Home | Databases | WorldLII | Search | Feedback Maltese Laws

National Interest (Enabling Powers) Act (Cap. 365) Enforcement Of European Union Sanctions (Iran) Regulations, 2010 (L.N. 15 Of 2011 )

VERŻJONI ELETTRONIKA

B 253

IN exercise of the powers conferred by article 3 of the National Interest (Enabling Powers) Act, the Prime Minister has made the following regulations:-

European Union Sanctions (Iran) Regulations, 2010.

Citation.

Interpretation.

Act;

“the Act” means the National Interest (Enabling Powers)

“Annex IV” means Annex IV to the Council Regulation referred to in regulation 3;

“the Council Regulation” means the Council Regulation referred to in regulation 3;

“IAEA” means the International Atomic Energy Agency; “Iran” means the Islamic Republic of Iran;

“Sanctions Monitoring Board” means the Monitoring Board established under regulation 2 of the Sanctions (Monitoring Board) Regulations, 2006;

“the Treaty” means the Treaty referred to in article 2 of the European Union Act.

L.N. 327 of 2006

.

Cap. 460.

Text of Council

Regulation (EU) No

961/2010.

B 254 VERŻJONI ELETTRONIKA

Applicability

of the European

Union Act.

Authorisations for sale, supply, etc. of goods and technology.

Penalty.

(a) enrichment, reprocessing or heavy water-related activities of Iran;

(b) the development of nuclear weapon delivery systems by Iran; or

(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.

(2) Where any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex IV has been granted, the Sanctions Monitoring Board may annul, suspend, modify or revoke such authorisation where it has reasonable grounds to determine that the sale, supply, transfer or export thereof would contribute to the activities contained in sub- regulation (1).

(3) Where the Sanctions Monitoring Board refuses to grant an authorisation, or annuls, suspends, substantially limits or revokes an authorisation in accordance with sub-regulations (1) and (2), the respective authorities of Malta shall notify the authorities of other Member States of the European Union and the European Commission thereof, and share the relevant information with them, in compliance with applicable laws protecting the confidentiality of such information.

REGULATIONS

B 255

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 2010/413/CFSP of 26 July
2010 concerning restrictive measures against Iran and repealing
Common Position 2007/140/CFSP (1),
Having regard to the joint proposal from the High Represen­ tative of the Union for Foreign Affairs and Security Policy and the European Commission,
Whereas:

(1) On 26 July 2010, the Council approved Decision

2010/413/CFSP confirming the restrictive measures taken since 2007 and providing for additional restrictive measures against the Islamic Republic of Iran (‘Iran’) in order to comply with UN Security Council Resolution 1929 (2010), as well as for accompanying measures as requested by the European Council in its Declaration of 17 June 2010.

(2) Those restrictive measures comprise, in particular, addi­ tional restrictions on trade in dual-use goods and tech­ nology, as well as equipment which might be used for internal repression, restrictions on trade in key equipment and technology for, and restrictions on investment in the Iranian oil and gas industry, restrictions on Iranian investment in the uranium mining and nuclear industry, restrictions on transfers of funds to and from Iran, restrictions concerning the Iranian banking sector, restrictions on Iran's access to the insurance and bonds markets of the Union and restrictions on providing certain services to Iranian ships and cargo aircraft.

(3) Decision 2010/413/CFSP also provided for additional categories of persons to be made subject to the

(1) OJ L 195, 27.7.2010, p. 39.

freezing of funds and economic resources and for certain other technical amendments to existing measures.

(4) Those restrictive measures fall within the scope of the Treaty on the Functioning of the European Union and, therefore, notably with a view to ensuring their uniform application by economic operators in all Member States, legislation at the level of the Union is necessary in order to implement them as far as the Union is concerned.

(5) Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran (2) enacted the restrictive measures taken by the Union further to Common Position 2007/140/CFSP (3). For the sake of clarity, Regulation (EC) No 423/2007 should be repealed and replaced by this Regulation.
(6) The revised restrictive measures concerning dual-use goods should cover all goods and technology set out in Annex I to Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (4), with the exception of certain items in Category 5 thereof. Those Category 5 items which relate to nuclear and missile technology and are currently subject to a prohibition on their transfer to and from Iran should, nevertheless, remain subject to such prohibition. Moreover, a prohibition should also be imposed on the transfer to and from Iran of certain goods and technology which were previously subject to a prior authorisation requirement under Article 3 of Regulation (EC) No 423/2007.

(7) In order to ensure the effective implementation of the prohibition on the sale, supply, transfer or export to Iran of certain key equipment or technology which could be used in the key sectors of the oil and natural gas industries, a list of such key equipment and technology should be provided.

(2) OJ L 103, 20.4.2007, p. 1. (3) OJ L 61, 28.2.2007, p. 49. (4) OJ L 134, 29.5.2009, p. 1.

B 256 VERŻJONI ELETTRONIKA

(8) In addition, to be effective, restrictions on investment in the Iranian oil and gas sector should cover certain key activities, such as bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids, and, for the same reason, should apply to joint ventures as well as other forms of associations and coop­ eration with Iran in the sector of the transmission of natural gas.

(9) The restrictive measures should not affect the import or export of oil or gas to and from Iran, including the fulfilment of payment obligations in connection with such import or export.

(10) Effective restrictions on Iranian investment in the Union require that measures be taken to prohibit natural or legal persons, entities and bodies subject to the juris­ diction of the Member States from enabling or auth­ orising such investment.

(11) It is prohibited, pursuant to the obligation to freeze the funds and economic resources of Islamic Republic of Iran Shipping Line (IRISL) and of designated entities owned or controlled by IRISL to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States. However, the obli­ gation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL does not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.

(12) It should be clarified that submitting and forwarding the necessary documents to a bank for the purpose of their final transfer to a person, entity or body that is not listed, to trigger payments allowed under Article 18 of this Regulation, does not constitute making funds available within the meaning of Article 16(3) of this Regulation.

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

(14) This Regulation also fully respects the obligations of Member States under the Charter of the United Nations and the legally binding nature of the United Nations Security Council Resolutions.

(15) The power to amend the lists in Annexes VII and VIII to this Regulation should be exercised by the Council, in

view of the specific threat to international peace and security posed by Iran as manifested by the deepening concern about its nuclear programme underlined by the European Council on 17 June 2010, and to ensure consistency with the process for amending and reviewing Annexes I and II to Decision 2010/413/CFSP.

(16) The procedure for amending the lists in Annexes VII and VIII to this Regulation should include providing designated natural or legal persons, entities or bodies with the grounds for listing, so as to give them an opportunity to submit observations. Where observations are submitted, or substantial new evidence is presented, the Council should review its decision in light of those observations and inform the person, entity or body concerned accordingly.

(17) For the implementation of this Regulation, and to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with the Regu­ lation, should be made public. Any processing of personal data of natural persons under this Regulation should respect Regulation (EC) No 45/2001 of the European Parliament and of the Council of

18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (1) and Directive 95/46/EC of the European Parliament and of the Council of
24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (2).

(18) In order to ensure that the measures provided for in this Regulation are effective, it should enter into force on the day of its publication,

HAS ADOPTED THIS REGULATION: CHAPTER I

Article 1

For the purposes of this Regulation the following definitions shall apply:
(a) ‘branch’ of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;

(1) OJ L 8, 12.1.2001, p. 1.

(2) OJ L 281, 23.11.1995, p. 31.

B 257

(b) ‘brokering services’ means:
(i) the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology from a third country to any other third country, or
(ii) the selling or buying of goods and technology that are located in third countries for their transfer to another third country.
(c) ‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the trans­ action;
(d) ‘credit institution’ means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions (1), including its branches inside or outside the Union;
(e) ‘customs territory of the Union’ means the territory as defined in Article 3 of Council Regulation (EEC) No
2913/92 of 12 October 1992 establishing the Community Customs Code (2) and in Commission Regu­ lation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Regulation (EEC) No 2913/92 (3);
(f) ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds, but which may be used to obtain funds, goods or services;
(g) ‘financial institution’ means
(i) an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change);
(ii) an insurance company duly authorised in accordance with Directive 2002/83/EC of the European Parliament
and of the Council of 5 November 2002 concerning life assurance (4), insofar as it carries out activities covered by that Directive;
(iii) an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments (5);
(iv) a collective investment undertaking marketing its units or shares; or
(v) an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation (6), with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;
including its branches inside or outside the Union.
(h) ‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;
(i) ‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character, desti­ nation or other change that would enable the funds to be used, including portfolio management;
(j) ‘funds’ means financial assets and benefits of every kind, including, but not limited to:
(i) cash, cheques, claims on money, drafts, money orders and other payment instruments;
(ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;
(iii) publicly-and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;
(iv) interest, dividends or other income on or value accruing from or generated by assets;

(1) OJ L 177, 30.6.2006, p. 1. (2) OJ L 302, 19.10.1992, p. 1. (3) OJ L 253, 11.10.1993, p. 1.

(4) OJ L 345, 19.12.2002, p. 1. (5) OJ L 145, 30.4.2004, p. 1. (6) OJ L 9, 15.1.2003, p. 3.

B 258 VERŻJONI ELETTRONIKA

(v) credit, right of set-off, guarantees, performance bonds or other financial commitments;
(vi) letters of credit, bills of lading, bills of sale; and
(vii) documents showing evidence of an interest in funds or financial resources;
(k) ‘goods’ includes items, materials and equipment;
(l) ‘insurance’ means an undertaking or commitment whereby one or more natural or legal persons is or are obliged, in return for a payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;
(m) ‘Iranian person, entity or body’ means:
(i) the State of Iran or any public authority thereof; (ii) any natural person in, or resident in, Iran;
(iii) any legal person, entity or body having its registered office in Iran;
(iv) any legal person, entity or body, inside or outside Iran, owned or controlled directly or indirectly by one or more of the above mentioned persons or bodies;
(n) ‘reinsurance’ means the activity consisting in accepting risks ceded by an insurance undertaking or by another rein­ surance undertaking or, in the case of the association of underwriters known as Lloyd’s, the activity consisting in accepting risks, ceded by any member of Lloyd’s, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd’s;
(r) ‘transfer of funds’ means any transaction carried out on behalf of a payer through a payment service provider by electronic means, with a view to making funds available to a payee at a payment service provider, irrespective of whether the payer and the payee are the same person. The terms payer, payee and payment service provider have the same meaning as in Regulation (EC) No
1781/2006 of the European Parliament and of
the Council of 15 November 2006 on information on the payer accompanying transfers of funds (1);
(s) ‘claim’ means any claim, whether asserted by legal proceedings or not, made before or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular:
(i) a claim for performance of any obligation arising under or in connection with a contract or transaction;
(ii) a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form;
(iii) a claim for compensation in respect of a contract or transaction;
(iv) a counterclaim;
(v) a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbi­ tration award or an equivalent decision, wherever made or given.

CHAPTER II

Article 2

(o) ‘Sanctions Committee’ means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of United Nations Security Council Resolution (‘UNSCR’) 1737 (2006);
(p) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, main­ tenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services; including verbal forms of assistance;
(q) ‘territory of the Union’ means the territories of the Member
1. It shall be prohibited:
(a) to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annexes I and II, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran; or
(b) to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex III, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;
States to which the Treaty is applicable, under the
conditions laid down in the Treaty, including their airspace;

(1) OJ L 345, 8.12.2006, p. 1.

B 259

(c) to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).
2. Annex I shall include goods and technology, including software, which are dual-use items or technology as defined in Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, except for the goods and technology defined in Category 5 of Annex I to that Regu­ lation which are not included in the Nuclear Suppliers Group and Missile Technology Control Regime lists.
3. Annex II shall include other goods and technology which could contribute to Iran's enrichment-related, reprocessing or heavy-water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding, including those determined by the UN Security Council or by the Sanctions Committee.
4. Annexes I, II and III shall not include goods and tech­ nology included in the Common Military List of the European Union (1) (‘Common Military List’).

Article 3

1. A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of the goods and tech­ nology listed in Annex IV, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran.
2. For all exports for which an authorisation is required under this Article, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be valid throughout the Union.
3. Annex IV shall include any goods and technology, other than those included in Annexes I and II, which could contribute to enrichment-related, reprocessing or heavy water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the International Atomic Energy Agency (IAEA) has expressed concerns or has identified as outstanding.
or export thereof would contribute to one of the following activities:
(a) Iran's enrichment-related, reprocessing or heavy water- related activities;
(b) the development of nuclear weapon delivery systems by
Iran; or
(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.
6. Under the conditions set out in paragraph 5, the competent authorities of the Member States, as identified on the websites listed in Annex V, may annul, suspend, modify or revoke an export authorisation which they have granted.
7. Where the competent authority of a Member State refuses to grant an authorisation, or annul, suspend, substantially limit or revoke an authorisation in accordance with paragraph 5, the Member State shall notify the other Member States and the Commission thereof and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information of Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agri­ cultural matters (2).
8. Before a Member State grants an authorisation in accordance with paragraph 5 for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States under paragraphs 6 and 7, it will first consult the Member State or States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof, providing all relevant information to explain the decision.

Article 4

It shall be prohibited to purchase, import or transport from Iran the goods and technology listed in Annexes I, II and III, whether the item concerned originates in Iran or not.
4. Exporters shall supply the competent authorities with all relevant information required for their application for an export authorisation.
1. It shall be prohibited:

Article 5

5. The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex IV, if they have reasonable grounds to determine that the sale, supply, transfer
(a) to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List, or related to the provision, manufacture, maintenance and use of goods included in that list, to any Iranian person, entity or body or for use in Iran;

(1) OJ C 69, 18.3.2010, p. 19. (2) OJ L 82, 22.3.1997, p. 1.

B 260 VERŻJONI ELETTRONIKA

(b) to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annexes I and II, or related to the provision, manu­ facture, maintenance and use of goods listed in Annexes I and II, to any Iranian person, entity or body or for use in Iran;
(c) to provide, directly or indirectly, technical assistance or brokering services related to equipment which might be used for internal repression as listed in Annex III, to any Iranian person, entity or body or for use in Iran;
(d) to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List or in Annexes I, II and III, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any Iranian person, entity or body or for use in Iran;
(e) to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) to (d).
2. The provision of the following shall be subject to an authorisation from the competent authority of the Member State concerned:
(a) technical assistance or brokering services related to goods and technology listed in Annex IV and to the provision, manufacture, maintenance and use of those items, directly or indirectly to any Iranian person, entity or body or for use in Iran;
(b) financing or financial assistance related to goods and tech­ nologies referred to in Annex IV, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of those items, or for any provision of related technical assistance, directly or indirectly, to any Iranian person, entity or body or for use in Iran.
3. The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph
2, if they have reasonable grounds to determine that the action would contribute to one of the following activities:
(a) Iran's enrichment-related, reprocessing or heavy water- related activities;
(b) the development of nuclear weapon delivery systems by
Iran; or
(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.

Article 6

Article 2(1)(a) shall not apply to:
(a) the direct or indirect transfer of goods falling within Part B of Annex I, through the territories of Member States when those goods are sold, supplied, transferred or exported to, or for use in, Iran for a light water reactor in Iran the construction of which has begun before December 2006;
(b) transactions mandated by the International Atomic Energy
Agency (IAEA) technical cooperation programme;
(c) goods supplied, transferred to or for use in, Iran due to obligations of State Parties under the Paris Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction of
13 January 1993.

Article 7

1. The competent authorities of the Member States, as identified on the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to goods and technology referred to in Article 2(1) or assistance or brokering services referred to in Article 5(1), if they determine, except when subparagraph (c) applies, that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the development of nuclear weapon delivery systems, including where such goods and technology, assistance or brokering services are for food, agricultural, medical or other humanitarian purposes, and if the following conditions are met:
(a) the contract for delivery of the goods or technology, or for the provision of assistance or brokering services, includes appropriate end-user guarantees;
(b) Iran has undertaken not to use the goods or technology concerned, or if applicable, the assistance or brokering services concerned, in proliferation-sensitive nuclear activities or for development of nuclear weapon delivery systems; and
(c) in those cases where the transaction concerns goods or technology contained in the Nuclear Suppliers Group or Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by- case basis that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the devel­ opment of nuclear weapon development delivery systems.

B 261

2. The Member State concerned shall inform the other Member States and the Commission when it rejects a request for an authorisation.
3. Paragraph 1 shall not apply to transactions or brokering services in relation to goods and technology referred to in Annex III.

Article 8

1. It shall be prohibited to sell, supply, transfer or export key equipment or technology listed in Annex VI, directly or indirectly, to any Iranian person, entity or body or for use in, Iran.
2. Annex VI shall include key equipment and technology for the following key sectors of the oil and gas industry in Iran:
(a) exploration of crude oil and natural gas; (b) production of crude oil and natural gas; (c) refining;
(d) liquefaction of natural gas.
3. Annex VI shall not include items included in the Common
Military List, or in Annex I, Annex II or Annex IV.
date of entry into force of this Regulation, or by a contract or agreement concluded before 26 July 2010 and relating to an investment in Iran made before 26 July 2010, nor shall they prevent the execution of an obligation arising therefrom, provided that the natural or legal person, entity or body seeking to engage in the transaction or to provide assistance has notified, at least 20 working days in advance, the trans­ action or assistance to the competent authorities of the Member State in which it is established, as identified on the websites listed in Annex V.

CHAPTER III

Article 11

1. The following shall be prohibited:
(a) the granting of any financial loan or credit to any Iranian person, entity or body referred to in paragraph (2);
(b) the acquisition or extension of a participation in any Iranian person, entity or body referred to in paragraph (2);
(c) the creation of any joint venture with any Iranian person, entity or body referred to in paragraph (2).
(d) the participation, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a), (b) and (c).
It shall be prohibited:

Article 9

2. The prohibition in paragraph (1) shall apply to any Iranian person, entity or body engaged:
(a) to provide, directly or indirectly, technical assistance or brokering services related to the key equipment and tech­ nology listed in Annex VI, or related to the provision, manufacture, maintenance and use of goods listed in Annex VI, to any Iranian person, entity or body or for use in Iran.
(b) to provide, directly or indirectly, financing or financial assistance related to the key equipment and technology listed in Annex VI, to any Iranian person, entity or body or for use in Iran.
(c) to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).

Article 10

The prohibitions in Articles 8 and 9 shall not apply to transactions required by a trade contract concluded before the
(a) in the manufacture of goods or technology listed in the
Common Military List or in Annex I or II;
(b) in the manufacture of equipment which might be used for internal repression as listed in Annex III;
(c) in the exploration or production of crude oil and natural gas, the refining of fuels or the liquefaction of natural gas.
3. For the purposes of paragraph 2(c) only, the following definitions shall apply:
(a) ‘exploration of crude oil and natural gas’ includes the explo­ ration for, prospection of and management of crude oil and natural gas reserves, as well as the provision of geological services in relation to such reserves;

B 262 VERŻJONI ELETTRONIKA

(b) ‘production of crude oil and natural gas’ includes bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids;
(c) ‘refining’ means the processing, conditioning or preparation for the ultimately final sale of fuels.
4. It shall be prohibited to establish cooperation with an Iranian person, entity or body engaged in the transmission of natural gas as referred to in paragraph 3(b).
5. For the purposes of paragraph 4, ‘cooperation’ means:
(a) the sharing of investment costs in an integrated or managed supply chain for the receipt or delivery of natural gas directly from or to the territory of Iran; and
(b) direct co-operation for the purpose of investing in liquefied natural gas facilities within the territory of Iran or in liquefied natural gas facilities directly connected thereto.

Article 12

1. The making of an investment through transactions referred to in Article 11(1) in an Iranian person, entity or body engaged in the manufacture of goods or technology listed in Annex IV shall be subject to an authorisation from the competent authority of the Member State concerned.
(a) the Iranian person, entity or body has committed itself to apply appropriate end-user guarantees as regards the goods or technology concerned;
(b) Iran has undertaken not to use the goods or technology concerned in proliferation-sensitive nuclear activities or for development of nuclear weapon delivery systems; and
(c) in those cases where the investment is made in an Iranian person, entity or body engaged in the manufacture of goods or technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by- case basis that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the devel­ opment of nuclear weapon development delivery systems.

Article 14

Article 11(2)(c) shall not apply to the granting of a financial loan or credit or to the acquisition or extension of a partici­ pation , if the following conditions are met:
(a) the transaction is required by an agreement or contract concluded before 26 July 2010; and
(b) the competent authority has been informed at least 20 working days in advance of that agreement or contract.
2. The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph
1, if they have reasonable grounds to determine that the action would contribute to one of the following activities:
It shall be prohibited:

Article 15

(a) Iran's enrichment-related, reprocessing or heavy water- related activities;
(b) the development of nuclear weapon delivery systems by
Iran; or
(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.

Article 13

By way of derogation from Article 11(2)(a), the competent authorities of the Member States, as identified on the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation to make an investment through transactions referred to in Article 11(1), if the following conditions are met:
(a) to accept or approve, by concluding an agreement or by any other means, that the granting of any finacial loan or credit, or the acquisition or extension of a participation, or the creation of any joint venture be made by one or more Iranian persons, entities or bodies, in an enterprise engaged in any of the following activities:
(i) uranium mining,
(ii) uranium enrichment and reprocessing of uranium;
(iii) the manufacture of goods or technology included in the Nuclear Suppliers Group and Missile Technology Control Regime lists.
(b) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a).

B 263

CHAPTER IV

Article 16

1. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VII shall be frozen. Annex VII shall include the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of UNSCR 1737 (2006), paragraph 7 of UNSCR 1803 (2008) or paragraph 11, 12 or 19 of UNSCR 1929 (2010).
2. All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII shall include the natural and legal persons, entities and bodies, not covered by Annex VII, who, in accordance with Article 20(1)(b) of Council Decision 2010/413/CFSP, have been identified as:
(a) being engaged in, directly associated with, or providing support for Iran's proliferation-sensitive nuclear activities or the development of nuclear weapon delivery systems by Iran, including through involvement in the procurement of prohibited goods and technology, or being owned or controlled by such a person, entity or body, including through illicit means, or acting on their behalf or at their direction;
(b) being a natural or legal person, entity or body that has assisted a listed person, entity or body to evade or violate the provisions of this Regulation, Council Decision 2010/413/CFSP or UNSCR 1737 (2006), UNSCR
1747 (2007), UNSCR 1803 (2008) and UNSCR 1929 (2010);
(c) being a senior member of the Islamic Revolutionary Guard Corps or a legal person, entity or body owned or controlled by the Islamic Revolutionary Guard Corps or by one of more of its senior members;
(d) being a legal person, entity or body owned or controlled by the Islamic Republic of Iran Shipping Lines (IRISL).
It shall be prohibited, pursuant to the obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL, to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States. That prohibition shall not prevent the execution of a contract concluded before the entry into force of this Regulation.
The obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL shall not require the impounding or detention of
vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.
3. No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes VII and VIII.
4. The participation, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to circumvent the measures referred to in paragraphs 1, 2 and 3 shall be prohibited.
5. Annexes VII and VIII shall include the grounds for listing of listed persons, entities and bodies, as provided by the Security Council or by the Sanctions Committee for Annex VII.
6. Annexes VII and VIII shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned, as provided by the Security Council or by the Sanctions Committee for Annex VII. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, adress, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of regis­ tration, registration number and place of business. Annex VII shall also include the date of designation by the Security Council or by the Sanctions Committee.

Article 17

By way of derogation from Article 16, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:
(a) the funds or economic resources are the subject of a judicial, administrative or arbitral lien established before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;
(b) the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;
(c) the lien or judgment is not for the benefit of a person, entity or body listed in Annex VII or VIII;

B 264 VERŻJONI ELETTRONIKA

(d) recognising the lien or judgment is not contrary to public policy in the Member State concerned; and
(e) where Article 16(1) applies, the Sanctions Committee has been notified by the Member State of the lien or judgment.

Article 18

By way of derogation from Article 16 and provided that a payment by a person, entity or body listed in Annex VII or VIII is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned, before the date on which that person, entity or body had been designated by the Sanctions Committee, the Security Council or by the Council, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, if the following conditions are met:
(a) the competent authority concerned has determined that:
(i) the funds or economic resources shall be used for a payment by a person, entity or body listed in Annex VII or VIII;
(ii) the contract, agreement or obligation will not contribute to the manufacture, sale, purchase, transfer, export, import, transport or use of goods and tech­ nology listed in Annexes I, II, III and VI; and
(iii) the payment is not in breach of Article 16(3);
(b) where Article 16(1) applies, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within ten working days of notification; and
(c) where Article 16(2) applies, the Member State concerned has, at least two weeks prior to the grant of the authori­ sation, notified the other Member States and the Commision of that determination and its intention to grant an auth­ orisation.

Article 19

1. By way of derogation from Article 16, the competent authorities of the Member States, as identified on the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, provided that the following conditions are met:
(a) the competent authority concerned has determined that the funds or economic resources are:
(i) necessary to satisfy the basic needs of persons listed in Annex VII or VIII, and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;
(ii) intended exclusively for payment of reasonable profes­ sional fees and reimbursement of incurred expenses associated with the provision of legal services; or
(iii) intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources; and
(b) where the authorisation concerns a person, entity or body listed in Annex VII, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within five working days of notification.
2. By way of derogation from Article 16, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses or for payment for or transfer of goods when procured for a light water reactor in Iran the construction of which has begun before December 2006, or for goods referred to in Article 6(b) and (c), provided that the following conditions are met:
(a) where the authorisation concerns a person, entity or body listed in Annex VII, the Sanctions Committee has been notified of that determination by the Member State concerned and the determination has been approved by that Committee; and
(b) where the authorisation concerns a person, entity or body listed in Annex VIII, the competent authority has notified the grounds on which it considers that a specific authori­ sation should be granted to the other competent authorities of the Member States and to the Commission at least two weeks before the authorisation.
3. The relevant Member State shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1 or 2.

B 265

Article 20

1. Article 16(3) shall not prevent financial or credit insti­ tutions from crediting frozen accounts where they receive funds transferred onto the account of a listed natural or legal person, entity or body, provided that any additions to such accounts shall also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.
2. Article 16(3) shall not apply to the addition to frozen accounts of:
(a) interest or other earnings on those accounts; or
(b) payments due under contracts, agreements or obligations that were concluded or arose before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or by the Council;
provided that any such interest or other earnings and payments are frozen in accordance with Article 16(1) or (2).
3. This Article shall not be construed as authorising transfers of funds referred to in Article 21.

CHAPTER V

Article 21

1. Transfer of funds to and from an Iranian person, entity or body shall be processed as follows:
(a) transfers due on transactions regarding foodstuffs, healthcare, medical equipment, or for humanitarian purposes shall be carried out without any prior authori­ sation. The transfer shall be notified in advance in writing to the competent authorities of the Member States, as identified on the websites listed in Annex V, if above EUR 10 000 or equivalents;
(b) any other transfer below EUR 40 000 shall be carried out without any prior authorisation. The transfer shall be notified in advance in writing to the competent authorities of the Member States, as identified on the websites listed in Annex V, if above EUR 10 000 or equivalent;
(c) any other transfer of or above EUR 40 000 or equivalent shall require a prior authorisation of the competent authorities of the Member States, as identified on the websites listed in Annex V.
2. These provisions shall apply regardless of whether the transfer of funds is executed in a single operation or in several operations which appear to be linked.
3. Notifications and requests for authorisation relating to the transfer of funds to an Iranian person, entity or body shall be addressed by or on behalf of the payment service provider of the payer as referred to in Article 1(r) to the competent authorities of the Member State where the initial order to execute the transfer is given.
Notifications and requests for authorisation relating to the transfer of funds from an Iranian person, entity or body shall be addressed by or on behalf of the payment service provider of the payee as referred to in Article 1(r) to the competent authorities of the Member State in which the payee is resident or the payment service provider is established.
If the payments service provider of the payer or the payee does not fall under the scope of Article 39, notifications and requests for authorisation shall be addressed by the payer or payee to the competent authorities of the Member State in which the payer or payee is resident.
4. For the purposes of paragraph 1(c), the competent authorities of the Member States, as identified on the websites listed in Annex V, shall grant, under such terms and conditions as they deem appropriate, an authorisation for a transfer of funds having a value of EUR 40 000 or more, unless they have reasonable grounds to determine that the transfer of funds for which the authorisation is requested, would contribute to one of the following activities:
(a) Iran's enrichment-related, reprocessing or heavy water- related activities;
(b) the development of nuclear weapon delivery systems by
Iran;
(c) the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding; or
(d) prohibited activities related to the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas as referred to in Articles 8, 9 and 11 by an Iranian person, entity or body.
A competent authority may charge a fee for the assessment of requests for authorisation.

B 266 VERŻJONI ELETTRONIKA

An authorisation shall be deemed granted if a competent authority has received a request in writing for authorisation and, within four weeks, the competent authority has not objected in writing to the transfer of funds. If the objection is raised because an investigation is pending, the competent authority shall state this and communicate its decision as soon as possible. The competent authorities shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement related information necessary for carrying out the investigation.
The Member State concerned shall inform the other Member States and the Commission when it rejects a request for authorisation.
5. This article shall not apply where an authorisation for a transfer has been granted in accordance with Articles 13, 17,
18, 19 or 20.

Article 22

1. Branches and subsidiaries, falling within the scope of Article 39, of credit and financial institutions domiciled in Iran shall notify the competent authority of the Member State where they are established, as identified on the website mentioned in Annex V, of all transfers of funds carried out or received by them, the names of the parties and the amount and the date of the transaction, within five working days after carrying out or receiving the transfer of funds concerned. If the information is available, the notification must specify the nature of the transaction and, where appro­ priate, the nature of the goods covered by the transaction and must, in particular, state whether the goods are covered by Annex I, II, III, IV or VI of this Regulation and, if their export is subject to authorisation, indicate the number of the licence granted.
2. Subject to and in accordance with the information-sharing arrangements, the other notified competent authorities shall without delay transmit that data, as necessary, in order to prevent any transaction that could contribute to proliferation- sensitive nuclear activities or to the development of nuclear weapons delivery systems, to the competent authorities of other Member States where the counterparts to such trans­ actions are established.

Article 23

1. Credit and financial institutions which fall within the scope of Article 39 shall, in their activities with credit and financial institutions referred to in paragraph 2, and in order to prevent such activities from contributing to proliferation- sensitive nuclear activities or to the development of nuclear weapon delivery systems:
(a) exercise continuous vigilance over account activity, particularly through their programmes on customer due diligence and under their obligations relating to money laundering and financing of terrorism;
(b) require that in payment instructions all information fields which relate to the originator and beneficiary of the trans­ action in question be completed and if that information is not supplied, refuse the transaction;
(c) maintain all records of transactions for a period of five years and make them available to national authorities on request;
(d) if they suspect or have reasonable grounds to suspect that funds are related to proliferation financing, promptly report their suspicions to the financial intelligence unit (FIU) or to another competent authority designated by the Member State concerned, as indicated on the websites listed in Annex V, without prejudice to Articles 5 and 16. The FIU or such other competent authority will serve as a national centre for receiving and analysing suspicious transaction reports regarding potential proliferation financing. The FIU or such other competent authority shall have access, directly or indirectly, on a timely basis to the financial, adminis­ trative and law enforcement information that it requires to properly undertake this function, including the analysis of suspicious transaction reports.
The above requirements for credit and financial institutions shall be complementary to existing obligations deriving from Regu­ lation (EC) No 1781/2006 and from the implementation of Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing (1).
2. The measures set out in paragraph 1 shall apply to credit and financial institutions in their activities with:
(a) credit and financial institutions domiciled in Iran, including the Central Bank of Iran;
(b) branches and subsidiaries, where they fall within the scope of Article 39, of credit and financial institutions domiciled in Iran;
(c) branches and subsidiaries, where they do not fall within the scope of Article 39, of credit and financial institutions domiciled in Iran;
(d) credit and financial institutions that are not domiciled in Iran but are controlled by persons and entities domiciled in Iran.

(1) OJ L 309, 25.11.2005, p. 15.

B 267

Article 24

1. It shall be prohibited for credit and financial institutions falling within the scope of Article 39 to do any of the following:
(d) to acquire or to extend a participation, or to acquire any other ownership interest, in a credit or financial institution falling within the scope of Article 39 by any credit or financial institution referred to in Article 23(2).
(a) to open a new bank account with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred
It shall be prohibited:

Article 25

to in Article 23(2);
(b) to establish a new correspondent banking relationship with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred to in Article 23(2),
(c) to open a new representative office in Iran or to establish a new branch or subsidiary in Iran;
(d) to establish a new joint venture with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred to in Article 23(2).
2. It shall be prohibited:
(a) to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any credit or financial insti­ tution referred to in Article 23(2);
(b) to conclude agreements for, or on behalf of, a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or for, or on behalf of, any credit or financial institution referred to in Article 23(2) pertaining to the opening of a representative office or the estab­ lishment of a branch or subsidiary in the Union;
(c) to grant an authorisation for taking up and pursuing the business of credit institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any credit or financial institution referred to in Article 23(2), if the representative office, branch or subsidiary was not operational before 26 July 2010.
(a) to sell or purchase public or public-guaranteed bonds issued after 26 July 2010, directly or indirectly, to or from any of the following:
(i) Iran or its Government, and its public bodies, corporations and agencies;
(ii) a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or any credit or financial institution referred to in Article 23(2);
(iii) a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii);
(iv) a legal person, entity or body owned or controlled by a person, entity or body referred to in (i), (ii) or (iii);
(b) to provide brokering services with regard to public or public-guaranteed bonds issued after 26 July 2010 to a person, entity or body referred to in point (a);
(c) to assist a person, entity or body referred to in point (a) in order to issue public or public-guaranteed bonds, by providing brokering services, advertising or any other service with regard to such bonds.

Article 26

1. It shall be prohibited:
(a) to provide insurance or re-insurance to:
(i) Iran or its Government, and its public bodies, corporations and agencies;
(ii) an Iranian person, entity or body other than a natural person; or
(iii) a natural person or a legal person, entity or body when acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii).

B 268 VERŻJONI ELETTRONIKA

(b) to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a).
2. Points (i) and (ii) of paragraph 1(a) shall not apply to the provision of compulsory or third party insurance to Iranian persons, entities or bodies based in the Union.
3. Point (iii) of paragraph 1(a) shall not apply to the provision of insurance, including health and travel insurance, to individuals acting in their private capacity, except for persons listed in Annexes VII and VIII, and re-insurance relating thereto.
Point (iii) of paragraph 1(a) shall not prevent the provision of insurance or re-insurance to the owner of a vessel, aircraft or vehicle chartered by a person, entity or body referred to in point (i) or (ii) of paragraph 1(a) and which is not listed in Annexes VII or VIII.
For the purpose of point (iii) of paragraph 1(a), a person, entity or body shall not be considered to act at the direction of a person, entity or body referred to in points (i) and (ii) of paragraph 1(a) where that direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarly in Iranian waters or airspace.
4. This Article prohibits the extension or renewal of insurance and re-insurance agreements concluded before the entry into force of this Regulation, but, without prejudice to Article 16(3), it does not prohibit compliance with agreements concluded before that date.

CHAPTER VI RESTRICTIONS ON TRANSPORT Article 27

1. To prevent the transfer of goods and technology which
are covered by the Common Military List or the supply, sale, transfer, export or import of which is prohibited by this Regu­ lation, all goods brought into or leaving the customs territory of the Union from or to Iran shall be made subject to pre-arrival or pre-departure information to be submitted to the competent customs authorities of the Member State concerned.
2. The rules governing the obligation to provide pre-arrival and pre-departure information, in particular regarding the person who provides that information, the time limits to be respected and the data required, shall be as determined in the relevant provisions concerning entry and exit summary declar­ ations as well as customs declarations in Regulation (EEC) No
2913/92 and in Regulation (EEC) No 2454/93.
3. Furthermore, the person who provides the information referred to in paragraph 2, shall declare whether the goods are covered by the Common Military List or by this Regulation and, where their export is subject to authorisation, specify the particulars of the export licence granted.
4. Until 31 December 2010 the entry and exit summary declarations and the required additional elements referred to in paragraph 3 may be submitted in written form using commercial, port or transport information, provided that they contain the necessary details.
5. As from 1 January 2011, the required additional elements referred to in this Article shall be submitted either in written form or using a customs declaration as appropriate.

Article 28

1. The provision by nationals of Member States or from the territories of Member States of bunkering or ship supply services, or any other servicing of vessels, to vessels owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 27, that provides reasonable grounds to believe that the vessels carry goods covered by the Common Military List or goods whose supply, sale, transfer or export is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian purposes.
2. The provision by nationals of Member States, or from the territories of Member States, of engineering and maintenance services to cargo aircraft owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited, where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 27, that provides reasonable grounds to believe that the cargo aircraft carry goods covered by the Common Military List or goods the supply, sale, transfer or export of which is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.
3. The prohibitions in paragraphs 1 and 2 shall apply until the cargo has been inspected and, if necessary, seized or disposed of, as the case may be.
Any seizure and disposal may, in accordance with national legislation or the decision of a competent authority, be carried out at the expense of the importer or be recovered from any other person or entity responsible for the attempted illicit supply, sale, transfer or export.

B 269

CHAPTER VII

Article 29

1. No claims in connection with any contract or transaction the performance of which would have been affected, directly or indirectly, in whole or in part, by the measures imposed under Regulation (EC) No 423/2007 or this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:
(a) designated persons, entities or bodies listed in Annexes VII
and VIII;
(b) any other Iranian person, entity or body, including the
Iranian government;
(c) any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) and (b).
2. The performance of a contract or transaction shall be regarded as having been affected by the measures imposed under Regulation (EC) No 423/2007 or by this Regulation where the existence or content of the claim results directly or indirectly from those measures.
3. In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.
4. This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with Regulation (EC) No
423/2007 or this Regulation.

Article 30

For the purposes of Articles 8 and 9, point (c) of Article 11(2), and Articles 21 and 26, any body, entity or holder of rights derived from an original award before the entry into force of this Regulation by a sovereign Government other than Iran, of a production sharing agreement shall not be considered an Iranian person, entity or body. In such cases and in relation to Article 8, the competent authority of the Member State may require appropriate end-user guarantees from any body or entity for any sale, supply, transfer or export of any key equipment or technology listed in Annex VI.

Article 31

1. Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:
(a) supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 16, to the competent authorities of the Member States, as indicated on the websites listed in Annex V, where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;
(b) cooperate with the competent authorities, as indicated on the websites listed in Annex V, in any verification of this information.
2. Any additional information received directly by the Commission shall be made available to the Member State concerned.
3. Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 32

1. The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.
2. The prohibitions set out in the present Regulation shall not give rise to liability of any kind on the part of the natural or legal persons or entities concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.
3. The disclosure in good faith, as provided for in Articles
21, 22 and 23, by an institution or by a person covered by this
Regulation or an employee or director of such an institution, of the information referred to in Articles 21, 22 and 23 shall not
give rise to liability of any kind on the part of the institution or person or its directors or employees.

Article 33

1. A Member State may take all action it deems necessary to ensure that relevant international, Union or national legal obli­ gations concerning the health and safety of workers and envi­ ronmental protection are respected where cooperation with an Iranian person, entity or body may be affected by the imple­ mentation of this Regulation.
2. For the purpose of action taken pursuant to paragraph 1, the prohibitions in Articles 8 and 9, point (c) of Article 11(2), and Articles 16(2), 21 and 26 shall not apply.

B 270 VERŻJONI ELETTRONIKA

3. Member States shall inform each other in advance of action pursuant to paragraph 1.

Article 34

The Commission and Member States shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violations and enforcement problems and judgments issued by national courts.
6. The list in Annex VIII shall be reviewed in regular intervals and at least every 12 months.

Article 37

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

Article 35

2. Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.
(a) amend Annex II on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee or on the basis of information supplied by Member States;
(b) amend Annex IV on the basis of information supplied by
Member States;
(c) amend Annex V on the basis of information supplied by
Member States.

Article 36

1. Where the Security Council or the Sanctions Committee lists a natural or legal person, entity or body, the Council shall include such natural or legal person, entity or body in Annex VII.
2. Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 16(2), it shall amend Annex VIII accordingly.
3. The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraphs 1 and 2, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.
4. Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.
5. Where the United Nations decides to delist a natural or legal person, entity or body, or to amend the identifying data of a listed natural or legal person, entity or body, the Council shall amend Annex VII accordingly.

Article 38

1. Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex V. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex V.
2. Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment.
3. Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communi­ cation shall be those indicated in Annex V.

Article 39

This Regulation shall apply:
(a) within the territory of the Union, including its airspace;
(b) on board any aircraft or any vessel under the jurisdiction of a Member State;
(c) to any person inside or outside the territory of the Union who is a national of a Member State;
(d) to any legal person, entity or body which is incorporated or constituted under the law of a Member State;
(e) to any legal person, entity or body in respect of any business done in whole or in part within the Union.

B 271

Article 40

Regulation (EC) No 423/2007 is hereby repealed. References to the repealed regulation shall be construed as references to this Regulation.

Article 41

This Regulation shall enter into force on the day 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 Luxembourg, 25 October 2010

For the Council The President C. ASHTON

B 272 VERŻJONI ELETTRONIKA

ANNEX I

PART A

This Annex comprises all goods and technology listed in Annex I to Regulation (EC) No 428/2009, as defined therein, except the following:

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

Description

5A001 Telecommunications systems, equipment, components and accessories as follows:

a. Any type of telecommunications equipment having any of the following characteristics, functions or features:

1. Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;

2. Specially hardened to withstand gamma, neutron or ion radiation; or

3. Specially designed to operate outside the temperature range from 218 K (– 55 °C) to

397 K (124 °C);

Note: 5A001.a.3. applies only to electronic equipment.

Note: 5A001.a.2. and 5A001.a.3. do not control equipment designed or modified for use on board satellites.

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

1. Being underwater untethered communications systems having any of the following:

a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;

b. Using an electromagnetic carrier frequency below 30 kHz;

c. Using electronic beam steering techniques; or

d. Using ‘lasers’ or light-emitting diodes (LEDs) with an output wavelength greater than

400 nm and less than 700 nm, in a ‘local area network’;

2. Being radio equipment operating in the 1,5 MHz to 87,5 MHz band and having all of the following:

a. Automatically predicting and selecting frequencies and ‘total digital transfer rates’ per channel to optimise the transmission; and

b. Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1,5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87,5 MHz, over an

‘instantaneous bandwidth’ of one octave or more and with an output harmonic and distortion content of better than – 80 dB;

3. Being radio equipment employing ‘spread spectrum’ techniques, including ‘frequency hopping’ techniques, other than those specified in 5A001.b.4. and having any of the following:

a. User programmable spreading codes; or

b. A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz;

Note: 5A001.b.3.b. does not control radio equipment specially designed for use with civil cellular radio-communications systems.

Note: 5A001.b.3 does not control equipment designed to operate at an output power of 1 W or less.

B 273

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

Description

4. Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having any of the following:

a. A bandwidth exceeding 500 MHz; or

b. A ‘fractional bandwidth’ of 20 % or more;

5. Being digitally controlled radio receivers having all of the following:

a. More than 1,000 channels;

b. A ‘frequency switching time’ of less than 1 ms;

c. Automatic searching or scanning of a part of the electromagnetic spectrum; and d. Identification of the received signals or the type of transmitter; or

Note: 5A001.b.5. does not control radio equipment specially designed for use with civil cellular radio-communications systems.

6. Employing functions of digital ‘signal processing’ to provide ‘voice coding’ output at rates of less than 2,400 bit/s:

Technical Notes:

1. For variable rate ‘voice coding’, 5A001.b.6. applies to the ‘voice coding’ output of continuous speech.

2. For the purposes of 5A001.b.6., ‘voice coding’ is defined as the technique to take samples of human voice and then convert these samples into a digital signal, taking into account specific characteristics of human speech.

c. Optical fibre communication cables, optical fibres and accessories, as follows:

1. Optical fibres of more than 500 m in length, and specified by the manufacturer as being capable of withstanding a ‘proof test’ tensile stress of 2 x 109 N/m2 or more;

Technical Note:

‘Proof Test’: on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0,5 to 3 m length of fibre at a running rate of 2 to 5 m/ s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20 °C) and relative humidity 40 %. Equivalent national standards may be used for executing the proof test.

2. Optical fibre cables and accessories, designed for underwater use;

Note: 5A001.c.2. does not control standard civil telecommunication cables and accessories.

N.B. 1: For underwater umbilical cables, and connectors therefor, see 8A002.a.3.

N.B. 2: For fibre-optic hull penetrators or connectors, see 8A002.c.

d. ‘Electronically steerable phased array antennae’ operating above 31,8 GHz;

B 274 VERŻJONI ELETTRONIKA

B 275

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

Description

Technical Notes:

1. Authentication and digital signature functions include their associated key management function.

2. Authentication includes all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorised access.

3. ‘Cryptography’ does not include ‘fixed’ data compression or coding techniques.

Note: 5A002.a.1. includes equipment designed or modified to use ‘cryptography’

employing analogue principles when implemented with digital techniques.

a. A ‘symmetric algorithm’ employing a key length in excess of 56 bits; or b. An ‘asymmetric algorithm’ where the security of the algorithm is based on

any of the following:

1. Factorisation of integers in excess of 512 bits (e.g., RSA);

2. Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or

3. Discrete logarithms in a group other than mentioned in 5A002.a.1.b.2. in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve);

2. Designed or modified to perform cryptanalytic functions;

3. Not used;

4. Specially designed or modified to reduce the compromising emanations of information- bearing signals beyond what is necessary for health, safety or electromagnetic inter­ ference standards;

5. Designed or modified to use cryptographic techniques to generate the spreading code for ‘spread spectrum’ systems, other than those specified in 5A002.a.6., including the hopping code for ‘frequency hopping’ systems;

6. Designed or modified to use cryptographic techniques to generate channelising codes, scrambling codes or network identification codes, for systems using ultra-wideband modulation techniques and having any of the following:

a. A bandwidth exceeding 500 MHz; or

b. A ‘fractional bandwidth’ of 20 % or more;

7. Non-cryptographic information and communications technology (ICT) security systems and devices evaluated to an assurance level exceeding class EAL-6 (evaluation assurance level) of the Common Criteria (CC) or equivalent;

8. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion;

9. Designed or modified to use ‘quantum cryptography’.

Technical Note:

‘Quantum cryptography’ is also known as Quantum Key Distribution (QKD).

Note: 5A002 does not control any of the following:

a. ‘Personalised smart cards’ having any of the following:

1. Where the cryptographic capability is restricted for use in equipment or systems excluded from control under entries b. to g. of this Note; or

B 276 VERŻJONI ELETTRONIKA

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

Description

2. For general public-use applications where the cryptographic capability is not user- accessible and it is specially designed and limited to allow protection of personal data stored within;

N.B. If a ‘personalised smart card’ has multiple functions, the control status of each function is assessed individually.

b. Receiving equipment for radio broadcast, pay television or similar restricted audience broadcast of the consumer type, without digital encryption except that exclusively used for sending the billing or programme-related information back to the broadcast providers;

c. Equipment where the cryptographic capability is not user-accessible and which is specially designed and limited to allow any of the following:

1. Execution of copy-protected ‘software’;

2. Access to any of the following:

a. Copy-protected contents stored on read-only media; or

b. Information stored in encrypted form on media (e.g., in connection with the protection of intellectual property rights) when the media is offered for sale in identical sets to the public;

3. Copying control of copyright protected audio/video data; or

4. Encryption and/or decryption for protection of libraries, design attributes, or associated data for the design of semiconductor devices or integrated circuits;

d. Cryptographic equipment specially designed and limited for banking use or ‘money transactions’;

Technical Note:

‘Money transactions’ in 5A002 Note d. includes the collection and settlement of fares or credit functions.

e. Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g., Radio Network Controller (RNC) or Base Station Controller (BSC));

f. Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home base station) is less than 400 metres according to the manufacturer's specifications; or

g. Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti-piracy functions, which may be non-published) and also meet the provisions of paragraphs b. to d. of the Cryptography Note (Note 3 in Category 5 - Part 2), that have been customised for a specific civil industry application with features that do not affect the cryptographic functionality of these original non-customised devices;

h. Equipment specially designed for the servicing of portable or mobile radiotelephones and similar client wireless devices that meet all the provisions of the Cryptography Note (Note 3 in Category 5, Part 2), where the servicing equipment meets all of the following:

1. The cryptographic functionality of the servicing equipment cannot easily be changed by the user of the equipment;

B 277

B 278 VERŻJONI ELETTRONIKA

B 279

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

Description

5E001 ‘Technology’ as follows:

a. ‘Technology’ according to the General Technology Note for the ‘development’, ‘production’

or ‘use’ (excluding operation) of equipment, functions or features specified in 5A001 or

‘software’ specified in 5D001.a.;

b. Specific ‘technology’ as follows:

1. ‘Required’ ‘technology’ for the ‘development’ or ‘production’ of telecommunications equipment specially designed to be used on board satellites;

2. ‘Technology’ for the ‘development’ or ‘use’ of ‘laser’ communication techniques with the capability of automatically acquiring and tracking signals and maintaining communi­ cations through exoatmosphere or sub-surface (water) media;

3. ‘Technology’ for the ‘development’ of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi- mode, multi-coding algorithm or multi-protocol operation can be modified by changes in ‘software’;

4. ‘Technology’ for the ‘development’ of ‘spread spectrum’ techniques, including ‘frequency hopping’ techniques;

c. ‘Technology’ according to the General Technology Note for the ‘development’ or

‘production’ of any of the following:

1. Equipment employing digital techniques designed to operate at a ‘total digital transfer rate’ exceeding 15 Gbit/s;

Technical Note:

For switching equipment the ‘total digital transfer rate’ is measured at the highest speed port or line.

2. Equipment employing a ‘laser’ and having any of the following:

a. A transmission wavelength exceeding 1,750 nm;

b. Performing ‘optical amplification’ using Praseodymium-Doped Fluoride Fibre

Amplifiers (PDFFA);

c. Employing coherent optical transmission or coherent optical detection techniques

(also called optical heterodyne or homodyne techniques);

d. Employing wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing; or

e. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz;

Note: 5E001.c.2.e. does not control ‘technology’ for the ‘development’ or

‘production’ of commercial TV systems.

N.B.: For ‘technology’ for the ‘development’ or ‘production’ of non-telecommuni­

cations equipment employing a laser, see 6E.

3. Equipment employing ‘optical switching’;

4. Radio equipment having any of the following:

a. Quadrature-Amplitude-Modulation (QAM) techniques above level 256;

b. Operating at input or output frequencies exceeding 31,8 GHz; or

Note: 5E001.c.4.b. does not control ‘technology’ for the ‘development’ or

B 280 VERŻJONI ELETTRONIKA

B 281

PART B

Article 6 applies to the following goods:

B 282 VERŻJONI ELETTRONIKA

ANNEX II

INTRODUCTORY NOTES

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

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

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

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

GENERAL NOTES

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

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

2. The goods specified in this Annex include both new and used goods.

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with Section II.B.)

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

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

3. Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, main­ tenance (checking) and repair of those goods which are not prohibited or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or this Regulation.

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

II.A. GOODS

A0. Nuclear Materials, Facilities, and Equipment

B 283

A1. Materials, chemicals, ‘microorganisms’ and ‘toxins’

B 284 VERŻJONI ELETTRONIKA

B 285

B 286 VERŻJONI ELETTRONIKA

A2. Materials Processing

B 287

B 288 VERŻJONI ELETTRONIKA

A3. Electronics

A6. Sensors and Lasers

B 289

B 290 VERŻJONI ELETTRONIKA

A7. Navigation and Avionics

B 291

B 292 VERŻJONI ELETTRONIKA

A9. Aerospace and Propulsion

II.B. TECHNOLOGY

ANNEX III

B 293

1. Fire-arms, ammunition and related accessories therefor, as follows:

1.1 Firearms not controlled by ML 1 and ML 2 of the Common Military List of the European Union (‘Common

Military List’) (1);

1.2 Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor;

1.3 Weapon-sights not controlled by the Common Military List.

2. Bombs and grenades not controlled by the Common Military List.

3. Vehicles as follows:

3.1 Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

3.2 Vehicles specially designed or modified to be electrified to repel borders;

3.3 Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

3.4 Vehicles specially designed for the transport or transfer of prisoners and/or detainees;

3.5 Vehicles specially designed to deploy mobile barriers;

3.6 Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.

Note 1 This item does not control vehicles specially designed for the purposes of fire-fighting.

Note 2 For the purposes of item 3.5 the term ‘vehicles’ includes trailers.

4. Explosive substances and related equipment as follows:

4.1 Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of fire sprinkler actuators);

4.2 Linear cutting explosive charges not controlled by the Common Military List;

4.3 Other explosives not controlled by the Common Military List and related substances as follows:

a. amatol;

b. nitrocellulose (containing more than 12,5 % nitrogen);

c. nitroglycol;

d. pentaerythritol tetranitrate (PETN);

e. picryl chloride;

f. 2,4,6-trinitrotoluene (TNT).

(1) OJ L 88, 29.3.2007, p. 58.

B 294 VERŻJONI ELETTRONIKA

5. Protective equipment not controlled by ML 13 of the Common Military List as follows:

5.1 Body armour providing ballistic and/or stabbing protection;

5.2 Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

Note: This item does not control:

— equipment specially designed for sports activities;

— equipment specially designed for safety of work requirements.

6. Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor.

7. Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common

Military List.

8. Razor barbed wire.

9. Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.

10. Production equipment specially designed for the items specified in this list.

11. Specific technology for the development, production or use of the items specified in this list.

ANNEX IV

INTRODUCTORY NOTES

B 295

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

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

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

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

GENERAL NOTES

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

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

2. The goods specified in this Annex include both new and used goods.

GENERAL TECHNOLOGY NOTE (GTN) (To be read in conjunction with Section IV.B)

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

2. The ‘technology’ ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods under control remains under control even when it is applicable to non-controlled goods.

3. Controls do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, main­ tenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or This Regulation.

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

B 296 VERŻJONI ELETTRONIKA

B 297

B 298 VERŻJONI ELETTRONIKA

ANNEX V

B 299

BELGIUM

http://www.diplomatie.be/eusanctions

BULGARIA

http://www.mfa.government.bg

CZECH REPUBLIC

http://www.mfcr.cz/mezinarodnisankce

DENMARK

http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/

GERMANY

http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html

ESTONIA

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

IRELAND

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

GREECE

http://www.ypex.gov.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/International+Sanctions/

SPAIN

http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx

FRANCE

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

ITALY

http://www.esteri.it/UE/deroghe.html

CYPRUS

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

LATVIA

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

LITHUANIA

http://www.urm.lt

LUXEMBOURG

http://www.mae.lu/sanctions

HUNGARY

http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/

B 300 VERŻJONI ELETTRONIKA

MALTA

http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp

NETHERLANDS

http://www.minbuza.nl/sancties

AUSTRIA

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

POLAND

http://www.msz.gov.pl

PORTUGAL

http://www.min-nestrangeiros.pt

ROMANIA

http://www.mae.ro/index.php?unde=doc&id=32311&idlnk=1&cat=3

SLOVENIA

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

SLOVAKIA

http://www.foreign.gov.sk

FINLAND

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

SWEDEN

http://www.ud.se/sanktioner

UNITED KINGDOM

www.fco.gov.uk/competentauthorities

European Commission

DG External Relations

Directorate A Crisis Platform — Policy Coordination in Common Foreign and Security Policy (CFSP) Unit A.2. Crisis Response and Peace Building

CHAR 12/106

B-1049 Bruxelles/Brussel (Belgium)

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

Tel.: (32-2) 295 55 85

Fax: (32-2) 299 08 73

ANNEX VI

GENERAL NOTES

B 301

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

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

2. The goods specified in this Annex include both new and used goods.

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

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

GENERAL TECHNOLOGY NOTE (GTN)

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

2. Prohibitions do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, main­ tenance (checking) and repair of those goods which are not prohibited or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or this Regulation.

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

EXPLORATION AND PRODUCTION OF CRUDE OIL AND NATURAL GAS

1. Geophysical survey equipment, vehicles, vessels and aircraft specially designed or adapted to acquire data for oil and gas exploration and specially designed components therefor.

2. Sensors specially designed for downhole well operations in oil and gas wells, including sensors used for measurement whilst drilling and the associated equipment specially designed to acquire and store data from such sensors.

3. Drilling equipment designed to drill rock formations, specifically for the purpose of exploring for, or producing oil, gas and other naturally occurring, hydrocarbon materials.

4. Drill bits, drill pipes, drill collars, centralisers and other equipment, specially designed for use in and with oil and gas well drilling equipment.

5. Drilling wellheads, ‘blowout preventers’ and ‘Christmas or production trees’ and the specially designed components thereof, meeting the ‘API and ISO specifications’ for use with oil and gas wells.

Technical Notes:

a. A ‘blowout preventer’ is a device typically used at ground level (or if drilling underwater, at the seabed) during drilling to prevent the uncontrolled escape of oil and/or gas from the well.

b. A ‘Christmas tree or production tree’ is a device typically used to control flow of fluids from the well when it is complete and oil and/or gas production has started.

B 302 VERŻJONI ELETTRONIKA

c. For the purpose of this item, ‘API and ISO specifications’refers to the American Petroleum Institute specifications 6A, 16A,

17D and 11IW and/or the International Standards Organisation specifications 10423 and 13533 for blowout preventers, wellhead and Christmas trees for use on oil and/or gas wells.

6. Drilling and production platforms for crude oil and natural gas.

7. Vessels and barges incorporating drilling and/or petroleum processing equipment used for producing oil, gas and other naturally occurring flammable materials.

8. Liquid/gas separators meeting API specification 12J, specially designed to process the production from an oil or gas well, to separate the petroleum liquids from any water and any gas from the liquids.

9. Gas compressor with a design pressure of 40 bar (PN 40 and/or ANSI 300) or more and having a suction volume capacity of 300 000 Nm3/h or more, for the initial processing and transmission of natural gas, excluded gas compressors for CNG (Compressed Natural Gas) filling stations, and specially designed components therefor.

10. Subsea production control equipment and the components thereof meeting ‘API and ISO specifications’ for use with oil and gas wells.

Technical Note:

For the purposes of this entry, ‘API and ISO specifications’ refers to the American Petroleum Institute specification 17 F and/or the International Standards Organisation specification 13268 for subsea production control systems.

11. Pumps, typically high capacity and/or high pressure (in excess of 0.3 m3 per minute and/or 40 bar), specially designed to pump drilling muds and/or cement into oil and gas wells.

1. Equipment specially designed for sampling, testing and analysing the properties of drilling mud, oil well cements and other materials specially designed and/or formulated for use in oil and gas wells.

2. Equipment specially designed for sampling, testing and analysing the properties of rock samples, liquid and gaseous samples and other materials taken from an oil and/or gas well either during or after drilling, or from the initial processing facilities attached thereto.

3. Equipment specially designed for collecting and interpreting information about the physical and mechanical condition of an oil and/or gas well, and for determining the in situ properties of the rock and reservoir formation.

1. Drilling mud, drilling mud additives and the components thereof, specially formulated to stabilise oil and gas wells during drilling, to recover drill cuttings to the surface and to lubricate and cool the drilling equipment in the well.

2. Cements and other materials meeting the ‘API and ISO specifications’ for use in oil and gas wells.

Technical Note:

‘API and ISO specification’ refers to the American Petroleum Institute specification 10A or the International Standards Organi­ sation specification 10426 for oil well cements and other materials specially formulated for use in the cementing of oil and gas wells.

3. Corrosion inhibiting, emulsion treatment, defoaming agents and other chemicals specially formulated to be used in the drilling for, and the initial processing of, petroleum produced from an oil and/or gas well.

1. ‘Software’ specially designed to collect and interpret data acquired from seismic, electromagnetic, magnetic or gravity surveys for the purpose of establishing oil or gas prospectivity.

B 303

2. ‘Software’ specially designed for storing, analysing and interpreting information acquired during drilling and production to assess the physical characteristics and behaviour of oil or gas reservoirs.

3. ‘Software’ specially designed for the ‘use’ of petroleum production and processing facilities or specific sub-units of such facilities.

1. ‘Technology’ ‘required’ for the ‘development’, ‘production’ and ‘use’ of equipment specified in 1.A.01 – 1.A.11.

REFINING OF CRUDE OIL AND LIQUEFACTION OF NATURAL GAS

1. Heat exchangers as follows and specially designed components therefor:

a. Plate-fin heat exchangers with a surface/volume ratio greater than 500 m2/m3, specially designed for pre-cooling of natural gas;

b. Coil-wound heat exchangers specially designed for liquefaction or sub-cooling of natural gas.

2. Cryogenic pumps for the transport of media at a temperature – 120 °C having a transport capacity of more than

500 m3/h and specially designed components therefor.

3. ‘Coldbox’ and ‘coldbox’ equipment not specified by 2.A.1.

Technical Note:

‘Coldbox’ equipment’ refers to a specially designed construction, which is specific for LNG plants and incorporates the process stage of liquefaction. The ‘coldbox’ comprises heat exchangers, piping, other instrumentation and thermal insulators. The temperature inside the ‘coldbox’ is below – 120 °C (conditions for condensation of natural gas). The function of the ‘coldbox’ is the thermal insulation of the above described equipment.

4. Equipment for shipping terminals of liquefied gases having a temperature below – 120 °C and specially designed components therefor.

5. Flexible and non-flexible transfer line having a diameter greater than 50 mm for the transport of media below – 120 °C.

6. Maritime vessels specially designed for the transport of LNG.

7. Electrostatic desalters specially designed to remove contaminants such as salts, solids and water from crude oil and specially designed components therefor.

8. All crackers, including hydrocrackers, and cokers, specially designed for conversion of vacuum gas oils or vacuum residuum, and specially designed components therefor.

9. Hydrotreaters specially designed for desulphurisation of gasoline, diesel cuts and kerosene and specially designed components therefor.

10. Catalytic reformers specially designed for conversion of desulphurised gasoline into high-octane gasoline, and specially designed components therefor.

11. Refinery units for C5-C6 cuts isomerisation, and refinery units for alkylation of light olefins, to improve the octane index of the hydrocarbon cuts.

12. Pumps specially designed for the transport of crude oil and fuels, having a capacity of 50 m3/h or more and specially designed components therefor.

B 304 VERŻJONI ELETTRONIKA

13. Tubes with an outer diameter of 0,2 m or more and made from any of the following materials:

a. Stainless steels with 23 % chromium or more by weight;

b. Stainless steels and nickel bases alloys with a ‘Pitting resistance equivalent’ number higher than 33.

Technical Note:

‘Pitting resistance equivalent’ (PRE) number characterises the corrosion resistance of stainless steels and nickel alloys to pitting or crevice corrosion. The pitting resistance of stainless steels and nickel alloys is primarily determined by their compositions, primarily: chromium, molybdenum, and nitrogen. The formula to calculate the PRE number is: PRE = Cr + 3,3 % Mo + 30 % N

14. ‘Pigs’ (Pipeline Inspection Gauge(s)) and specially designed components therefor

Technical Note:

‘Pig’ is a device typically used for cleaning or inspection of a pipeline from inside (corrosion state or crack formation) and is propelled by the pressure of the product in the pipeline.

15. Pig launchers and pig catchers for the integration or removing of pigs.

16. Tanks for the storage of crude oil and fuels with a volume greater than 1 000 m3 (1 000 000 litres) as follows, and specially designed components therefor:

a. fixed roof tanks;

b. floating roof tanks.

17. Subsea flexible pipes specially designed for the transportation of hydrocarbons and injection fluids, water or gas, having a diameter greater than 50 mm.

18. Flexible pipes used for high pressure for topside and subsea application.

19. Isomeration equipment specially designed for production of high-octane gasoline based on light hydrocarbons as feed, and specially designed components therefor.

1. Equipment specially designed for testing and analysing of quality (properties) of crude oil and fuels.

2. Interface control systems specially designed for controlling and optimising of the desalting process.

1. Diethyleneglycol (CAS 111-46-6), Triethylene glycol (CAS 112-27-6)

2. N-Methylpyrrolidon (CAS 872-50-4), Sulfolane (CAS 126-33-0)

3. Zeolites, of natural or synthetic origin, specially designed for fluid catalytic cracking or for the purification and/or dehydration of gases, including natural gases.

4. Catalysts for the cracking and conversion of hydrocarbons as follows:

a. Single metal (platinum group) on alumina type or on zeolite, specially designed for catalytic reforming process;

b. Mixed metal species (platinum in combination with other noble metals) on alumina type or on zeolite, specially designed for catalytic reforming process;

B 305

c. Cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, specially designed for catalytic desulphurisation process;

d. Palladium, nickel, chromium and tungsten catalysts on alumina type or on zeolite, specially designed for catalytic hydrocracking process.

5. Gasoline additives specially formulated for increasing the octane number of gasoline.

Note:

This entry includes Ethyl tertiary butyl ether(ETBE) (CAS 637-92-3) and Methyl tertiary butyl ether (MTBE) CAS 1634-04-4).

1. ‘Software’ specially designed for the ‘use’ of LNG plants or specific sub-units of such plants.

2. ‘Software’ specially designed for the ‘development’, ‘production’ or ‘use’ of plants (including their sub-units) for oil refining.

1. ‘Technology’ for the conditioning and purification of raw natural gas (dehydration, sweetening, removal of impurities).

2. ‘Technology’ for the liquefaction of natural gas, including ‘technology’ required for the ‘development’, ‘production’ or

‘use’ of LNG plants.

3. ‘Technology’ for the shipment of liquefied natural gas.

4. ‘Technology’ ‘required’ for the ‘development’, ‘production’ or ‘use’ of maritime vessels specially designed for the transport of liquefied natural gas.

5. ‘Technology’ for storage of crude oil and fuels.

6. ‘Technology’ ‘required’ for the ‘development’, ‘production’ or ‘use’ of a refinery plant, such as:

6.1. ‘Technology’ for conversion of light olefin to gasoline;

6.2. Catalytic reforming and isomerisation technology;

6.3. Catalytic and thermal cracking technology.

B 306 VERŻJONI ELETTRONIKA

ANNEX VII

A. Legal persons, entities and bodies

B 307

B 308 VERŻJONI ELETTRONIKA

B 309

B 310 VERŻJONI ELETTRONIKA

B 311

B 312 VERŻJONI ELETTRONIKA

B 313

B 314 VERŻJONI ELETTRONIKA

B. Natural persons

B 315

B 316 VERŻJONI ELETTRONIKA

B 317

B 318 VERŻJONI ELETTRONIKA

B 319

ANNEX VIII

A. Natural persons

B 320 VERŻJONI ELETTRONIKA

B 321

B. Legal persons, entities and bodies

B 322 VERŻJONI ELETTRONIKA

B 323

B 324 VERŻJONI ELETTRONIKA

B 325

B 326 VERŻJONI ELETTRONIKA

B 327

B 328 VERŻJONI ELETTRONIKA

B 329

B 330 VERŻJONI ELETTRONIKA

B 331