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Official Journal
of the European Union

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L series


2024/1865

30.6.2024

COUNCIL REGULATION (EU) 2024/1865

of 29 June 2024

amending Regulation (EC) No 765/2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against 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) 2024/1864 of 29 June 2024 amending Decision 2012/642/CFSP concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against 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 18 May 2006, the Council adopted Regulation (EC) No 765/2006 (2).

(2)

Regulation (EC) No 765/2006 gives effect to the measures provided for in Council Decision 2012/642/CFSP (3).

(3)

On 29 June 2024, the Council adopted Decision (CFSP) 2024/1864.

(4)

Decision (CFSP) 2024/1864 further extends the export ban on dual-use and advanced goods and technologies and introduces further export restrictions on goods which could contribute in particular to the enhancement of Belarusian industrial capacities.

(5)

Furthermore, in order to minimise the risk of circumvention of restrictive measures, Decision (CFSP) 2024/1864 prohibits the transit via the territory of Belarus of dual-use goods and technology, goods and technology which might contribute to Belarus’s military and technological enhancement or to the development of its defence and security sector, goods which could contribute in particular to the enhancement of Belarusian industrial capacities, goods and technology suited for use in aviation or the space industry, and arms exported from the Union.

(6)

Decision (CFSP) 2024/1864 imposes further restrictions on exports to Belarus, in particular concerning maritime navigation goods and technology and luxury goods.

(7)

Decision (CFSP) 2024/1864 also imposes a prohibition on the direct or indirect import, purchase or transfer of diamonds from Belarus, which applies to diamonds originating in Belarus, diamonds exported from Belarus and diamonds transiting Belarus. That prohibition applies to non-industrial natural and synthetic diamonds as well as to diamond jewellery.

(8)

Moreover, Decision (CFSP) 2024/1864 enlarges the import ban on mineral products to include crude oil and introduces a new export ban on goods and technology suitable for use in oil refining and liquefaction of natural gas.

(9)

This Regulation should clarify that the prohibitions relating to oil are without prejudice for the time being to the transit through Belarus of crude oil which is delivered by pipeline from Russia into Member States.

(10)

Furthermore, Decision (CFSP) 2024/1864 prohibits the provision of certain services to the Republic of Belarus, its Government, its public bodies, corporations or agencies or to any natural or legal person, entity or body acting on their behalf or at their direction by prohibiting the provision of accounting services, auditing services, including statutory audit, bookkeeping services, tax consulting services, business and management consulting, and public relations services.

(11)

Pursuant to Annex II to Regulation (EC) No 184/2005 of the European Parliament and of the Council (4), accounting, auditing, bookkeeping and tax consultancy services cover the recording of commercial transactions for businesses and others, examination services regarding accounting records and financial statements, business tax planning and consulting, and the preparation of tax documents. Business and management consulting and public relations services cover advisory, guidance and operational assistance services provided to businesses for business policy and strategy and the overall planning, structuring and control of an organisation. Management fees, management auditing, market management, human resources, production management and project management consulting, and advisory, guidance and operational services related to improving the image of clients and their relations with the general public and other institutions are also included.

(12)

Furthermore, Decision (CFSP) 2024/1864 prohibits the provision of architectural and engineering services as well as of IT consultancy services and legal advisory services to Belarus. In line with the Central Products Classification set out by the Statistical Office of the United Nations in Statistical Papers, Series M, No 77, CPC prov., 1991, ‘architectural and engineering services’ covers both architectural and engineering services as well as integrated engineering services, urban planning and landscape architectural services and engineering-related scientific and technical consulting services. The provision of technical assistance related to goods exported to Belarus continues to be allowed, provided that the sale, supply, transfer or export of such goods is not prohibited under this Regulation at the time at which such technical assistance is provided. Also in line with that Central Products Classification, ‘IT consultancy services’ covers consultancy services related to the installation of computer hardware, including assistance services to clients in the installation of computer hardware, consisting of physical equipment, and computer networks, and software implementation services, including all services involving consultancy services on the development of and implementation of software. In line with that same classification, ‘legal advisory services’ covers the provision of legal advice to customers in non-contentious matters, including commercial transactions, involving the application or interpretation of law, participation with or on behalf of clients in commercial transactions, negotiations and other dealings with third parties, and the preparation, execution and verification of legal documents. However, ‘legal advisory services’ does not include any representation, advice, preparation of documents or verification of documents in the context of legal representation services, namely in matters or proceedings before administrative agencies, courts or other duly constituted official tribunals, or in arbitral or mediation proceedings.

(13)

Decision (CFSP) 2024/1864 also prohibits the provision of certain services to the Republic of Belarus, its Government, its public bodies, corporations or agencies or to any natural or legal person, entity or body acting on their behalf or at their direction by banning the provision of advertising, market research and public opinion polling services, as well as product testing and technical inspection services. In line with the Central Products Classification set out by the Statistical Office of the United Nations in Statistical Papers, Series M, No 77, CPC prov., 1991, ‘Market research and public opinion polling services’ covers market research services and public opinion polling services. Also in line with that Central Products Classification, ‘technical testing and analysis services’ covers composition and purity testing and analysis services, testing and analysis services of physical properties, testing and analysis services of integrated mechanical and electrical systems, technical inspection services, as well as other technical testing and analysis services. The provision of technical assistance related to goods exported to Belarus continues to be allowed, provided that the sale, supply, transfer or export of such goods is not prohibited under this Regulation at the time at which such technical assistance is provided. In line with that same classification, ‘advertising services’ covers sale or leasing services relating to advertising space or time, services relating to the planning, creating and placement of advertising, and other advertising services.

(14)

Decision (CFSP) 2024/1864 also introduces derogations required for the setting-up, certification or evaluation of a firewall removing the control exercised by a listed person over the assets of a non-listed Union entity which the listed person owns or controls, and ensuring that no benefit accrues to the latter, thus allowing that entity to continue its business operations.

(15)

In order to ensure alignment with the interpretation of the Court of Justice of the European Union in Case C-72/11, Decision (CFSP) 2024/1864 amends the provision prohibiting circumvention to clarify that the requirements of knowledge and intent are met not only where a person deliberately seeks the object or effect of circumventing restrictive measures but also where a person participating in an activity having the object or effect of circumventing restrictive measures is aware that such participation may have that object or that effect, and accepts that possibility.

(16)

With a view to increasing awareness of enforcement action, it is appropriate that Member States report about penalties imposed for violations of the restrictive measures.

(17)

In line with the Union’s common foreign and security policy objectives of preserving peace, reinforcing international security and promoting international cooperation, democracy and the rule of law, and more specifically the objectives pursued by Decision 2012/642/CFSP, it is appropriate to ensure that the documents held by the Council, the Commission and the High Representative of the Union for Foreign Affairs and Security Policy (‘the High Representative’) concerning the enforcement of the restrictive measures set out in Regulation (EC) No 765/2006, or concerning the prevention of the violation or circumvention of those measures, are subject to professional secrecy and enjoy the protection afforded by the rules applicable to the Union institutions, since information contained in those documents could be used to obstruct the enforcement of those measures or to compromise their effectiveness, given that the persons and entities concerned could act in such a way as to prevent their enforcement. That protection should also be ensured for joint proposals from the High Representative and the Commission for the amendment of Regulation (EC) No 765/2006 and any related preparatory documents, as their disclosure might affect the effectiveness of the measures set out in Regulation (EC) No 765/2006 and the preparation of, and negotiation on the basis of, future proposals. Certain measures which are included in such proposals, and which cannot be adopted by the Council for various reasons, are often included by the High Representative and the Commission in subsequent proposals. It is important to protect that power of initiative from any influence exerted by public or private interests that attempt, outside of organised consultations, to compel the Union institutions and Union services to propose, adopt, amend or agree on an amendment. Their disclosure could render the possible new measures ineffective due to the fact that their intended adoption would have already been revealed. Thus, it should be presumed that disclosure of those documents would harm the security of the Union or that of one or more of its Member States or the conduct of their international relations.

(18)

Furthermore, Decision (CFSP) 2024/1864 introduces an import ban on goods which allow Belarus to diversify its sources of revenue, thereby enabling its involvement in the Russian aggression against Ukraine. That prohibition includes coal and other products.

(19)

In addition, Decision (CFSP) 2024/1864 permits Member States to allow the entry into the Union of personal effects which do not pose significant circumvention concerns, such as personal hygiene items, or clothing worn by travellers or contained in their luggage, and which are clearly intended for their or their family members’ strict personal use. It also provides for exceptions allowing cars to enter the Union under specific circumstances. The situation of cars from Belarus which are already in the territory of the Union may be regularised by Member States.

(20)

Decision (CFSP) 2024/1864 imposes a prohibition on the direct or indirect import, purchase or transfer of gold. That prohibition applies to gold of Belarusian origin, exported from Belarus after the entry into force of this Regulation.

(21)

Decision (CFSP) 2024/1864 imposes further restrictive measures in various sectors, particularly in the energy and aviation sectors.

(22)

In order to ensure the correct implementation of the measures set out in Regulation (EC) No 765/2006, it is appropriate to extend the exemption from the prohibition on the transport of goods by road transport undertakings established in Belarus to all diplomatic and consular representations in Belarus. Decision (CFSP) 2024/1864 also extends the prohibition on the transport of goods by road in the Union by trailers and semi-trailers registered in Belarus, including when hauled by trucks registered outside of Belarus. In order to minimise the risk of circumvention, Decision (CFSP) 2024/1864 amends the prohibition in Decision 2012/642/CFSP on the transport of goods by road within the territory of the Union, including in transit. Union operators which are owned for 25 % or more by a Belarusian natural or legal person should be prohibited from becoming a road transport undertaking or from transporting goods by road in the Union, including in transit. The prohibition does not apply to road transport undertakings owned by dual nationals or Belarusian nationals having a temporary or permanent residence permit in a Member State. Road transport undertakings should disclose their ownership structure to the national competent authorities, upon their request.

(23)

Decision (CFSP) 2024/1864 introduces a further criterion for the listing of natural or legal persons, entities or bodies subject to asset freeze and the prohibition to make funds and economic resources available to designated persons and entities.

(24)

Member States and the Commission should inform each other of the measures taken pursuant to this Regulation and of any other relevant information at their disposal in connection with this Regulation.

(25)

In order to facilitate divestment from the Belarusian market by Union operators, Decision (CFSP) 2024/1864 introduces temporary derogations from the prohibitions on the import and export of goods and on certain services set out in Regulation (EC) No 765/2006. To facilitate an expeditious exit from the Belarusian market, those derogations are temporary and limited in scope. The divestment derogation from those import and export prohibitions should enable the sale, supply or transfer of certain goods, or their import into the Union, until 2 January 2025 and should apply only to those goods that were already physically located in Belarus at the time when the relevant prohibitions entered into force. The divestment derogation on providing certain services should enable until 2 January 2025 the continuation of the provision of services to and for the exclusive benefit of the legal persons, entities or bodies resulting from divestment. Additionally, national competent authorities should ensure that prohibited goods remaining in Belarus as a result of divestment do not benefit military end-users or have a military-end use and that services are not provided to the Government of Belarus or for the benefit of military end-users and do not have a military-end use.

(26)

In order to ensure legal certainty concerning the treatment of imports, Decision (CFSP) 2024/1864 provides for rules on the release by the customs authorities of the Member States of goods which are physically located in the Union and which had already been presented to such customs authorities when they became subject to restrictive measures. The possibility of release of goods applies regardless of the procedures under which the goods were placed after presentation to customs authorities by way of, inter alia, transit, inward processing, or release for free circulation, or of the procedural steps and formalities pursuant to the Union Customs Code necessary for such release. Decision (CFSP) 2024/1864 also authorises Member States to release goods already brought into the Union. That authorisation is necessary for the benefit of the Union operators that brought those goods into the Union in good faith at a time when they were not yet subject to any import-related restrictive measures, including when their import was still allowed during a winding down period. The competent authorities of the Member States should ensure that the release of those goods and any payment related to them comply with the provisions and objectives of the Union’s restrictive measures. Similarly, any decision not to release such goods should comply with the objectives of those measures and ensure, inter alia, that those goods are not returned to Belarus.

(27)

Decision (CFSP) 2024/1864 also requires that exporters contractually prohibit the re-exportation to Belarus or re-exportation for use in Belarus of sensitive goods and technology as listed in Annexes XVI, XVII, XXVIII and XXX to Regulation (EC) No 765/2006, common high priority items, or firearms and ammunition as listed in Annex I to Regulation (EU) No 258/2012 of the European Parliament and of the Council (5) (‘no-Belarus clause’).

(28)

The Commission will assess the impact that the entry into force of the obligation to use a ‘no-Belarus clause’ has on deterring circumvention. It will also assess very closely trade data, export statistics and other information concerning circumvention patterns regarding those goods, including the role that subsidiaries of Union operators in third countries may play in such patterns. On that basis, the Commission will assess whether the ‘no-Belarus clause’ is fit for purpose and consider any other appropriate actions to curb Belarus’s access to sensitive goods which could be further exported to Russia, thereby enabling the latter to pursue the war in Ukraine, including the possibility of requiring Union operators to ensure that their subsidiaries in third countries also use the ‘no-Belarus clause’.

(29)

To help combat the re-exportation of common high priority items, as listed in Annex XXX to Regulation (EC) No 765/2006, found on the battlefield in Ukraine or critical to the development, production or use of Russian military systems, Decision (CFSP) 2024/1864 requires Union operators that are selling, supplying, transferring or exporting common high priority items to third countries, other than the countries listed in Annex Vba to Regulation (EC) No 765/2006, to implement due diligence mechanisms capable of identifying and assessing risks of exportation to Belarus and mitigating such risks. Moreover, Decision (CFSP) 2024/1864 requires Union operators to ensure that legal persons, entities and bodies established outside the Union that they own or control also implement those requirements.

(30)

Where Regulation (EC) No 765/2006 requires Union operators to ensure that legal persons, entities and bodies established outside the Union that they own or control conduct certain actions to prevent the exportation or re-exportation of goods or technology to Belarus, such requirements should be pursued to the extent that is permitted by the legislation of the third country where the legal person, entity or body in question is established.

(31)

In order to ensure the correct implementation of the measures set out in Regulation (EC) No 765/2006, it is necessary to amend the list of machinery set out in Annex XIV to that Regulation.

(32)

It is appropriate to introduce a provision to enable Member State nationals and companies to obtain compensation from Belarusian individuals and entities that caused damages to them. That includes damage caused to the companies they own or control, in connection with a contract or a transaction the performance of which was affected by the measures imposed under Regulation (EC) No 765/2006, provided that the Member State national or company concerned does not have effective access to remedies, for example under the relevant bilateral investment treaty. Compensation may be claimed before Member State courts in accordance with the relevant provisions of Union and Member State law regarding jurisdiction and court procedures in civil and commercial matters, including those concerning possible interim relief procedures.

(33)

It is appropriate to require that Union operators undertake their best efforts to ensure that legal persons, entities and bodies established outside the Union that they own or control do not participate in activities that undermine the restrictive measures provided for in Regulation (EC) No 765/2006. Such activities are those resulting in an effect that those restrictive measures seek to prevent, for example, that a recipient in Belarus obtains goods, technology, financing or services of a type that is subject to prohibitions under Regulation (EC) No 765/2006.

(34)

Best efforts should be understood as comprising all actions that are suitable and necessary to achieve the result of preventing the undermining of the restrictive measures in Regulation (EC) No 765/2006. Those actions can include, for example, the implementation of appropriate policies, controls and procedures to mitigate and manage risk effectively, considering factors such as the third country of establishment, the business sector and the type of activity of the legal person, entity or body that is owned or controlled by the Union operator. At the same time, best efforts should be understood as comprising only actions that are feasible for the Union operator in view of its nature, its size and the relevant factual circumstances, in particular the degree of effective control over the legal person, entity or body established outside the Union. Such circumstances include the situation where the Union operator, due to reasons that it did not cause itself, such as the legislation of a third country, is not able to exercise control over a legal person, entity or body that it owns.

(35)

Where a natural or legal person voluntarily, completely and in due time discloses a violation of the restrictive measures, it should be possible for national competent authorities to take that self-disclosure into account when applying penalties, as appropriate, in accordance with national administrative law or with other relevant national law or rules. The measures taken by Member States pursuant to Directive (EU) 2024/1226 of the European Parliament and of the Council (6) and the requirements contained therein regarding mitigating circumstances apply.

(36)

Regulation (EC) No 765/2006 should therefore be amended accordingly,

HAS ADOPTED THIS REGULATION:

Article 1

Regulation (EC) No 765/2006 is amended as follows:

(1)

Article 1 is amended as follows:

(a)

point (25) is replaced by the following:

‘25.

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

;

(b)

the following points are added:

‘26.

“competent authorities” means the competent authorities of the Member States as identified on the websites listed in Annex II;

27.

“energy sector” means a sector covering the following activities with the exception of civil nuclear related activities:

(i)

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

(ii)

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

(iii)

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

;

(2)

in Article 1b(1), point (a) is replaced by the following:

‘(a)

to provide, directly or indirectly, technical assistance and brokering services related to the goods and technology listed in the Common Military List of the European Union (*1) (“Common Military List”), or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person, entity or body in Belarus or for use in Belarus;

(*1)   OJ C 86, 18.03.2011, p. 1.’;"

(3)

Article 1ba is amended as follows:

(a)

the following paragraph is inserted:

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

;

(b)

paragraph 2 is replaced by the following:

‘2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.’

;

(4)

the following article is inserted:

‘Article 1bb

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods which could contribute in particular to the enhancement of Belarusian industrial capacities, whether or not originating in the Union, as listed in Annex XVIII, to any natural or legal person, entity or body in Belarus or for use in Belarus.

2.   The transit via the territory of Belarus of the goods and technology as listed in Annex XIX, exported from the Union, shall be prohibited.

3.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.

4.   The prohibitions in paragraph 1 and 3 shall not apply to the execution until 2 October 2024 of contracts concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

5.   With regard to the goods falling under CN code 2602, the prohibitions in paragraphs 1 and 3 shall not apply to the execution until 2 August 2024 of contracts concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

6.   With regard to the goods falling under CN code 8708 99 , the prohibitions in paragraphs 1 and 3 shall not apply to the execution until 2 January 2025 of contracts concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

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

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

(a)

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

(b)

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

(c)

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

9.   The competent authorities of the Member States may authorise, under the conditions they deem appropriate, the sale, supply, transfer or export of the goods falling under CN 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 the personal household use of natural persons.

10.   By way of derogation from paragraph 2, the competent authorities may authorise the transit via the territory of Belarus of goods and technology which could contribute in particular to the enhancement of Belarusian industrial capacities as listed in Annex XIX, after having determined that such goods or technology are intended for the purposes set out in paragraph 8.

11.   The prohibitions in paragraphs 1, 2 and 3 shall not apply to the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters.

12.   By way of derogation from paragraphs 1 and 3, 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 and technology falling under CN codes 3917, 8523 and 8536, as listed in Annex XVIII, or the provision of related technical or financial assistance, after having determined that those goods or the provision of related technical or financial assistance are necessary for the purposes of maintenance or repair of medical devices.

13.   The competent authorities of the Member States may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the following goods, 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 in Belarus:

(a)

goods falling under CN code 8417 20 ;

(b)

copper tubes, pipes and pipe fittings falling under CN codes 7411 or 7412 that have an internal diameter of up to 50 mm.

14.   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 3917 10 , or the provision of related technical or financial assistance, after having determined that such goods are sold, supplied, transferred or exported strictly for the production of food items for human consumption in Belarus.

15.   When deciding on requests for authorisations for the purposes included in paragraphs 8, 9, 10, 12, 13 and 14, the competent authorities shall not grant an authorisation for exports to any natural or legal person, entity or body in Belarus or for use in Belarus, if they have reasonable grounds to believe that the goods might have a military end use.

16.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 8, 9, 10, 12, 13 and 14 within 2 weeks of the authorisation.’

;

(5)

Article 1e is amended as follows:

(a)

the following paragraph is inserted:

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

;

(b)

paragraph 2 is replaced by the following:

‘2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.’

;

(c)

the following paragraph is inserted:

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

;

(d)

the following paragraph is inserted:

‘4a.   By way of derogation from paragraph 1a, and without prejudice to the authorisation requirements of Regulation (EU) 2021/821, the competent authorities may authorise the transit via the territory of Belarus 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.’

;

(6)

Article 1f is amended as follows:

(a)

the following paragraph is inserted:

‘1a.   The transit via the territory of Belarus of goods and technology which might contribute to Belarus’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex Va, exported from the Union, shall be prohibited.’

;

(b)

paragraph 2 is replaced by the following:

‘2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.’

;

(c)

the following paragraph is inserted:

‘3a.   The prohibition in paragraph 1a shall not apply to the transit via the territory of Belarus of goods and technology which might contribute to Belarus’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex Va, intended for the purposes set out in points (a) to (e) of paragraph 3.’

;

(d)

paragraph 4 is amended as follows:

(i)

point (g) is replaced by the following:

‘(g)

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

;

(ii)

point (h) is replaced by the following:

‘(h)

intended for ensuring cyber-security and information security for natural and legal persons, entities and bodies in Belarus except for its Government and undertakings directly or indirectly controlled by that Government; or’

;

(iii)

the following point is added:

‘(i)

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

;

(e)

the following paragraph is inserted:

‘4b.   By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Belarus of goods and technology which might contribute to Belarus’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex Va, 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.’

;

(7)

in Article 1fa, paragraph 1 is replaced by the following:

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

(a)

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

(b)

due under contracts concluded before 3 March 2022, or ancillary contracts necessary for the execution of such a contract, provided that such authorisation is requested before 1 May 2022.’

;

(8)

in Article 1fb, paragraph 2 is replaced by the following:

‘2.   All authorisations referred to in Articles 1e, 1f and 1fa shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex Vc.’

;

(9)

Article 1fc is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   The competent authorities shall exchange information on the application of Articles 1e, 1f and 1fa with the other Member States and the Commission, including on any authorisation granted or denied and, in the event of suspected forum shopping or other cases as appropriate, on requests for authorisation received.

The competent authorities shall exchange information on the enforcement of Articles 1e, 1f and 1fa with the other Member States and the Commission, including on related infringements and penalties, as well as best practices of national enforcement authorities and the detection and prosecution of unauthorised exports. The exchange of information shall be carried out using the electronic system provided for in Article 23(6) of Regulation (EU) 2021/821.’

;

(b)

the following paragraph is inserted:

‘3a.   When a Member State grants an authorisation in accordance with Articles 1e(4)(d), 1f(4)(d) or 1fd(4) for the sale, supply, transfer or export of the goods and technology intended for maritime safety, it shall inform the other Member States and the Commission within 2 weeks of the authorisation.’

;

(10)

the following article is inserted:

‘Article 1fd

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, maritime navigation goods and technology, as listed in Annex XXIV, whether or not originating in the Union, to any natural or legal person, entity or body in Belarus or for use in Belarus.

2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.

3.   The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of the goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters.’

;

(11)

the following articles are inserted:

‘Article 1ga

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, luxury goods, whether or not originating in the Union, as listed in Annex XXV, to any natural or legal person, entity or body in Belarus or for use in Belarus.

2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.

3.   The prohibition referred to in paragraphs 1 and 2 shall apply to luxury goods listed in Annex XXV insofar as their value exceeds EUR 300 per item, unless otherwise specified in that Annex.

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

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

6.   By way of derogation from paragraph 1, the competent authorities may authorise the transfer or export to Belarus of cultural goods which are on loan in the context of formal cultural cooperation with Belarus.

7.   The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under paragraph 6 within 2 weeks of the authorisation.

Article 1gb

1.   It shall be prohibited to:

(a)

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

(b)

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

(c)

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

(d)

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

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

(a)

it is necessary to ensure critical energy supply within the Union, as well as the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 1h, from or through Belarus into the Union; or

(b)

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

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

Article 1gc

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

2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.

3.   The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 2 October 2024 of contracts concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

4.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods and technology listed in Annex XX or the provision of related technical or financial assistance, after having determined that such goods or technology or the provision of related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.

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

5.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within 2 weeks of the authorisation.’

;

(12)

Article 1h is replaced by the following:

‘Article 1h

1.   It shall be prohibited to purchase, import or transfer, directly or indirectly, mineral products, as listed in Annex VII, and crude oil, as listed in Annex XXIII, if they originate in Belarus or are exported from Belarus.

2.   It shall be prohibited to provide, directly or indirectly, technical assistance, brokering services, financing or financial assistance or any other services related to the prohibition in paragraph 1.

3.   The prohibitions in paragraph 1 shall not apply to purchases in Belarus of mineral products listed in Annex VII which are required in order to meet the essential needs of the purchaser in Belarus or of humanitarian projects in Belarus.

4.   The prohibitions in paragraphs 1 and 2 shall not apply to crude oil, as listed in Annex XXIII, until 2 October 2024, to one-off transactions for near-term delivery, concluded and executed before that date, or to the execution of contracts for the purchase, import or transfer of crude oil, as listed in Annex XXIII concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts, provided that those contracts have been notified by the relevant Member State to the Commission by 23 July 2024 and that the one-off transactions for near-term delivery are notified by the relevant Member States to the Commission within 10 days of their completion.

5.   The prohibitions in paragraphs 1 and 2 of this Article are without prejudice to the transit through Belarus of crude oil falling under CN code 2709 00 which is delivered by pipeline from Russia into Member States until the Council decides that the prohibitions in paragraphs 1 and 2 of Article 3m of Council Regulation (EU) No 833/2014 (*2) shall apply to crude oil delivered by pipeline from Russia.

(*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).’;"

(13)

the following article is inserted:

‘Article 1jc

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

(a)

the Republic of Belarus, its Government, its public bodies, corporations or agencies; or

(b)

any natural or legal person, entity or body acting on behalf or at the direction of the Republic of Belarus, its Government, its public bodies, corporations or agencies.

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

(a)

the Republic of Belarus, its Government, its public bodies, corporations or agencies; or

(b)

any natural or legal person, entity or body acting on behalf or at the direction of the Republic of Belarus, its Government, its public bodies, corporations or agencies.

3.   It shall be prohibited to provide, directly or indirectly, market research and public opinion polling services, technical testing and analysis services and advertising services to:

(a)

the Republic of Belarus, its Government, its public bodies, corporations or agencies; or

(b)

any natural or legal person, entity or body acting on behalf or at the direction of the Republic of Belarus, its Government, its public bodies, corporations or agencies.

4.   It shall be prohibited to sell, supply, transfer, export, or provide, directly or indirectly, software for the management of enterprises and software for industrial design and manufacture as listed in Annex XXVI to:

(a)

the Republic of Belarus, its Government, its public bodies, corporations or agencies; or

(b)

any natural or legal person, entity or body acting on behalf or at the direction of the Republic of Belarus, its Government, its public bodies, corporations or agencies.

5.   It shall be prohibited to:

(a)

provide technical assistance, brokering services or other services related to the goods and services referred to in paragraphs 1 to 4 for their provision, directly or indirectly, to the Republic of Belarus, its Government, its public bodies, corporations or agencies or to any natural or legal person, entity or body acting on behalf or at the direction of such a legal person, entity or body; or

(b)

provide financing or financial assistance related to the goods and services referred to in paragraphs 1 to 4 for their provision, or for the provision of related technical assistance, brokering services or other services, directly or indirectly, to the Republic of Belarus, its Government, its public bodies, corporations or agencies or to any natural or legal person, entity or body acting on behalf or at the direction of such a legal person, entity or body.

6.   Paragraphs 1 to 4 shall not apply to the provision of services that are strictly necessary for the termination by 2 October 2024 of contracts which are not compliant with this Article concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

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

8.   Paragraphs 1 and 2 shall not apply to the provision of services which are strictly necessary to ensure access to judicial, administrative or arbitral proceedings in a Member State, or for the recognition or enforcement of a judgment or an arbitration award rendered in a Member State, provided that such provision of services is consistent with the objectives of this Regulation.

9.   Paragraphs 1 to 4 shall not apply until 2 January 2025 to the provision of services intended for the exclusive use of legal persons, entities or bodies established in Belarus that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State, a country member of the European Economic Area, Switzerland or a partner country, as listed in Annex Vb.

10.   Paragraphs 2, 3 and 4 shall not apply to the provision of services necessary for public health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters.

11.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the provision of the services referred to therein, under such conditions as they deem appropriate, after having determined that those services are strictly necessary for the setting-up, certification or evaluation of a firewall which:

(a)

removes the control by a natural or legal person, entity or body listed in Annex I over the assets of a non-listed legal person, entity or body incorporated or constituted under the law of a Member State which is owned or controlled by the former; and

(b)

ensures that no further funds or economic resources accrue to the benefit of the listed natural or legal person, entity or body.

12.   By way of derogation from paragraph 4, the competent authorities may authorise the provision of services referred to therein, under such conditions as they deem appropriate, after having determined that those services are necessary for the contribution of Belarusian nationals to international open-source projects.

13.   By way of derogation from paragraphs 1 to 5, the competent authorities may authorise the services referred to therein, under such conditions as they deem appropriate, after having determined that this is necessary for:

(a)

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

(b)

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

(c)

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

(d)

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

(e)

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

(f)

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

(g)

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

(h)

the exclusive use of legal persons, entities or bodies established in Belarus that are owned by, or solely or jointly controlled by, a legal person, entity or body which is incorporated or constituted under the law of a Member State, a country member of the European Economic Area, Switzerland or a partner country, as listed in Annex Vb.

14.   By way of derogation from paragraph 2, the competent authorities may authorise the provision of legal advisory services referred to therein, under such conditions as they deem appropriate, after having determined that this is necessary for the continuation of existing initiatives providing support to victims of natural, nuclear or chemical disasters and in the framework of international adoption procedures.

15.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 11 to 14 within 2 weeks of the authorisation.’

;

(14)

Article 1m is replaced by the following:

‘Article 1m

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent prohibitions in this Regulation, including by participating in such activities without deliberately seeking that object or effect but being aware that the participation may have that object or effect and accepting that possibility.’

;

(15)

the following articles are inserted:

‘Article 1ra

1.   It shall be prohibited to purchase, import, or transfer into the Union, directly or indirectly, goods which allow Belarus to diversify its sources of revenue, thereby enabling its involvement in the Russian aggression against Ukraine, as listed in Annex XXVII, if they originate in Belarus or are exported from Belarus.

2.   It shall be prohibited to:

(a)

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

(b)

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

3.   The prohibition in paragraph 1 shall not apply to purchases in Belarus which are necessary for the functioning of diplomatic and consular representations of the Union and of the Member States, including delegations, embassies and missions, or for the personal use of nationals of Member States and their immediate family members.

4.   The competent authorities of a Member State may allow the import of goods which are intended for the strict personal use of natural persons travelling to the Union or of their immediate family members, limited to personal effects owned by those individuals and which are manifestly not intended for sale.

5.   The competent authorities may authorise, under such conditions as they deem appropriate, the entry into the Union of a vehicle falling under CN code 8703 not intended for sale and owned by:

(a)

a citizen of a Member State or an immediate family member who is resident in Belarus and is driving the vehicle into the Union for strict personal use; or

(b)

a citizen of Belarus holding a valid visa or residence permit allowing entry into the Union, who is driving the vehicle into the Union for strict personal use.

6.   The prohibition in paragraph 1 shall not apply to the entry into the Union of motor vehicles falling under CN code 8703 provided that they have a diplomatic vehicle registration plate and are necessary for the functioning of diplomatic and consular representations, including delegations, embassies and missions, or of international organisations enjoying immunities in accordance with international law, or for the personal use of their staff and their immediate family members.

7.   The prohibition in paragraph 1 shall not prevent vehicles already in the territory of the Union on 1 July 2024 from being registered in a Member State.

8.   The prohibition in paragraph 1 shall not apply to the entry into the Union of a vehicle falling under CN code 8703 intended exclusively for humanitarian purposes, including for the evacuation or repatriation of persons, or transporting passengers who hold a certificate issued by a Member State attesting to the fact that they are travelling to that Member State in the framework of initiatives providing support to victims of natural, nuclear or chemical disasters.

9.   With regard to the goods listed in Annex XXVII, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 2 October 2024 of contracts concluded before 1 July 2024, or of ancillary contracts necessary for the execution of such contracts.

10.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the purchase, import or transfer of the goods listed in Annex XXVII, or the provision of related technical and financial assistance, under such conditions as they deem appropriate, after having determined that this is necessary for the establishment, operation, maintenance, fuel supply and retreatment and safety of civil nuclear capabilities, and the continuation of design, construction and commissioning required for the completion of civil nuclear facilities, the supply of precursor material for the production of medical radioisotopes and similar medical applications, or critical technology for environmental radiation monitoring, as well as for civil nuclear cooperation, in particular in the field of research and development.

11.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the import or transfer of goods that were physically located in Belarus before the relevant prohibition entered into force in respect of those goods, falling under CN codes 8471, 8523, 8536 and 9027, as listed in Annex XXVII, or the provision of related technical and financial assistance, after having determined that those goods are components of medical devices and are brought into the Union for the purpose of maintenance, repair or returning of defective components.

12.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 10 and 11 within 2 weeks of the authorisation.

Article 1rb

1.   It shall be prohibited to purchase, import, or transfer, directly or indirectly, gold, as listed in Annex XXI if it originates in Belarus and has been exported from Belarus into the Union or to any third country after 1 July 2024.

2.   It shall be prohibited to purchase, import, or transfer, directly or indirectly the products listed in Annex XXI when processed in a third country incorporating the products prohibited in paragraph 1.

3.   It shall be prohibited to purchase, import, or transfer, directly or indirectly, gold, as listed in Annex XXII, if it originates in Belarus and it has been exported from Belarus into the Union after 1 July 2024.

4.   It shall be prohibited to:

(a)

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

(b)

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

5.   The prohibitions in paragraphs 1, 2 and 3 shall not apply to gold which is necessary for the official purposes of diplomatic missions, consular posts or international organisations in Belarus enjoying immunities in accordance with international law.

6.   The prohibition in paragraph 3 shall not apply to goods as listed in Annex XXII for the personal use of natural persons travelling to the Union or members of their immediate families travelling with them, owned by those individuals and not intended for sale.

7.   By way of derogation from paragraphs 1, 2 and 3, the competent authorities may authorise the transfer or import of cultural goods which are on loan in the context of formal cultural cooperation with Belarus.

Article 1rc

1.   It shall be prohibited, as of 1 July 2024, to purchase, import, or transfer, directly or indirectly, diamonds and products incorporating diamonds, as listed in Parts A, B and C of Annex XXIX, if they originate in Belarus or have been exported from Belarus into the Union or to any third country.

2.   It shall be prohibited, as of 1 July 2024, to purchase, import, or transfer, directly or indirectly, diamonds and products incorporating diamonds, as listed in Parts A, B and C of Annex XXIX, of any origin, if they transited via the territory of Belarus.

3.   It shall be prohibited to:

(a)

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

(b)

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

4.   The prohibitions in paragraphs 1 and 2 shall not apply to goods listed in Part C of Annex XXIX for the personal use of natural persons travelling to the Union or of their immediate family members travelling with them, owned by those individuals and not intended for sale.

5.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the transfer or import of cultural goods which are on loan in the context of formal cultural cooperation with Belarus.’

;

(16)

Article 1s is amended as follows:

(a)

the following paragraph is inserted:

‘1a.   The transit via the territory of Belarus of machinery as listed in Annex XIVa, exported from the Union, shall be prohibited.’

;

(b)

the following paragraphs are added:

‘4.   By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the machinery listed in Annex XIV or the provision of related technical assistance, brokering services, financing or financial assistance, including financial derivatives, as well as insurance and re-insurance, after having determined that it is intended for the diplomatic representations of the Union, Member States, and partner countries, including delegations, embassies and missions, and of international organisations enjoying immunities in accordance with international law.

5.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within 2 weeks of the authorisation.’

;

(17)

Article 1sa is amended as follows:

(a)

the following paragraph is inserted:

‘1a.   The transit via the territory of Belarus of goods and technology suited for use in aviation or the space industry, as listed in Annex XVII, exported from the Union, shall be prohibited.’

;

(b)

paragraph 4 is replaced by the following:

‘4.   It shall be prohibited to:

(a)

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

(b)

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

(c)

sell, license or transfer in any other way intellectual property rights or trade secrets as well as to grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Belarus or for use in Belarus.’

;

(c)

the following paragraphs are inserted:

‘6a.   By way of derogation from paragraphs 1 and 4, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods listed in Annex XVII, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is necessary for the production of titanium goods required in the aeronautic industry for which no alternative supply is available.

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

;

(d)

the following paragraphs are inserted:

‘7a.   By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Belarus of goods and technology suited for use in aviation or the space industry, as listed in Annex XVII, after having determined that such goods or technology are intended for the purposes set out in paragraphs 6a, 6b and 7.

7b.   By way of derogation from paragraph 1, the competent authorities may authorise the sale, supply, transfer or export of the goods listed in Annex XVII, if the goods are intended for the exclusive use and under the full control of the authorising Member State and in order to fulfil its maintenance obligations in areas which are under a long-term lease agreement between that Member State and Belarus.’

;

(18)

Article 1zc is amended as follows:

(a)

the following paragraphs are inserted:

‘1a.   The prohibition in paragraph 1 shall apply to the transport of goods within the territory of the Union by road transport undertakings, carried out by means of trailers or semi-trailers registered in Belarus, including if those trailers or semi-trailers are hauled by trucks registered in other countries.

1b.   It shall be prohibited for any legal person, entity or body established in the Union which is owned for 25 % or more by a Belarusian natural or legal person, entity or body to be admitted to become a road transport undertaking which transports goods by road within the territory of the Union, including in transit.

1c.   It shall be prohibited, as of 2 August 2024 for any road transport undertaking established in the Union after 8 April 2022, which is owned for 25 % or more by a Belarusian natural or legal person, entity or body to transport goods by road within the territory of the Union, including in transit.

1d.   Road transport undertakings established in the Union shall, upon request of the national competent authority of the Member State where they are established, supply information on their ownership structure to that national competent authority.’

;

(b)

the following paragraph is inserted:

‘2a.   Paragraphs 1b and 1c shall not apply to road transport undertakings established in the Union which are owned for 25 % or more by Belarusian nationals who are also nationals of a Member State or who have a temporary or permanent residence permit in a Member State.’

;

(c)

paragraph 4 is amended as follows:

(i)

the introductory wording is replaced by the following:

‘4.   By way of derogation from paragraphs 1 and 1a, the competent authorities of a Member State may authorise the transport of goods by a road transport undertaking established in Belarus or any road transport undertaking when carried out by means of trailers or semi-trailers registered in Belarus, including if those trailers or semi-trailers are hauled by trucks registered in other countries, if the competent authorities have determined that such transport is necessary for:’

;

(ii)

point (d) is replaced by the following:

‘(d)

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

;

(19)

in Article 2, the following paragraphs are added:

‘7.   Annex I shall also consist of a list of natural or legal persons, entities or bodies, who, in accordance with Article 4(1), point (d), of Decision 2012/642/CFSP, have been identified by the Council as facilitating infringements of the prohibition against circumvention of the provisions of this Regulation or of that Decision or as otherwise significantly frustrating those provisions.

8.   Annex I shall also include natural or legal persons, entities or bodies associated with the persons, entities or bodies referred to in paragraphs 5, 6 and 7.’

;

(20)

the following article is inserted:

‘Article 4c

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, owned, held or controlled by a natural or legal person, entity or body listed in Annex I, or the provision of services to such a natural or legal person, entity or body, under such conditions as they deem appropriate and after having determined that this is strictly necessary for the setting-up, certification or evaluation of a firewall which:

(a)

removes the control by the natural or legal person, entity or body listed in Annex I over the assets of a non-listed legal person, entity or body incorporated or constituted under the law of a Member State and which is owned or controlled by the former; and

(b)

ensures that no further funds or economic resources accrue to the benefit of the listed natural or legal person, entity or body.’

;

(21)

Article 7 is amended as follows:

(a)

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

‘(c)

violation and enforcement problems, penalties applied for infringements of the provisions of this Regulation and judgments handed down by national courts;’

;

(b)

the following paragraph is added:

‘4.   Any document held by the Council, the Commission or the High Representative of the Union for Foreign Affairs and Security Policy (the “High Representative”) for the purpose of ensuring the enforcement of the measures set out in this Regulation, or of preventing the violation or circumvention thereof, shall be subject to professional secrecy and shall enjoy the protection afforded by the rules applicable to the Union institutions. That protection shall apply to the joint proposals from the High Representative and the Commission for the amendment of this Regulation and to any preparatory documents related to them.

It shall be presumed that the disclosure of any documents or proposals referred to in the first subparagraph would harm the security of the Union or that of one or more of its Member States or the conduct of their international relations.’

;

(22)

the following article is inserted:

‘Article 8da

1.   By way of derogation from Articles 1bb, 1e, 1f, , 1fd, 1g, 1ga, 1gc, 1s and 1sa the competent authorities may authorise the sale, supply or transfer of goods and technologies listed in Annexes Va, VI, XIV, XVII, XVIII, XX, XXIV and XXV until 31 December 2024, where such sale, supply or transfer is strictly necessary for the divestment from Belarus or the wind-down of business activities in Belarus, provided that the following conditions are fulfilled:

(a)

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

(b)

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

(c)

the goods and technologies concerned were physically located in Belarus before the relevant prohibitions in Articles 1bb, 1e, 1f, 1fd, 1g, 1ga, 1gc, 1s and 1sa entered into force in respect of those goods and technologies.

2.   By way of derogation from Article 1h, as far as mineral products are concerned, and from Articles 1o, 1p, 1q, 1r, 1ra and 1rb, the competent authorities may authorise the import or transfer of goods listed in Annexes VII, X, XI, XII, XIII, XXI, XXII and XXVII until 31 December 2024, where such import or transfer is strictly necessary for the divestment from Belarus or the wind-down of business activities in Belarus, provided that the following conditions are fulfilled:

(a)

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

(b)

the goods concerned were physically located in Belarus before the relevant prohibitions in Article 1h, as far as mineral products are concerned, or in Articles 1o, 1p, 1q, 1r, 1ra and 1rb, entered into force in respect of those goods.

3.   By way of derogation from Article 1jc, the competent authorities may authorise the continuation of the provision of services listed therein until 31 December 2024 where such provision of services is strictly necessary for the divestment from Belarus or the wind-down of business activities in Belarus, 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 Belarus or a military end-user or have a military end-use in Belarus;

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

5.   All authorisations referred to in paragraph 1 with respect to goods and technologies listed in Annex Va to this Regulation and in Annex I to Regulation (EU) 2021/821 shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the model C set out in Annex Vc to this Regulation.’

;

(23)

in Article 8e, the following paragraph is added:

‘4.   The competent authorities of the Member States, including enforcement authorities, customs authorities within the meaning of Regulation (EU) No 952/2013 of the European Parliament and of the Council (*3), competent authorities within the meaning of Regulation (EU) No 575/2013 of the European Parliament and of the Council (*4), Directive (EU) 2015/849 of the European Parliament and of the Council (*5) and Directive 2014/65/EU, as well as 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 without delay information, including personal data and, if necessary, the information referred to in Article 8j, with other competent authorities of their Member State, of other Member States and the Commission, if such processing and exchange is necessary to carry out the tasks of the processing authority or the receiving authority under this Regulation, in particular when they detect instances of a breach or circumvention, or attempts at a breach or circumvention of the prohibitions set out in this Regulation. This provision is without prejudice to rules regarding the confidentiality of information held by judicial authorities.

(*3)  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)."

(*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 amending Regulation (EU) No 648/2012 (OJ L 176 27.6.2013, p. 1)."

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

(24)

the following articles are inserted:

‘Article 8f

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, 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 Belarus.

4.   Payments in relation to such goods shall be consistent with the provisions and objectives of this Regulation, in particular the prohibition on purchasing.

5.   Goods physically in the Union and presented to customs prior to 1 July 2024 which were stopped in application of this Regulation may be released by the customs authorities under the conditions provided for in paragraphs 1 to 4.

Article 8g

1.   When selling, supplying, transferring or exporting to a third country, with the exception of countries listed in Annex Vba to this Regulation, goods or technology as listed in Annexes XVI, XVII and XXVIII to this Regulation, common high priority items as listed in Annex XXX to this Regulation, or firearms and ammunition as listed in Annex I to Regulation (EU) No 258/2012, exporters shall contractually prohibit re-exportation to Belarus and re-exportation for use in Belarus.

2.   Paragraph 1 shall not apply to:

(a)

the execution of contracts relating to goods falling under CN codes 8457 10 , 8458 11 , 8458 91 , 8459 61 , 8466 93 , as listed in Annex XXX;

(b)

the execution of contracts concluded before 1 July 2024 until their expiry date.

3.   Paragraph 1 shall not apply to public contracts concluded with a public authority in a third country or with an international organisation.

4.   Exporters shall inform the competent authority of the Member State where they are resident or established of any public contract they concluded that benefited from the exemption under paragraph 3, within 2 weeks of its conclusion. The Member State concerned shall inform the other Member States and the Commission of any information received under this paragraph within 2 weeks of its receipt.

5.   In application of paragraph 1, exporters shall ensure that the agreement with the third-country counterpart contains adequate remedies in the event of a breach of a contractual obligation concluded in accordance with paragraph 1.

6.   If the third-country counterpart breaches any of the contractual obligations concluded in accordance with paragraph 1, exporters shall inform the competent authority of the Member State where they are resident or established as soon as they become aware of the breach.

7.   Member States shall inform each other and the Commission of detected instances of a breach or circumvention of a contractual obligation concluded in accordance with paragraph 1.

Article 8ga

1.   Natural and legal persons, entities and bodies that sell, supply, transfer or export common high priority items as listed in Annex XXX to this Regulation shall, as of 2 January 2025,

(a)

take appropriate steps, proportionately to their nature and size, to identify and assess the risks of exportation to Belarus and exportation for use in Belarus for such goods or technology, and ensure that those risk assessments are documented and kept up-to-date;

(b)

implement appropriate policies, controls and procedures, proportionately to their nature and size, to mitigate and manage effectively the risks of exportation to Belarus and exportation for use in Belarus for such goods or technology, whether those risks were identified at their level or at the level of the Member State or of the Union.

2.   Paragraph 1 shall not apply to natural and legal persons, entities and bodies that sell, supply or transfer common high priority items as listed in Annex XXX only within the Union or to countries listed in Annex Vba to this Regulation.

3.   Natural and legal persons, entities and bodies shall, as of 2 January 2025, ensure that any legal person, entity or body established outside the Union that they own or control and that sells, supplies, transfers or exports common high priority items as listed in Annex XXX implements the requirements in points (a) and (b) of paragraph 1.

4.   Paragraph 3 shall not apply where, due to reasons that it did not cause itself, a natural or legal person, entity or body is not able to exercise control over the legal person, entity or body that it owns.

Article 8h

Any person referred to in the third and fourth indent of Article 10 shall be entitled to recover, in judicial proceedings before the competent courts of the Member State, any damages, including legal costs, incurred by that person as a consequence of claims lodged with courts in third countries by persons, entities and bodies referred to in point (a), (b), (c) or (d) of Article 8d(1), in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, provided that the person concerned does not have effective access to the remedies under the relevant jurisdiction.

Article 8i

Natural and legal persons, entities and bodies shall undertake their best efforts to ensure that any legal person, entity or body established outside the Union that they own or control does not participate in activities that undermine the restrictive measures provided for in this Regulation.

Article 8j

1.   Consistent with respect for the confidentiality of communications between lawyers and their clients guaranteed in Article 7 of the Charter of Fundamental Rights of the European Union and, where applicable, without prejudice to rules regarding the confidentiality of information held by judicial authorities, natural and legal persons, entities and bodies shall:

(a)

supply any information which would facilitate the implementation of this Regulation 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.

2.   For the purposes of paragraph 1, the confidentiality of communications between lawyers and their clients shall include the confidentiality of communications relating to legal advice provided by other certified professionals who are authorised under national law to represent their clients in judicial proceedings, insofar as such legal advice is provided in connection with pending or prospective judicial proceedings.

3.   The Member State concerned shall transmit to the Commission any relevant information received pursuant to paragraph 1 within one month 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.

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

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

;

(25)

in Article 9, paragraph 1 is replaced by the following:

‘1.   Member States shall lay down the rules on penalties, including as appropriate criminal penalties, applicable to infringements of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive, and may take the voluntary self-disclosure of infringements of the provisions of this Regulation into account as a mitigating factor, in accordance with the respective national law. Member States shall also provide for appropriate measures of confiscation of the proceeds of such infringements.’

;

(26)

The Annexes are amended in accordance with the Annex 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.

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

Done at Brussels, 29 June 2024.

For the Council

The President

H. LAHBIB


(1)   OJ L, 2024/1864, 30.6.2024, ELI: http://data.europa.eu/eli/dec/2024/1864/oj.

(2)  Council Regulation (EC) No 765/2006 of 18 May 2006 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine (OJ L 134, 20.5.2006, p. 1).

(3)  Council Decision 2012/642/CFSP of 15 October 2012 concerning restrictive measures in view of the situation in Belarus and the involvement of Belarus in the Russian aggression against Ukraine (OJ L 285, 17.10.2012, p. 1).

(4)  Regulation (EC) No 184/2005 of the European Parliament and of the Council of 12 January 2005 on Community statistics concerning balance of payments, international trade in services and foreign direct investment (OJ L 35, 8.2.2005, p. 23).

(5)  Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations’ Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition (OJ L 94, 30.3.2012, p. 1).

(6)  Directive (EU) 2024/1226 of the European Parliament and of the Council of 24 April 2024 on the definition of criminal offences and penalties for the violation of Union restrictive measures and amending Directive (EU) 2018/1673 (OJ L, 2024/1226, 29.4.2024, ELI: http://data.europa.eu/eli/dir/2024/1226/oj).


ANNEX

The Annexes to Regulation (EC) No 765/2006 are amended as follows:

(1)

Annex Va is replaced by the following:

‘ANNEX Va

List of goods and technology referred to in Articles 1f(1) and 1fa(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 1m of this Regulation, non-controlled items containing one or more components listed in this Annex are not subject to the controls under Articles 1f(1) and 1fa(1) 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 oC);

2.

“Secondary cells” having an “energy density” of 350 Wh/kg or less at 293 K (20 oC);

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.

Ceramic frequency filters;

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);

p.

Cermet trimmers.

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)), digitising to 8 bits or greater resolution and storing 256 or more samples.

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

1.

Plug-in units;

2.

External amplifiers;

3.

Pre-amplifiers;

4.

Sampling devices;

5.

Cathode ray tubes.

X.A.I.003

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

a.

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

b.

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

c.

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

d.

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

e.

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

1.

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

2.

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

f.

Chromatography and spectrometry analytical instruments.

X.B.I.001

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

a.

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

b.

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

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

1.

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

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

a.

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

b.

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

c.

Crystal pullers and furnaces, as follows:

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

1.

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

2.

“Stored program controlled” crystal pullers having any of the following characteristics:

a.

Rechargeable without replacing the crucible container;

b.

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

c.

Capable of pulling crystals of a diameter exceeding 100 mm;

d.

“Stored program controlled” equipment for epitaxial growth having any of the following characteristics:

1.

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

2.

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

3.

Rotation of individual wafers during processing;

e.

Molecular beam epitaxial growth equipment;

f.

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

g.

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

1.

Patterning capability;

2.

Beam energy (accelerating voltage) exceeding 200 keV;

3.

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

4.

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

h.

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

1.

“Batch types” having either of the following:

a.

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

b.

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

2.

“Single wafer types” having any of the following:

a.

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

b.

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

c.

Cassette-to-cassette and load locks wafer handling;

Notes:

1.

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

2.

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

i.

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

1.

Chemical vapour deposition equipment operating below 105 Pa; or

2.

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

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

j.

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

1.

Electrostatic beam deflection;

2.

Shaped, non-Gaussian beam profile;

3.

Digital-to-analogue conversion rate exceeding 3 MHz;

4.

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

5.

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

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

k.

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

1.

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

2.

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

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

l.

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

m.

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

1.

Positioning accuracy less than ± 1 μm; or

2.

Spot size (kerf width) less than 3 μm.

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

2.

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

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

a.

Finished masks, reticles and designs therefor, except:

1.

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

2.

Masks or reticles, having both of the following characteristics:

a.

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

b.

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

b.

Mask substrates as follows:

1.

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

2.

Substrates specially designed for X-ray masks;

c.

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

d.

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

1.

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

2.

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

3.

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

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

e.

“Stored program controlled” equipment for the inspection of masks, reticles or pellicles with:

1.

A resolution of 0,25 μm or finer; and

2.

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

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

f.

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

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

1.

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

2.

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

3.

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

4.

A light source wavelength shorter than 400 nm;

g.

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

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

h.

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

3.

Equipment for the assembly of integrated circuits, as follows:

a.

“Stored program controlled” die bonders having all of the following characteristics:

1.

Specially designed for “hybrid integrated circuits”;

2.

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

3.

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

b.

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

c.

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

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

4.

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

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

X.B.I.002

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

a.

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

b.

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

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

1.

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

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

2.

Specially designed “stored program controlled” measuring and analysis equipment, as follows:

a.

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

b.

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

c.

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

3.

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

a.

Positioning accuracy finer than 3,5 μm;

b.

Capable of testing devices having more than 68 terminals; or

c.

Capable of testing at a frequency exceeding 1 GHz;

4.

Test equipment as follows:

a.

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

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

b.

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

1.

At a “pattern rate” exceeding 20 MHz; or

2.

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

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

1.

Memories;

2.

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

3.

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

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

c.

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

1.

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

2.

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

3.

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

5.

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

a.

Stroboscopic capability with either beam blanking or detector strobing;

b.

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

c.

Electrical tests fixtures for performance analysis of integrated circuits;

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

6.

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

a.

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

b.

Digital-to-analogue conversion accuracy exceeding 12 bit;

7.

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

a.

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

b.

Capable of characterizing Class 10 clean air or better.

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

X.B.I.003

Equipment for the manufacture of Printed Circuit Boards (PCBs) and specially designed components and accessories therefor, as follows:

a.

Film processing equipment;

b.

Solder mask coating equipment;

c.

Photo plotter equipment;

d.

Plating or electroplating deposition equipment;

e.

Vacuum chambers and presses;

f.

Roll laminators;

g.

Alignment equipment; or

h.

Etching equipment.

X.B.I.004

Automated optical inspection equipment for testing Printed Circuit Boards (PCBs), based on optical or electrical sensors, and capable to detect any of the following quality defects:

a.

Spacing, area, volume or height;

b.

Bill boarding;

c.

Components (presence, absence, flipped, offset, polarity, or skew);

d.

Solder (bridging, insufficient solder joints);

e.

Leads (insufficient paste, lifting);

f.

Tombstoning; or

g.

Electrical (shorts, opens, resistance, capacitance, power, grid performance).

X.C.I.001

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

X.C.I.002

Chemicals and materials of the type used in the production of Printed Circuit Boards (PCBs), as follows:

a.

PCB composite substrates made of glass fibre or cotton (e.g. FR-4, FR-2, FR-6, CEM-1, G-10, etc.);

b.

Multilayer PCB substrates, containing at least one layer of any of the following materials:

1.

Aluminium;

2.

Polytetrafluoroethylene (PTFE); or

3.

Ceramic materials (e.g. alumina, titanium oxide, etc.);

c.

Etchant chemicals;

1.

Ferric chloride (7705-08-0);

2.

Cupric chloride (7447-39-4);

3.

Ammonium persulphate (7727-54-0);

4.

Sodium persulphate (7775-27-1); or

5.

Chemical preparations specially designed for etching and containing any of the chemicals included in X.C.I.002.c.1 to X.C.I.002.c.4.

Note: X.C.I.002.c does not control “chemical mixtures” containing one or more of the chemicals specified in entry X.C.I.002.c in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

d.

Copper foil with a minimum purity 95 % and of a thickness less than 100 μm;

e.

Polymeric substances and films thereof of less than 0,5 mm of thickness, as follows:

1.

Aromatic polyimides;

2.

Parylenes;

3.

Benzocyclobutenes (BCBs); or

4.

Polybenzoxazoles.

X.D.I.001

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

X.D.I.002

“Software” specially designed for the test, “development” or “production” of Printed Circuit Boards (PCBs).

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.

X.E.I.002

“Technology” for the “development”, “production” or “use” of Printed Circuit Boards (PCBs).

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)  (2).

c.

The “technology” for the “digital computers” and related equipment is determined by 4E (3).

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 oC);

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 (4) specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101 (5).

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 (6), specially designed to operate outside the temperature range from 219 K (– 54 oC) to 397 K (124 oC).

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 Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronization functions are to be included.

11)

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

12)

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

13)

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

14)

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

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

X.B.III.101

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

X.C.III.101

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

X.D.III.101

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

a.

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

b.

Not used.

X.E.III.101

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

a.

Specific “technologies” as follows:

1.

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

2.

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

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

1)

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

2)

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

Category III. Part 2 – Information Security

Note: Category III. Part 2 does not control goods for the personal use of 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 (7).

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 (8).

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. (9);

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 30o or wider and a response time equal to or less than 1 ns;

b.

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

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

X.A.IV.005

“Lasers” as follows:

a.

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

1.

A CW output power exceeding 10 kW;

2.

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

a.

An average output power exceeding 10 kW; or

b.

A pulsed “peak power” exceeding 100 kW; or

3.

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

a.

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

b.

An average output power exceeding 2,5 kW;

b.

Semiconductor lasers, as follows:

1.

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

a.

An average output power exceeding 100 mW; or

b.

A wavelength exceeding 1 050 nm;

2.

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

c.

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

d.

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

1.

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

a.

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

1.

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

2.

An “average output power” exceeding 20 W; or

b.

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

1.

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

2.

A “peak power” exceeding 200 MW; or

3.

An “average output power” exceeding 50 W; or

2.

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

a.

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

1.

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

2.

An “average output power” exceeding 20 W; or

b.

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

1.

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

2.

An “average output power” exceeding 500 W;

e.

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

1.

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

a.

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

b.

An “average output power” exceeding 50 W; or

2.

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

a.

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

b.

An “average output power” exceeding 500 W;

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

f.

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

1.

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

2.

An average or CW output power exceeding 1 W;

g.

Free electron “lasers”.

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

X.A.IV.006

“Magnetometers”, “Superconductive” electromagnetic sensors, and specially designed components therefor, as follows:

a.

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

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

b.

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

1.

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

2.

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

3.

Having any of the following characteristics:

a.

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

b.

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

c.

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

d.

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

X.A.IV.007

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

a.

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

b.

Being of the quartz element (Worden) type.

X.A.IV.008

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

a.

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

b.

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

c.

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

1.

Operates at a frequency of 94 GHz;

2.

An average output power of less than 20 mW;

3.

Radar beam width of 1 degree; and

4.

Operating range equal to or greater than 1 500 m.

X.A.IV.009

Specific processing equipment, as follows:

a.

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

b.

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

c.

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

X.B.IV.001

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

a.

For the manufacture or inspection of:

1.

Free electron “laser” magnet wigglers;

2.

Free electron “laser” photo injectors;

b.

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

X.C.IV.001

Optical sensing fibres that are modified structurally to have a “beat length” of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b (10) and having a zinc content of equal to or more than 6 % by “mole fraction”.

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

1)

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

2)

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

X.C.IV.002

Optical materials, as follows:

a.

Low optical absorption materials, as follows:

1.

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

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

2.

Bulk fluoride glass made from compounds controlled by 6C004.e.1 (11);

b.

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

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

1)

“Fluoride fibres” are fibres manufactured from bulk fluoride compounds.

2)

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

X.D.IV.001

“Software”, other than those specified in the CML or in Regulation (EU) 2021/821, specially designed for the “development”, “production”, or “use” of goods controlled by 6A002, 6A003 (12), X.A.IV.001, X.A.IV.006, X.A.IV.007, or X.A.IV.008.

X.D.IV.002

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

X.D.IV.003

Other “software”, as follows:

a.

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

b.

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

c.

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

X.E.IV.001

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

X.E.IV.002

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

X.E.IV.003

Other “technology” as follows:

a.

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

1.

Area exceeding 1 m2; and

2.

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

b.

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

c.

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

d.

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

1.

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

2.

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

e.

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

1.

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

2.

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

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

Category V – Navigation and Avionics

X.A.V.001

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

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

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

X.B.V.001

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

X.D.V.001

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

X.E.V.001

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

Category VI – Marine

X.A.VI.001

Vessels, marine systems or equipment, and specially designed components therefor, components and accessories as follows:

a.

Underwater vision systems, as follows:

1.

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

2.

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

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

b.

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

c.

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

d.

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

e.

Marine boilers designed to have any of the following characteristics:

1.

Heat release rate (at maximum rating) equal to or in excess of 1 966,4 kW/m3 of furnace volume; or

2.

Ratio of steam generated in kilogram per hour (at maximum rating) to the dry weight of the boiler in kilograms equal to or in excess of 37,6;

f.

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

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

g.

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

h.

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

i.

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

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

j.

Underwater lights and propulsion equipment; or

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

k.

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

X.D.VI.001

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

X.D.VI.002

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

X.E.VI.001

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

Category VII – Aerospace and Propulsion

X.A.VII.001

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

a.

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

b.

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

c.

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

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

X.A.VII.002

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

a.

Not used.

b.

Not used.

c.

Aero gas turbine engines and components specially designed therefor.

d.

Not used.

e.

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

X.A.VII.003

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

a.

Reciprocating or rotary internal combustion piston engines; or

b.

Electric engines.

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

X.B.VII.001

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

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

X.B.VII.002

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

a.

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

b.

Tooling, fixtures or measuring equipment for the “laser”, water jet or ECM/EDM hole drilling processes controlled by 9E003.c (13);

c.

Ceramic core leaching equipment;

d.

Ceramic core manufacturing equipment or tools;

e.

Ceramic shell wax pattern preparation equipment;

f.

Ceramic shell burn out or firing equipment.

X.D.VII.001

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

X.D.VII.002

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

X.E.VII.001

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

X.E.VII.002

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

X.E.VII.003

Other “technology”, not described by 9E003 (14), as follows:

a.

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

b.

Gas bearing for turbine engine rotor assemblies.

Category VIII – Miscellaneous items

X.A.VIII.001

Equipment for oil production or oil exploration as follows:

a.

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

b.

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

c.

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

d.

Sediment echo sounders.

X.A.VIII.002

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

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

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

X.A.VIII.003

Microscopes, related equipment and detectors as follows:

a.

Scanning electron microscopes (SEM);

b.

Scanning auger microscopes;

c.

Transmission electron microscopes (TEM);

d.

Atomic force microscopes (AFM);

e.

Scanning force microscopes (SFM);

f.

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

1.

X-ray photo spectroscopy (XPS);

2.

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

3.

Electron spectroscopy for chemical analysis (ESCA).

X.A.VIII.004

Collector equipment for metal ores in deep seabed.

X.A.VIII.005

Manufacturing equipment and machine tools as follows:

a.

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

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

1.

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

2.

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

b.

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

c.

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

X.A.VIII.006

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

X.A.VIII.007

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

X.A.VIII.008

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

X.A.VIII.009

Equipment for Ultra-High-Vacuum (UHV) as follows:

a.

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

b.

UHV pressure gauges.

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

X.A.VIII.010

“Cryogenic refrigeration systems” designed to maintain temperatures below 1,1 K for 48 hrs or more and related cryogenic refrigeration equipment as follows:

a.

Pulse Tubes;

b.

Cryostats;

c.

Dewars;

d.

Gas Handling System (GHS);

e.

Compressors; or

f.

Control Units.

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

X.A.VIII.011

“Decapsulation” equipment for semiconductor devices.

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

X.A.VIII.012

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

X.AVIII.013

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

X.A.VIII.014

Water cannon systems for riot or crowd control, and components specially designed therefor.

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

X.A.VIII.015

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

X.A.VIII.016

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

X.A.VIII.017

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

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

X.A.VIII.018

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

a.

Not used.

b.

Hydraulic fracturing items, as follows:

1.

Hydraulic fracturing design and analysis “software” and data;

2.

Hydraulic fracturing “proppant”, “fracking fluid”, and chemical additives therefor; or

3.

High pressure pumps.

Technical Note:

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

X.A.VIII.019

Specific processing equipment, as follows (see List of Items Controlled):

a.

Ring magnets;

b.

Not used.

X.A.VIII.020

Weapons and devices designed for the purpose of riot control or self-protection, as follows:

a.

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

b.

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

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

1.

The unit producing an electric shock;

2.

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

3.

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

c.

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

X.A.VIII.021

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

a.

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

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

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

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

b.

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

c.

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

d.

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

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

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

e.

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

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

f.

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

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

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

g.

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

1.

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

2.

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

3.

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

4.

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

5.

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

6.

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

7.

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