

242.

Rosatomflot

243.

Lyulki Experimental-Design Bureau

244.

Lyulki Science and Technology Center

245.

AO Aviaagregat

246.

Central Aerohydrodynamic Institute (TsAGI)

247.

Closed Joint Stock Company Turborus (Turborus)

248.

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

249.

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

250.

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

251.

Joint Stock Company 123 Aviation Repair Plant (123 ARZ)

252.

Joint Stock Company 218 Aviation Repair Plant (218 ARZ)

253.

Joint Stock Company 360 Aviation Repair Plant (360 ARZ)

254.

Joint Stock Company 514 Aviation Repair Plant (514 ARZ)

255.

Joint Stock Company 766 UPTK

256.

Joint Stock Company Aramil Aviation Repair Plant (AARZ)

257.

Joint Stock Company Aviaremont (Aviaremont)

258.

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

259.

Joint Stock Company Metallist Samara (Metallist Samara)

260.

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

261.

JSC NII Steel

262.

Joint Stock Company Remdizel

263.

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

264.

Joint Stock Company STAR

265.

Joint Stock Company Votkinsk Machine Building Plant

266.

Joint Stock Company Yaroslav Radio Factory

267.

Joint Stock Company Zlatoustovsky Machine Building Plant (JSC Zlatmash)

268.

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

269.

Lytkarino Machine-Building Plant

270.

Moscow Aviation Institute

271.

Moscow Institute of Thermal Technology

272.

Omsk Motor-Manufacturing Design Bureau

273.

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

274.

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

275.

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

276.

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

277.

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

278.

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

279.

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

280.

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

281.

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

282.

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

283.

Public Joint Stock Company Agregat (PJSC Agregat)

284.

Salute Gas Turbine Research and Production Center

285.

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

286.

Scientific Research Institute of Applied Acoustics (NIIPA)

287.

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

288.

Software Research Institute

289.

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

290.

Tula Arms Plant

291.

Russian Institute of Radio Navigation and Time

292.

Federal Technical Regulation and Metrology Agency (Rosstandart)

293.

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

294.

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

295.

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

296.

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

297.

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

298.

UEC-Perm Engines, JSC

299.

Ural Works of Civil Aviation, JSC

300.

Central Design Bureau for Marine Engineering “Rubin”, JSC

301.

“Aeropribor-Voskhod”, JSC

302.

Aerospace Equipment Corporation, JSC

303.

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

304.

Aerospace Systems Design Bureau, JSC

305.

Afanasyev Technomac, JSC

306.

Ak Bars Shipbuilding Corporation, CJSC

307.

AGAT, Gavrilov-Yaminskiy Machine-Building Plant, JSC

308.

Almaz Central Marine Design Bureau, JSC

309.

Joint Stock Company Eleron

310.

AO Rubin

311.

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

312.

Branch of PAO II – Aviastar

313.

Branch of RSK MiG Nizhny Novgorod Aircraft-Construction Plant Sokol

314.

Chkalov Novosibirsk Aviation Plant

315.

Joint Stock Company All-Russian Scientific-Research Institute Gradient

316.

Joint Stock Company Almatyevsk Radiopribor Plant (JSC AZRP)

317.

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

318.

Joint Stock Company Industrial Controls Design Bureau

319.

Joint Stock Company Kazan Instrument-Engineering and Design Bureau

320.

Joint Stok Company Microtechnology

321.

Phasotron Scientific-Research Institute of Radio-Engineering

322.

Joint Stock Company Radiopribor

323.

Joint Stock Company Ramensk Instrument-Engineering Bureau

324.

Joint Stock Company Research and Production Center SAPSAN

325.

Joint Stock Company Rychag

326.

Joint Stock Company Scientific Production Enterprise Izmeritel

327.

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

328.

Joint Stock Company Taganrog Communications Scientific-Research Institute

329.

Joint Stock Company Urals Instrument-Engineering Plant

330.

Joint Stock Company Vzlet Engineering Testing Support

331.

Joint Stock Company Zhiguli Radio Plant

332.

Joint Stock Company Bryansk Electromechanical Plant

333.

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

334.

Public Joint Stock Company Stavropol Radio Plant Signal

335.

Public Joint Stock Company Techpribor

336.

Joint Stock Company Ramensky Instrument-Engineering Plant

337.

V.V. Tarasov Avia Avtomatika

338.

Design Bureau of Chemical Machine Building KBKhM

339.

Far Eastern Shipbuilding and Ship Repair Center

340.

Ilyushin Aviation Complex Branch: Myasishcheva Experimental Mechanical Engineering Plant

341.

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

342.

Irkutsk Aviation Plant

343.

Joint Stock Company Aerocomposit Ulyanovsk Plant

344.

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

345.

Joint Stock Company Federal Research and Production Center Altai

346.

Joint Stock Company “Head Special Design Bureau Prozhektor

347.

Joint Stock Company Ilyushin Aviation Complex

348.

Joint Stock Company Lazurit Central Design Bureau

349.

Joint Stock Company Research and Development Enterprise Protek

350.

Joint Stock Company SPMDB Malachite

351.

Joint Stock Company Votkinsky Zavod

352.

Kalyazinsky Machine Building Factory – Branch of RSK MiG

353.

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

354.

NPP Start

355.

OAO Radiofizika

356.

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

357.

Public Joint Stock Company Bryansk Special Design Bureau

358.

Public Joint Stock Company Voronezh Joint Stock Aircraft Company

359.

Radio Technical Institute named after A. L. Mints

360.

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

361.

Shvabe JSC

362.

Special Technological Center LLC

363.

St. Petersburg Marine Bureau of Machine Building Malakhit

364.

St. Petersburg Naval Design Bureau Almaz

365.

St. Petersburg Shipbuilding Institution Krylov 45

366.

Strategic Control Posts Corporation

367.

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

368.

Vladimir Design Bureau for Radio Communications OJSC

369.

Voentelecom JSC

370.

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

371.

Ak Bars Holding

372.

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

373.

Systems of Biological Synthesis LLC

374.

Borisfen, JSC

375.

Barnaul cartridge plant, JSC

376.

Concern Avrora Scientific and Production Association, JSC

377.

Bryansk Automobile Plant, JSC

378.

Burevestnik Central Research Institute, JSC

379.

Research Institute of Space Instrumentation, JSC

380.

Arsenal Machine-building plant, OJSC

381.

Central Design Bureau of Automatics, JSC

382.

Zelenodolsk Design Bureau, JSC

383.

Zavod Elecon, JSC

384.

VMP “Avitec”, JSC

385.

JSC V. Tikhomirov Scientific Research Institute of Instrument Design

386.

Tulatochmash, JSC

387.

PJSC “I.S. Brook” INEUM

388.

SPE “Krasnoznamenets”, JSC

389.

SPA Pribor named after S.S. Golembiovsky, SC

390.

SPA “Impuls”, JSC

391.

RusBITech

392.

ROTOR 43

393.

Rostov optical and mechanical plant, PJSC

394.

RATEP, JSC

395.

PLAZ

396.

OKB “Technika”

397.

Ocean Chips

398.

Nudelman Precision Engineering Design Bureau

399.

Angstrem JSC

400.

NPCAP

401.

Novosibirsk Plant of Artificial Fibre

402.

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

403.

Novator DB

404.

NIMI named after V.V. BAHIREV, JSC

405.

NII Stali JSC

406.

Nevskoe Design Bureau, JSC

407.

Neva Electronica JSC

408.

ENICS

409.

The JSC Makeyev Design Bureau

410.

KURGANPRIBOR, JSC

411.

Ural Optical-Mechanical Plant E.S. Yalamova, JSC

412.

Ramenskoye Engineering Design Office, JSC

413.

Vologda Optical and Mechanical Plant, JSC

414.

Videoglaz Project

415.

Innovative Underwater Technologies, LLC

416.

Ulyanovsk Mechanical Plant

417.

All-Russian Research Institute of Radio Engineering

418.

PJSC “Scientific and Production Association ‘Almaz’ named after Academician A.A. Raspletin”

419.

Concern OJSC – KIZLYAR ELECTRO-MECHANICAL PLANT

420.

Concern Oceanpribor, JSC

421.

JSC Zelenogradsky Nanotechnology Center

422.

JSC Elektronstandart Pribor

423.

JSC “Urals Optical-Mechanical Plant named after Mr E.S Yalamov”

424.

Ramenskoye Instrument-Making Design Bureau, JSC

425.

Special Technology Centre Limited Liability Company

426.

Vest Ost Limited Liability

427.

Trade-Component LLC

428.

Radiant Electronic Components JSC

429.

JSC ICC Milandr

430.

SMT iLogic LLC

431.

Device Consulting

432.

Concern Radio-Electronic Technologies

433.

Technodinamika, JSC

434.

OOO “UNITEK”

435.

Closed Joint Stock Company TPK LINKOS

436.

Closed Joint Stock Company TPK LINKOS, SUBDIVISION IN ASTRAKHAN

437.

Design and Manufacturing of Aircraft Engines (DAMA)

438.

Islamic Revolutionary Guard Corps Aerospace Force

439.

Islamic Revolutionary Guard Corps Research and Self-Sufficiency Jihad Organization (IRGC SSJO)

440.

Oje Parvaz Mado Nafar Company (Mado)

441.

Paravar Pars Company

442.

Qods Aviation Industries

443.

Shahed Aviation Industries

444.

Concern Morinformsystem–Agat

445.

AO Papilon

446.

IT-Papillon OOO

447.

OOO Adis

448.

Papilon Systems Limited Liability Company

449.

Advanced Research Foundation

450.

Federal Service for Military-Technical Cooperation

451.

Federal State Budgetary Scientific Institution Research and Production Complex Technology Center

452.

Federal State Institution Federal Scientific Center Scientific Research Institute for System Analysis of the Russian Academy of Sciences

453.

Joint Stock Company All-Russian Research Institute Signal

454.

Joint Stock Company Center of Research and Technology Services Dinamika

455.

Joint Stock Company Concern Avtomatika

456.

Joint Stock Company Corporation Moscow Institute of Heat Technology

457.

Joint Stock Company Design Center Soyuz

458.

Joint Stock Company Design Technology Center Elektronika

459.

Joint Stock Company Institute for Scientific Research Microelectronic Equipment Progress

460.

Joint Stock Company Machine-Building Engineering Office Fakel Named After Akademika P.D. Grushina

461.

Joint Stock Company Moscow Institute of Electromechanics and Automatics

462.

Joint Stock Company North Western Regional Center of Almaz Antey Concern Obukhovsky Plant

463.

Joint Stock Company Obninsk Research and Production Enterprise Technologiya Named After A.G. Romashin

464.

Joint Stock Company Penza Electrotechnical Research Institute

465.

Joint Stock Company Production Association Sever

466.

Joint Stock Company Research Center ELINS

467.

Joint Stock Company Research and Production Association of Measuring Equipment

468.

Joint Stock Company Research and Production Enterprise Radar MMS

469.

Joint Stock Company Research and Production Enterprise Sapfir

470.

Joint Stock Company RT-Tekhpriemka

471.

Joint Stock Company Russian Research Institute Electronstandart

472.

Joint Stock Company Ryazan Plant of Metal Ceramic Instruments

473.

Joint Stock Company Scientific Production Enterprise Digital Solutions

474.

Joint Stock Company Scientific Production Enterprise Kontakt

475.

Joint Stock Company Scientific Production Enterprise Topaz

476.

Joint Stock Company Scientific Research Institute Giricond

477.

Joint Stock Company Scientific Research Institute of Computer Engineering NII SVT

478.

Joint Stock Company Scientific Research Institute of Electrical Carbon Products

479.

Joint Stock Company Scientific Research Institute of Electronic and Mechanical Devices

480.

Joint Stock Company Scientific Research Institute of Electronic Engineering Materials

481.

Joint Stock Company Scientific Research Institute of Gas Discharge Devices Plasma

482.

Joint Stock Company Scientific Research Institute of Industrial Television Rastr

483.

Joint Stock Company Scientific Research Institute of Precision Mechanical Engineering

484.

Joint Stock Company Special Design Bureau of Computer Engineering

485.

Joint Stock Company Special Design Bureau of Control Means

486.

Joint Stock Company Special Design Bureau Turbina

487.

Joint Stock Company State Scientific Research Institute Kristall

488.

Joint Stock Company Svetlana Semiconductors

489.

Joint Stock Company Tekhnodinamika

490.

Joint Stock Company Voronezh Semiconductor Devices Factory Assembly

491.

KAMAZ Publicly Traded Company

492.

Keldysh Institute of Applied Mathematics of the Russian Academy of Sciences

493.

Limited Liability Company Research and Production Association Radiovolna

494.

Limited Liability Company RSBGroup

495.

Mitishinskiy Scientific Research Institute of Radio Measuring Instruments

496.

Open Joint Stock Company Khabarovsk Radio Engineering Plant

497.

Open Joint Stock Company Mariyskiy Machine-Building Plant

498.

Open Joint Stock Company Scientific and Production Enterprise Pulsar

499.

Public Joint Stock Company Megafon

500.

Public Joint Stock Company Tutaev Motor Plant

501.

Public Joint Stock Company Vympel Interstate Corporation

502.

RT-Inform Limited Liability Company

503.

Skolkovo Foundation

504.

Skolkovo Institute of Science and Technology

505.

State Flight Testing Center Named After V.P. Chkalov

506.

Joint Stock Company Research and Production Association Named After S.A. Lavochkina’.


ANNEX II

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

‘ANNEX VII

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

Part A

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

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

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

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 1 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 (4); 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 (5) 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 (6) 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 (7) 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 (8).

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 1 , 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) (9) .

c.

The “technology” for the “digital computers” and related equipment is determined by 4E 1 .

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 (10) specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101 1 .

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 (11), 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 (12).

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 (13).

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. (14);

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: