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Document 32023R1214

Council Regulation (EU) 2023/1214 of 23 June 2023 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine

ST/8769/2023/INIT

OJ L 159I, 23.6.2023, p. 1–329 (BG, ES, CS, DA, DE, ET, EL, EN, FR, GA, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)

Legal status of the document In force

ELI: http://data.europa.eu/eli/reg/2023/1214/oj

23.6.2023   

EN

Official Journal of the European Union

LI 159/1


COUNCIL REGULATION (EU) 2023/1214

of 23 June 2023

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

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to Council Decision (CFSP) 2023/1217 of 23 June 2023 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (1),

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

Whereas:

(1)

On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 (2), concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine.

(2)

Regulation (EU) No 833/2014 gives effect to certain measures provided for in Council Decision 2014/512/CFSP (3).

(3)

On 23 June 2023, the Council adopted Decision (CFSP) 2023/1217, amending Decision 2014/512/CFSP.

(4)

Activities whose object or effect is to circumvent the prohibitions laid down in Regulation (EU) No 833/2014 undermine the purpose and effectiveness of the Union’s restrictive measures.

(5)

In order to minimise the risk of circumvention of the restrictive measures, Decision (CFSP) 2023/1217 prohibits the transit via the territory of Russia of goods and technology which might contribute to Russia’s military and technological enhancement or to the development of its defence and security sector, goods and technology suited for use in aviation or space industry and jet fuel and fuel additives, exported from the Union.

(6)

The Union and third countries, as members of the international community, defend the principles of international law enshrined in the Charter of the United Nations and uphold the territorial integrity, sovereignty and independence of Ukraine.

(7)

The Union recognises the efforts made by national authorities in many third countries to stem the flow of goods, technology and services that are covered by the restrictive measures adopted by the Union in response to Russia’s war of aggression against Ukraine. The Union should further support third countries in that endeavour with all available means.

(8)

In order to address the circumvention of the Union’s restrictive measures through third country jurisdictions, the Union should rapidly strengthen bilateral and multilateral cooperation through diplomatic engagement with, and the provision of increased technical assistance to, the third countries in question. In order to develop, together with Member States, a fully coordinated approach to that effect, the Commission will brief the Council on a regular basis.

(9)

Further action should be taken rapidly in cases where the Union’s efforts in the framework of bilateral or multilateral cooperation do not yield the intended result of preventing circumvention of the restrictive measures adopted by the Union in response to Russia’s war of aggression against Ukraine by persons or entities in third countries. Such action should be targeted, proportionate and solely aimed at depriving Russia of the resources which allow it to pursue its war of aggression against Ukraine.

(10)

The Union should adopt the appropriate individual measures addressing the involvement of third-country operators in facilitating circumvention. Such measures may include individual designations under Council Regulation (EU) No 269/2014 (4) or other measures under Regulation (EU) No 833/2014, such as adding entities to Annex IV to Regulation (EU) No 833/2014, including on the basis of information and suggestions received from Member States.

(11)

The Union will re-engage in a constructive dialogue with the third country in question following the adoption of such individual measures, with a view to ensuring that remedial measures are put in place to deter other operators from engaging in similar conduct. The Council will be informed about that re-engagement and its outcome.

(12)

Where, following the adoption of individual measures and further engagement with the third country, it is manifest, given the volume, type or systemic nature of the ongoing circumvention, that those steps are insufficient or inadequate to prevent such circumvention in or via the third country concerned, the Union should be able to take further measures.

(13)

To that effect, Decision (CSFP) 2023/1217 has introduced the possibility to take exceptional, last-resort measures restricting the sale, supply, transfer or export of sensitive dual-use goods and technology, or goods and technology that might contribute to the enhancement of Russia’s military, technological or industrial capacities or to the development of Russia’s defence and security sector, in a way that strengthens its ability to wage war, and whose export to Russia is prohibited under Regulation (EU) No 833/2014 to third countries whose jurisdiction is demonstrated to be at a continuing and particularly high risk of being used for circumvention.

(14)

Before a proposal is submitted to the Council to proceed to those last-resort measures, the High Representative of the Union for Foreign Affairs and Security Policy and the Commission will brief the Council on the technical details, on the outreach actions taken and on enforcement measures.

(15)

Decisions to include a third country and targeted goods or technology in the scope of that measure should be based on the inclusion by the Council, acting unanimously, of the relevant country and goods or technology in Annex XIV to Decision 2014/512/CFSP.

(16)

When deciding whether to include targeted goods and technology and the third countries concerned by that last-resort measure, based on that proposal, the Council should take into account a thorough technical analysis by the Commission on the circumvention issues in question, including available trade data demonstrating that the alternative measures taken have been ineffective, as well as information about the efforts carried out by the Union to address the matter with the third country in question, and a clear indication that such efforts were not successful.

(17)

Before including a third country on the list of countries concerned by that measure, the Union should inform and actively seek the views of the government of that third country on the basis of the preliminary findings set out in the technical analysis by the Commission and the Union’s intended remedial action. The Council will be informed of all steps of the engagement and of the outcome. The Council will only adopt such a decision after the final outreach to that third country has been concluded.

(18)

The Council should review the content of Annex XXXIII to Regulation (EU) No 833/2014 at regular intervals, on the basis of thorough technical information by the Commission. Such review needs to take into account the objectives of the measure and the result of the continuous engagement with the third countries concerned, including measures proposed by the third countries on how to address circumvention.

(19)

Decision (CFSP) 2023/1217 adds 87 new entities to the list of legal persons, entities and bodies set out in Annex IV to Decision 2014/512/CFSP, namely the list of entities directly supporting Russia’s military and industrial complex in its war of aggression against Ukraine, on which tighter export restrictions regarding dual-use goods and technology, as well as goods and technology which might contribute to the technological enhancement of Russia’s defence and security sector, are imposed. In particular, taking into account the direct connection between Iranian manufacturers of military Unmanned Aerial Vehicles and Russia’s military and industrial complex, four additional entities in third countries involved in the manufacturing of Unmanned Aerial Vehicles and their provision to Russia should be added to that list. In addition, in view of the key enabling role of electronic components for use by Russia’s military and industrial complex in supporting the war of aggression against Ukraine, it is also appropriate to include on that list certain other entities in third countries involved in the circumvention of trade restrictions as well as certain Russian entities involved in the development, production and supply of electronic components for Russia’s military and industrial complex.

(20)

Decision (CFSP) 2023/1217 expands the list of items which contribute to Russia’s military and technological enhancement or to the development of its defence and security sector by adding items which have been used by Russia for its war of aggression against Ukraine and items which contribute to the development or production of its military systems, including electronic components, semiconductor materials, manufacturing and testing equipment for electronic integrated circuits and printed circuit boards, precursors to energetic materials and precursors to chemical weapons, optical components, navigational instruments, metals used in the defence sector and marine equipment. Decision (CFSP) 2023/1217 also extends the list of restricted firearms, their parts, essential components and ammunition, and adds other types of arms.

(21)

Decision (CFSP) 2023/1217 imposes further restrictions on exports of goods which could contribute to the enhancement of Russian industrial capacities.

(22)

Decision (CFSP) 2023/1217 prohibits the sale, license or transfer in any other way of intellectual property rights or trade secrets, as well as the granting of rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets, related to the goods and technology whose sale, supply, transfer or export, to a person, entity or body in Russia or for use in Russia is prohibited.

(23)

Decision (CFSP) 2023/1217 also extends the suspension of the broadcasting licences in the Union of five Russian media outlets under the permanent control of the Russian leadership, and the prohibition against broadcasting their content.

(24)

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

(25)

In order to justify and support its war of aggression against Ukraine, Russia has engaged in continuous and concerted propaganda actions targeted at civil society in the Union and neighbouring countries, gravely distorting and manipulating facts.

(26)

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

(27)

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

(28)

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

(29)

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

(30)

Decision (CFSP) 2023/1217 extends the prohibition on the transport of goods by road in the Union by trailers and semi-trailers registered in Russia, including when hauled by trucks registered outside of Russia.

(31)

Attempts to circumvent Union restrictive measures have resulted in a sharp increase of deceptive practices by vessels transporting Russian crude oil and petroleum products. Consequently, Decision (CFSP) 2023/1217 prohibits access to ports and locks in the territory of the Union by vessels engaged in ship-to-ship transfers where the competent authorities have reasonable cause to suspect that a vessel is in breach of the ban on importing seaborne Russian crude oil and petroleum products into the Union or is transporting Russian crude oil or petroleum products purchased above the price cap agreed by the Price Cap Coalition. That prohibition applies to all vessels, irrespective of their flag of registration, and to any ship-to-ship transfers carried out at any point during the voyage to a Member State’s ports or locks. In any event, vessels will be prohibited from accessing ports and locks in the territory of the Union if they do not notify the competent authority at least 48 hours in advance about a ship-to-ship transfer occurring within specific geographical areas. In addition, that prohibition will further reinforce the measures adopted by Member States to protect their coasts from potential environmental accidents caused by such ship-to-ship transfers.

(32)

Decision (CFSP) 2023/1217 also prohibits access to ports and locks in the territory of the Union by vessels which competent authorities have reasonable cause to suspect of illegally interfering with, switching off or otherwise disabling their shipborne automatic identification systems (AIS) when transporting Russian crude oil and petroleum products in breach of SOLAS Regulation V/19, point 2.4. That prohibition does not apply in circumstances where the shipborne AIS can be legitimately turned off in accordance with international agreements, rules or standards that provide for the protection of navigational information, such as navigation through high-security-risk waters. That prohibition also applies to all vessels, irrespective of their flag of registration, and for any illegal interference with the navigation system at any point during the voyage to a Member State’s ports or locks.

(33)

The assessment by the competent authorities in the context of those port access prohibitions should be made on the basis of a risk analysis allowing the competent authority to evaluate whether there are sufficient factual circumstances to suspect a breach. For instance, that risk analysis should take into account whether vessels have complied with any prenotification requirements of ship-to-ship transfers and other relevant legal obligations or have notified the transport of dangerous goods or polluting goods, namely crude oil and petroleum products (5). The Commission should also publish notices of behaviour at risk of maritime sanctions in order to support the competent authorities’ risk analysis including by making use of the appropriate information technology tools.

(34)

The Commission, with the assistance of the European Maritime Safety Agency (EMSA), should support the competent authorities through, inter alia, the monitoring and notification of suspicious ship-to-ship transfers and incidents of illegally interfering with, switching off or otherwise disabling of the shipborne AIS, and facilitating the exchange of information based on the Union Maritime Information and Exchange System (‘SafeSeaNet’), which enables the receipt, storage, retrieval and exchange of information for the purpose of maritime safety, port and maritime security, marine environment protection and the efficiency of maritime traffic and maritime transport. National competent authorities within the meaning of Commission Directive 2014/100/EU (6) should provide their port authorities, if different, with access to that system without delay. Using SafeSeaNet, the Commission, with the assistance of EMSA, should support national competent authorities to monitor any vessels of interest, in particular those navigating within the 200 nautical miles limit from Member States’ coastlines, with all means available.

(35)

In order to mitigate forum shopping, competent authorities in a Member State which deny access to a vessel should immediately exchange information on such denial with the other competent authorities of the Member States via the existing platforms at their disposal. The Commission should work closely with EMSA to immediately facilitate any technical adjustments to SafeSeaNet based on the competent authorities’ notifications.

(36)

Prohibitions relating to port access apply to any vessel, whether it is moored at a port or at anchorage within the jurisdiction of a port of a Member State. In the case of the Gulf of Finland, those prohibitions relate to any vessel, whether it is moored at a port or at anchorage that is located in the territorial waters or internal waters of a Member State.

(37)

Appropriate exemptions and derogations are provided for to allow such vessels access to ports and locks in the territory of the Union for maritime safety, including environmental concerns, for saving life at sea and for humanitarian purposes.

(38)

Council Decision (CFSP) 2022/884 (7) and Council Regulation (EU) 2022/879 (8) provide that Member States are to take all necessary measures to obtain supplies which are alternative to imports by pipeline of crude oil from Russia, so that those imports are made subject to the prohibitions as soon as possible. In line with this objective, the temporary derogation granted to Germany and Poland for the supply of crude oil by pipeline from Russia through the northern section of the Druzhba oil pipeline should end. The import of oil which originates in Kazakhstan or another third country and is transiting through Russia via the Druzhba oil pipeline is not prohibited.

(39)

The price cap mechanism provides that specific projects that are essential for the energy security of certain third countries may be exempted from the price cap. The exemption provided for in relation to the Sakhalin-2 (Сахалин-2) Project, located in Russia, should be extended until 31 March 2024 to ensure Japan’s energy security needs.

(40)

In order not to undermine critical energy supplies which are not prohibited from being imported into the Union from third countries, it is appropriate to guarantee the adequate maintenance and operation of the Caspian Pipeline Consortium (CPC) infrastructures, which enable the purchase, import or transfer of goods falling under CN 2709 00 originating in Kazakhstan and which are only being loaded in, departing from or transiting through Russia. Decision (CFSP) 2023/1217 introduced derogations from the prohibitions on the sale, supply, transfer or export directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia of certain goods or technology, on the provision of related financing or financial assistance, technical assistance, brokering services or other services, or on the provision of auditing services, engineering services, legal advisory services, technical testing and analysis services which are strictly necessary for that purpose, subject to strict conditions to avoid the risk of circumvention.

(41)

To avoid circumvention of the prohibition on providing transferable securities to persons in Russia, Decision (CFSP) 2023/1217 extended that prohibition to financial instruments denominated in any currency.

(42)

Decision (CFSP) 2023/1217 also introduced a derogation from the prohibition to provide certain services to Russian entities required for the setting-up, certification or evaluation of a firewall removing the control exercised by a listed person over the assets of a non-listed Union entity which the listed person owns or controls, and ensuring that no benefit accrues to the latter, thus allowing that entity to continue its business operations.

(43)

Decision (CFSP) 2023/1217 further clarifies the evidence required for importation of iron and steel products processed in a third country incorporating iron and steel products originating in Russia.

(44)

Decision (CFSP) 2023/1217 introduced a derogation from the prohibition on purchasing, importing or transferring certain items which generate significant revenues for Russia and which are necessary for the operation, maintenance or repair of Budapest metro line 3 cars.

(45)

Decision (CFSP) 2023/1217 introduced clarifications regarding the competent authorities which receive notifications of non-scheduled flights between Russia and the Union.

(46)

Decision (CFSP) 2023/1217 extended the deadline for the application of a temporary derogation from the prohibition on providing certain services, with the aim of further facilitating divestment from the Russian market by Union operators. In order to expedite the divestment of Russian operators from the Union market, Decision (CFSP) 2023/1217 introduces a temporary derogation from the prohibition on providing legal advisory services to legal persons, entities or bodies established in Russia. The competent authorities of the Member States may authorise the provision, until 31 March 2024, of legal services which are mandatory, under the national legislation of the Member State, for such divestments to be completed.

(47)

In order to ensure full and uniform implementation of the restrictive measures, it is appropriate for Member States to inform the other Member States and the Commission of any authorisation denied under Regulation (EU) No 833/2014, and to share information on requests for authorisation that they intend to grant where a denial has already been notified by another Member State, so as to avoid forum shopping.

(48)

It is also appropriate to enhance the exchange of information on the application and enforcement of export restrictions on sensitive items that may be used to support Russia’s war of aggression against Ukraine, such as dual-use goods and goods listed in Annex VII to Regulation (EU) No 833/2014, in order to counter the risk of circumvention by persons or entities involved in the procurement of prohibited Union goods for use in Russia, or the provision of prohibited services, in breach of Regulation (EU) No 833/2014.

(49)

It is appropriate to further clarify the provisions on exchange of information between the authorities of a Member State and with the authorities of other Member States and the Commission.

(50)

Decision (CFSP) 2023/1217 extends the list of partner countries which are applying a set of export control measures substantially equivalent to those set out in Regulation (EU) No 833/2014.

(51)

Finally, Decision (CFSP) 2023/1217 makes certain technical corrections in the operative text and in the Annexes, including by deleting references to transitional periods which have expired, as well as reorganising the structure of certain Annexes to Regulation (EU) No 833/2014. As a consequence of the latter, the prohibition concerning coal imports is covered by Article 3i and Annex XXI of Regulation (EU) No 833/2014; therefore Article 3j and Annex XXII to Regulation (EU) No 833/2014 have become redundant and are deleted. The deletion of references to transition periods which have already expired is not intended to have any legal effects on past or ongoing contracts or on the applicability of those transition periods.

(52)

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

(53)

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

HAS ADOPTED THIS REGULATION:

Article 1

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

(1)

in Article 2(2), the following point is added:

‘(c)

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

(2)

Article 2a is amended as follows:

(a)

the following paragraph is inserted:

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

;

(b)

in paragraph 2, the following point is added:

‘(c)

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

(c)

the following paragraph is inserted:

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

;

(d)

in paragraph 4, the following point is added:

‘(i)

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

(e)

the following paragraph is inserted:

‘4a.   By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Russia of goods and technology which might contribute to Russia’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex VII, after having determined that such goods or technology are intended for the purposes set out in points (b), (c), (d), and (h) of paragraph 4.’

;

(3)

Article 2aa is amended as follows:

(a)

paragraph 1 is replaced by the following:

‘1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, firearms, their parts and essential components and ammunition as listed in Annex I to Regulation (EU) No 258/2012 of the European Parliament and of the Council (*1) and firearms and other arms as listed in Annex XXXV to this Regulation, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

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

(b)

in paragraph 2, the following point is added:

‘(c)

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

(4)

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

‘1.   The competent authorities shall exchange information on the application of Articles 2, 2a and 2b with the other Member States and the Commission, including on any authorisation granted or denied and, in the event of suspected forum shopping or other cases as appropriate, on requests for authorisation received.

The competent authorities shall exchange information on the enforcement of Articles 2, 2a and 2b with the other Member States and the Commission, including on related infringements and penalties, as well as best practices of national enforcement authorities and the detection and prosecution of unauthorised exports. The exchange of information shall be carried out using the electronic system provided pursuant to Article 23(6) of Regulation (EU) 2021/821.’

;

(5)

in Article 3(2), the following point is added:

‘(c)

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

(6)

in Article 3b(2), the following point is added:

‘(c)

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

(7)

Article 3c, is amended as follows:

(a)

the following paragraph is inserted:

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

;

(b)

in paragraph 4, the following point is added:

‘(c)

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

(c)

the following paragraphs are inserted:

‘6d.   By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Russia of goods and technology suited for use in aviation or the space industry, as listed in Annex XI, and of jet fuels and fuel additives as listed in Annex XX, after having determined that such goods or technology are intended for the purposes set out in paragraphs 6a, 6b and 6c of this Article.

6e.   By way of derogation from paragraph 1, the competent authorities may authorise the sale, supply, transfer or export of the goods listed in Part B of Annex XI, if the goods are intended for the exclusive use and under the full control of the authorising Member State and in order to fulfil its maintenance obligations in areas which are under a long-term lease agreement between that Member State and the Russian Federation.’

;

(8)

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

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

;

(9)

in Article 3ea(5), point (e) is deleted;

(10)

the following Articles are inserted:

‘Article 3eb

1.   It shall be prohibited, as of 24 July 2023, to provide access to ports and locks in the territory of the Union, by any vessel performing ship-to-ship transfers, at any point of the voyage to a Member State’s ports or locks, if the competent authority has reasonable cause to suspect that the vessel is in breach of the prohibitions set out in Article 3m(1) and (2) and Article 3n(1) and (4).

2.   A competent authority shall not grant access if a vessel does not notify the competent authority at least 48 hours in advance about a ship-to-ship transfer occurring within the Exclusive Economic Zone of a Member State or within 12 nautical miles from the baseline of that Member State’s coast.

3.   Paragraphs 1 and 2 shall not apply in the case of a vessel in need of assistance seeking a place of refuge, of an emergency port call for reasons of maritime safety, or for saving life at sea.

4.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise a vessel to access a port or lock in the territory of the Union, under such conditions as they deem appropriate, after having determined that such access is necessary for humanitarian purposes.

5.   Upon refusal of a port access call in accordance with paragraphs 1 and 2, the competent authorities concerned shall immediately inform the other competent authorities of the Member States. The Member State concerned shall inform the other Member States and the Commission without delay.

6.   For the purposes of paragraphs 1 and 2, the competent authorities shall use, in addition to any national system and information, the integrated maritime information available in the Union Maritime Information and Exchange System (SafeSeaNet) established in accordance with Directive 2002/59/EC of the European Parliament and of the Council (*2).

Article 3ec

1.   It shall be prohibited, as of 24 July 2023, to provide access to ports and locks in the territory of the Union by any vessel which the competent authority has reasonable cause to suspect of illegally interfering with, switching off or otherwise disabling its shipborne automatic identification system at any point of the voyage to a Member State’s ports or locks, in breach of SOLAS Regulation V/19, point 2.4, when transporting crude oil or petroleum products subject to the prohibitions set out in Article 3m(1) and (2) and Article 3n(1) and (4).

2.   Paragraph 1 shall not apply in the case of a vessel in need of assistance seeking a place of refuge, of an emergency port call for reasons of maritime safety, or for saving life at sea.

3.   By way of derogation from paragraph 1, the competent authorities may authorise a vessel to access a port or lock in the territory of the Union, under such conditions as they deem appropriate, after having determined that such access is necessary for humanitarian purposes.

4.   Upon refusal of a port access call in accordance with paragraph 1, the competent authorities concerned shall immediately inform the other competent authorities of the Member States. The Member State concerned shall inform the other Member States and the Commission without delay.

5.   For the purposes of paragraph 1, the competent authorities shall use, in addition to any national system and information, the integrated maritime information available in the Union Maritime Information and Exchange System (SafeSeaNet) established in accordance with Directive 2002/59/EC.

(*2)  Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system and repealing Council Directive 93/75/EEC (OJ L 208, 5.8.2002, p. 10).’;"

(11)

in Article 3f(2), the following point is added:

‘(c)

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

(12)

Article 3g is amended as follows:

(a)

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

‘(d)

to import or purchase, as from 30 September 2023, directly or indirectly, iron and steel products as listed in Annex XVII when processed in a third country incorporating iron and steel products originating in Russia as listed in Annex XVII; with regard to products listed in Annex XVII processed in a third country incorporating steel products originating in Russia of CN codes 7207 11, 7207 12 10 or 7224 90, this prohibition shall apply as of 1 April 2024 for CN code 7207 11 and as of 1 October 2024 for CN codes 7207 12 10 and 7224 90;

For the purposes of the application of this point, at the moment of importation, importers shall provide evidence of the country of origin of the iron and steel inputs used for the processing of the product in a third country.’;

(b)

paragraphs 2 and 3 are deleted;

(13)

Article 3h is amended as follows:

(a)

paragraph 2 is replaced by the following:

‘2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

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

;

(b)

the following paragraph is inserted:

‘2a.   The prohibitions referred to in paragraphs 1 and 2 shall apply to the luxury goods listed in Annex XVIII insofar as their value exceeds EUR 300 per item, unless otherwise specified in that Annex.’

;

(c)

the following paragraph is inserted:

‘4a.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale or supply of a vessel falling under CN code 8901 10 00 or 8901 90 00, or the provision, until 31 December 2023, of related technical or financial assistance to a legal person, entity or body in Russia or for use in Russia, under such conditions as they deem appropriate, after having determined that:

(a)

the vessel is physically located in Russia on 24 June 2023 and for use in Russia;

(b)

the vessel has flown the Russian Federation flag under a bareboat charter registration initially effected prior to 24 February 2022;

(c)

the legal person, entity or body in Russia is not a military end user and will not use the vessel for military purposes;

(d)

the sale or supply is not for the benefit of a natural or legal person, entity or body listed in Annex I to Regulation (EU) No 269/2014 or subject to the restrictive measures provided for in this Regulation.’

;

(d)

paragraph 5 is replaced by the following:

‘5.   The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under paragraphs 4 and 4a within two weeks of the authorisation.’

;

(14)

Article 3i is amended as follows:

(a)

paragraphs 3, 3b, 3ba and 3d are deleted;

(b)

the following paragraph is inserted:

‘3e.   By way of derogation from paragraphs 1 and 2 of this Article, the competent authorities may authorise the purchase, import or transfer of goods falling under CN codes 7007, 8479, 8481, 8487, 8504, 8517, 8525, 8531, 8536, 8537, 8538, 8542, 8543, 8603 as listed in Annex XXI, or the provision of related technical and financial assistance, under such conditions as they deem appropriate, after having determined that this is necessary for the operation, maintenance or repair of Budapest metro line 3 cars delivered in 2018, in execution of a guarantee provided by Metrowagonmash prior to 24 June 2023.’

;

(15)

Article 3j is deleted;

(16)

Article 3k is amended as follows:

(a)

in paragraph 2, the following point is added:

‘(c)

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

(b)

paragraph 3 is replaced by the following:

‘3.   With regard to the goods of a value not exceeding EUR 50 000 per unit falling under CN codes 8703 23, 8703 24, 8703 32, 8703 33, 8703 40, 8703 50, 8703 60, 8703 70, 8703 80, 8703 90 or 8903, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 25 September 2023 of contracts concluded before 24 June 2023, or of ancillary contracts necessary for the execution of such contracts.’

;

(c)

paragraph 3a is replaced by the following:

‘3a.   With regard to the goods falling under CN codes 2710 12, 2909 60, 3905 99, 4002 19, 4002 70, 4010 11, 4010 12, 4011 20, 4012 90, 4805 93, 4810 29, 4823 90, 7216 61, 8402 11, 8454 30, 8477 10, 8477 20, 8477 59, 8477 80, 8477 90, 8514 32, 8514 40, 8525 89, 8704 21, 9024 90, 9031 10, 9031 41, 9031 49, 9031 80, 9031 90 or 9406 20, the prohibitions in paragraphs 1 and 2 shall not apply to the execution until 25 September 2023 of contracts concluded before 24 June 2023, or of ancillary contracts necessary for the execution of such contracts.’

;

(d)

paragraph 3b is replaced by the following:

‘3b.   With regard to the goods falling under CN codes included for the first time in Annex XXIII to this Regulation on 24 June 2023 and which are not referred to in paragraphs 3 and 3a of this Article, and with the exception of goods falling under CN codes which were already included in Annex XVIII to this Regulation, the prohibitions in paragraphs 1 and 2 of this Article shall not apply to the execution until 25 September 2023 of contracts concluded before 24 June 2023, or of ancillary contracts necessary for the execution of such contracts.’

;

(e)

paragraph 3c is deleted;

(f)

paragraph 5b is replaced by the following:

‘5b.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods falling under CN chapters 72, 84, 85 and 90 as listed in Annex XXIII, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is strictly necessary for the production of titanium goods required in the aeronautic industry, for which no alternative supply is available.’

;

(g)

paragraph 7 is replaced by the following:

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

;

(17)

Article 3l is amended as follows:

(a)

the following paragraph is inserted:

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

;

(b)

the following paragraph is inserted:

‘3a.   The prohibition in paragraph 1a shall not apply until 30 June 2023 to the transport of goods that started before 24 June 2023, provided that the trailer or semi-trailer:

(a)

was already in the territory of the Union on 24 June 2023; or

(b)

needs to transit through the Union in order to be returned to Russia.’

;

(c)

in paragraph 4, the introductory wording is replaced by the following:

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

;

(18)

in Article 3m, the following paragraph is inserted:

‘3a.   The exemption in paragraph 3, point (d), shall stop applying to Germany and Poland on 23 June 2023.’

;

(19)

in Article 4(1), point (a) is replaced by the following:

‘(a)

to provide, directly or indirectly, technical assistance and brokering services related to the goods and technology listed in the Common Military List (*3), or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person, entity or body in Russia or for use in Russia;

(*3)  Latest version published in OJ C 85, 13.3.2020, p. 147.’;"

(20)

in Article 5aa(3), point (c) is deleted;

(21)

in Article 5f, paragraph 1 is replaced by the following:

‘1.   It shall be prohibited to sell transferable securities denominated in any official currency of a Member State issued after 12 April 2022, or denominated in any other currency issued after 6 August 2023, or units in collective investment undertakings providing exposure to such securities, to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia.’

;

(22)

Article 5k is amended as follows:

(a)

in paragraph 1, the introductory wording is replaced by the following:

‘1.   It shall be prohibited to award or continue the execution of any public or concession contract falling within the scope of the public procurement Directives, as well as Article 10(1), (3), (6) points (a) to (e), (8), (9) and (10), Articles 11, 12, 13 and 14 of Directive 2014/23/EU, Article 7, points (a) to (d), and Article 8, Article 10 points (b) to (f) and (h) to (j) of Directive 2014/24/EU, Article 18, Article 21 points (b) to (e) and (g) to (i), Articles 29 and 30 of Directive 2014/25/EU and Article 13 points (a) to (d), (f) to (h) and (j) of Directive 2009/81/EC, to or with:’

;

(b)

in paragraph 2, point (f) is deleted;

(23)

Article 5n is amended as follows:

(a)

the following paragraph is inserted:

‘9a.   By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the provision of services referred to therein, under such conditions as they deem appropriate, after having determined that those services are strictly necessary for the setting-up, certification or evaluation of a firewall which:

(a)

removes the control by a natural or legal person, entity or body listed in Annex I to Regulation (EU) No 269/2014, over the assets of a non-listed legal person, entity or body incorporated or constituted under the law of a Member State which is owned or controlled by the former; and

(b)

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

;

(b)

paragraph 11 is replaced by the following:

‘11.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 9a and 10 within two weeks of the authorisation.’

;

(24)

the following Article is inserted:

‘Article 5q

1.   By way of derogation from Articles 2, 2a, 3f and 3k, the competent authorities may authorise the sale, supply, transfer, export or transit through Russia of the goods and technology referred to in those Articles, or the provision of related technical assistance, brokering services or other services, or financing or financial assistance, for the operation and maintenance of the Caspian Pipeline Consortium (CPC) pipelines and associated infrastructure necessary for the transport of goods falling under CN 2709 00 originating in Kazakhstan and which are only being loaded in, departing from or transiting through Russia, under such conditions as they deem appropriate, after having determined that:

(a)

such a sale, supply, transfer, export, transit through Russia or the provision of related technical assistance, brokering services or other services, or financing and financial assistance, is necessary for the operation, essential maintenance, repair or replacement of components of the CPC pipeline and associated infrastructure;

(b)

the type of goods, technologies and assistance requested does not go beyond the type of goods and technology previously exported from, or the assistance previously provided from, the Union, a country member of the European Economic Area, Switzerland or a partner country as listed in Annex VIII to Russia for the operation, essential maintenance, repair or replacement of components of the CPC pipeline and associated infrastructure, and related assistance;

(c)

the requested volumes are commensurate with those used for the operation, essential maintenance, repair or replacement of components of the CPC pipeline and associated infrastructure; and

(d)

such goods and technology will be provided by a natural or legal person subject to Article 13 exclusively for end use in the operation, essential maintenance, repair or replacement of components of the CPC pipeline and associated infrastructure.

2.   By way of derogation from Article 5n, the competent authorities may authorise the provision of auditing services, engineering services, legal advisory services, technical testing and analysis services for the operation and maintenance of the CPC pipelines and associated infrastructure necessary for the transport of goods falling under CN 2709 00 originating in Kazakhstan and which are only being loaded in, departing from or transiting through Russia after having determined that:

(a)

the provision of those services is necessary for the operation, essential maintenance, repair or replacement of components of the CPC pipeline and associated infrastructure; and

(b)

such services are provided by a natural or legal person subject to Article 13.

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

4.   When granting an authorisation under paragraphs 1 and 2, the competent authority shall require the presentation of an end-user certificate and detailed regular reports indicating that no such goods, technology or services were diverted from their intended purpose during the relevant works. It may impose additional conditions, in accordance with paragraph 1.’

;

(25)

Article 6(1) is amended as follows:

(a)

point (a) is replaced by the following:

‘(a)

authorisations granted or denied under this Regulation;’;

(b)

point (d), is replaced by the following:

‘(d)

detected instances of breach, circumvention and attempts at breach or circumvention of the prohibitions set out in this Regulation including through the use of crypto-assets.’;

(26)

the following Articles are inserted:

‘Article 6a

1.   The Member State or Member States concerned shall inform the other Member States and the Commission of any authorisation denied under Articles 3, 3a, 3b, 3c, 3d, 3ea, 3f, 3g, 3h, 3i, 3k, 3m, 3n, 5a, 5c, 5d, 5k, 5m, 5n, 5p and 12b within two weeks of the denial.

2.   Before a Member State grants an authorisation in accordance with Articles 3, 3a, 3b, 3c, 3d, 3ea, 3f, 3g, 3h, 3i, 3k, 3m, 3n, 5a, 5c, 5d, 5k, 5m, 5n, 5p and 12b for a transaction which is essentially identical to a transaction which is the subject of a denial that is still valid issued by another Member State or by other Member States, it shall first consult the Member State or Member 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 that decision.

Article 6b

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

(a)

supply any information which would facilitate the implementation of this Regulation to the competent authority of the Member State where they are resident or located within two weeks of acquiring this information; and

(b)

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

2.   The Member State concerned shall transmit to the Commission any relevant information received pursuant to paragraph 1 within one month of receiving it. The Member State concerned may transmit such information in an anonymised form if an investigating or judicial authority has declared it to be confidential in the context of pending criminal investigations or criminal judicial proceedings.

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

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

;

(27)

in Article 12a, paragraphs 2 and 3 are replaced by the following:

‘2.   For the purposes of this Regulation, the Commission is designated as “controller” within the meaning of Article 3(8) of Regulation (EU) 2018/1725 in relation to the processing activities necessary to accomplish the tasks referred to in paragraph 1.

3.   The competent authorities of the Member States, including enforcement authorities, customs authorities within the meaning of Regulation (EU) No 952/2013 of the European Parliament and of the Council (*4), competent authorities within the meaning of Regulation (EU) No 575/2013, Directive (EU) 2015/849 of the European Parliament and of the Council (*5) and Directive 2014/65/EU, as well as administrators of official registers wherein natural persons, legal persons, entities and bodies as well as immovable or movable property are registered, shall process and exchange without delay information, including personal data and, if necessary, the information referred to in Article 6b(1), with other competent authorities of their Member State, of other Member States and the Commission, if such processing and exchange is necessary to carry out the tasks of the processing authority or the receiving authority under this Regulation, in particular when they detect instances of a breach or circumvention, or attempts at a breach or circumvention of the prohibitions set out in this Regulation. This provision is without prejudice to rules regarding the confidentiality of information held by judicial authorities.

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

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

(28)

Article 12b is amended as follows:

(a)

in paragraph 1, the introductory wording is replaced by the following:

‘1.   By way of derogation from Articles 2, 2a, 3, 3b, 3c, 3f, 3h and 3k, the competent authorities may authorise the sale, supply or transfer of goods and technologies listed in Annexes II, VII, X, XI, XVI, XVIII, XX and XXIII to this Regulation and in Annex I to Regulation (EU) 2021/821 as well as the sale, licensing or transfer in any other way of intellectual property rights or trade secrets as well as granting rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets, related to the goods and technology mentioned above until 31 December 2023, where such sale, supply, transfer, licensing, granting rights to access or re-use is strictly necessary for the divestment from Russia or the wind-down of business activities in Russia, provided that the following conditions are fulfilled:’

;

(b)

the following paragraph is inserted:

‘1a.   By way of derogation from Article 3, the competent authorities may authorise the sale, supply or transfer of goods and technologies listed in Annex II until 31 March 2024, where such sale, supply or transfer is strictly necessary for the divestment from a joint venture incorporated or constituted under the law of a Member State before 24 February 2022, involving a Russian legal person, entity or body, and operating a gas pipeline infrastructure between Russia and third countries.’

;

(c)

in paragraph 2a, the introductory wording is replaced by the following:

‘2a.   By way of derogation from Article 5n, the competent authorities may authorise the continuation of the provision of services listed therein until 31 March 2024 where such provision of services is strictly necessary for the divestment from Russia or the wind-down of business activities in Russia, provided that the following conditions are fulfilled:’

;

(d)

the following paragraph is inserted:

‘2b.   By way of derogation from Article 5n(2), the competent authorities may authorise the provision, until 31 March 2024, of legal advisory services which are legally required for the completion of a sale or transfer of proprietary rights directly or indirectly owned by legal persons, entities or bodies established in Russia in a legal person, entity or body established in the Union.’

;

(e)

paragraph 3 is replaced by the following:

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

;

(29)

the following Article is inserted:

‘Article 12f

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology as listed in Annex XXXIII, whether or not originating in the Union, to any natural or legal person, entity or body in the third country specified in that Annex.

2.   It shall be prohibited to:

(a)

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

(b)

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

(c)

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

3.   Annex XXXIII shall only include sensitive dual-use goods and technology, or goods and technology that might contribute to the enhancement of Russia’s military, technological or industrial capacities or to the development of Russia’s defence and security sector, in a way that strengthens its ability to wage war, and whose export to Russia is prohibited under this Regulation and that present a high and continuous risk of being sold, supplied, transferred or exported from third countries to Russia after being sold, supplied, transferred or exported from the Union. Annex XXXIII shall specify, for each item of listed goods or technology, the third countries to which the sale, supply, transfer or export is prohibited. Annex XXXIII shall only include third countries that have been identified by the Council as having systematically and persistently failed to prevent the sale, supply, transfer or export to Russia of goods and technology, as listed in that Annex, exported from the Union, despite the Union’s prior outreach and assistance to the country in question.

4.   If the sale, supply, transfer or export of goods or technology listed in Annex XXXIII to a natural or legal person, entity or body in Russia or for use in Russia is not prohibited under certain exemptions provided for in this Regulation, their sale, supply, transfer or export to a natural or legal person, entity or body in the third country specified shall not be prohibited, provided that the same conditions applicable under this Regulation for export to Russia or for use in Russia are fulfilled.

5.   If the sale, supply, transfer or export of goods or technology listed in Annex XXXIII to a natural or legal person, entity or body in Russia or for use in Russia can be authorised by the competent authorities in accordance with this Regulation, their sale, supply, transfer or export to a natural or legal person, entity or body in the third country specified may be authorised by the competent authorities under the same conditions applicable to derogations for exports to Russia or for use in Russia.’

;

(30)

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

(31)

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

(32)

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

(33)

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

This point shall apply in respect of one or several of the entities referred to in Annex IV to this Regulation as from 1 October 2023 and provided that the Council, having examined the respective cases, so decides by implementing act;

(34)

Annex XVII is amended in accordance with Annex V to this Regulation;

(35)

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

(36)

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

(37)

Annex XXII is deleted;

(38)

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

(39)

Annex XXIX is amended in accordance with Annex IX to this Regulation;

(40)

Annex XXXIII is added in accordance with Annex X to this Regulation;

(41)

Annex XXXV is added in accordance with Annex XI to this Regulation.

Article 2

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

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

Done at Brussels, 23 June 2023.

For the Council

The President

J. ROSWALL


(1)  See page 451 of this Official Journal.

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

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

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

(5)  Annex I of the International Convention for the Prevention of Pollution from Ships (MARPOL), Regulation 42; Directive 2002/59/EC of the European Parliament and of the Council of 27 June 2002 establishing a Community vessel traffic monitoring and information system and repealing Council Directive 93/75/EEC (OJ L 208, 5.8.2002, p. 10).

(6)  Commission Directive 2014/100/EU of 28 October 2014 amending Directive 2002/59/EC of the European Parliament and of the Council establishing a Community vessel traffic monitoring and information system (OJ L 308, 29.10.2014, p. 82).

(7)  Council Decision (CFSP) 2022/884 of 3 June 2022 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (OJ L 153, 3.6.2022, p. 128).

(8)  Council Regulation (EU) 2022/879 of 3 June 2022 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine (OJ L 153, 3.6.2022, p. 53).


ANNEX I

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

‘ANNEX IV

This Annex lists natural or legal persons, entities or bodies which are military end-users, form part of Russia’s military-industrial complex or which have commercial or other links with or which otherwise support Russia’s defence and security sector. These natural or legal persons, entities or bodies contribute to Russia’s military and technological enhancement or to the development of Russia’s defence and security sector. They include natural or legal persons, entities or bodies in third countries other than Russia. Their inclusion in this Annex does not entail any attribution of responsibility for their actions to the jurisdiction in which they are operating.

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

1.

JSC Sirius (Russia)

2.

OJSC Stankoinstrument (Russia)

3.

OAO JSC Chemcomposite (Russia)

4.

JSC Kalashnikov (Russia)

5.

JSC Tula Arms Plant (Russia)

6.

NPK Technologii Maschinostrojenija (Russia)

7.

OAO Wysokototschnye Kompleksi (Russia)

8.

OAO Almaz Antey (Russia)

9.

OAO NPO Bazalt (Russia)

10.

Admiralty Shipyard JSC (Russia)

11.

Aleksandrov Scientific Research Technological Institute NITI (Russia)

12.

Argut OOO (Russia)

13.

Communication center of the Ministry of Defense (Russia)

14.

Federal Research Center Boreskov Institute of Catalysis (Russia)

15.

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

16.

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

17.

Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA) (Russia)

18.

Foreign Intelligence Service (SVR) (Russia)

19.

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

20.

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

21.

Irkut Corporation (Russia)

22.

Irkut Research and Production Corporation Public Joint Stock Company (Russia)

23.

Joint Stock Company Scientific Research Institute of Computing Machinery (Russia)

24.

JSC Central Research Institute of Machine Building (JSC TsNIIMash) (Russia)

25.

JSC Kazan Helicopter Plant Repair Service (Russia)

26.

JSC Shipyard Zaliv (Zaliv Shipbuilding yard) (Autonomous Republic of Crimea, illegally annexed by Russia)

27.

JSC Rocket and Space Centre – Progress (Russia)

28.

Kamensk-Uralsky Metallurgical Works J.S. Co. (Russia)

29.

Kazan Helicopter Plant PJSC (Russia)

30.

Komsomolsk-na-Amur Aviation Production Organization (KNAAPO) (Russia)

31.

Ministry of Defence RF (Russia)

32.

Moscow Institute of Physics and Technology (Russia)

33.

NPO High Precision Systems JSC (Russia)

34.

NPO Splav JSC (Russia)

35.

OPK Oboronprom (Russia)

36.

PJSC Beriev Aircraft Company (Russia)

37.

PJSC Irkut Corporation (Russia)

38.

PJSC Kazan Helicopters (Russia)

39.

POLYUS Research Institute of M.F. Stelmakh Joint Stock Company (Russia)

40.

Promtech-Dubna, JSC (Russia)

41.

Public Joint Stock Company United Aircraft Corporation (Russia)

42.

Radiotechnical and Information Systems (RTI) Concern (Russia)

43.

Rapart Services LLC (Russia)

44.

Rosoboronexport OJSC (ROE) (Russia)

45.

Rostec (Russian Technologies State Corporation) (Russia)

46.

Rostekh – Azimuth (Russia)

47.

Russian Aircraft Corporation MiG (Russia)

48.

Russian Helicopters JSC (Russia)

49.

SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii) (Russia)

50.

Sukhoi Aviation JSC (Russia)

51.

Sukhoi Civil Aircraft (Russia)

52.

Tactical Missiles Corporation JSC (Russia)

53.

Tupolev JSC (Russia)

54.

UEC-Saturn (Russia)

55.

United Aircraft Corporation (Russia)

56.

JSC AeroKompozit (Russia)

57.

United Engine Corporation (Russia)

58.

UEC-Aviadvigatel JSC (Russia)

59.

United Instrument Manufacturing Corporation (Russia)

60.

United Shipbuilding Corporation (Russia)

61.

JSC PO Sevmash (Russia)

62.

Krasnoye Sormovo Shipyard (Russia)

63.

Severnaya Shipyard (Russia)

64.

Shipyard Yantar (Russia)

65.

UralVagonZavod (Russia)

66.

Baikal Electronics (Russia)

67.

Center for Technological Competencies in Radiophtonics (Russia)

68.

Central Research and Development Institute Tsiklon (Russia)

69.

Crocus Nano Electronics (Russia)

70.

Dalzavod Ship-Repair Center (Russia)

71.

Elara (Russia)

72.

Electronic Computing and Information Systems (Russia)

73.

ELPROM (Russia)

74.

Engineering Center Ltd. (Russia)

75.

Forss Technology Ltd. (Russia)

76.

Integral SPB (Russia)

77.

JSC Element (Russia)

78.

JSC Pella-Mash (Russia)

79.

JSC Shipyard Vympel (Russia)

80.

Kranark LLC (Russia)

81.

Lev Anatolyevich Yershov (Ershov) (Russia)

82.

LLC Center (Russia)

83.

MCST Lebedev (Russia)

84.

Miass Machine-Building Factory (Russia)

85.

Microelectronic Research and Development Center Novosibirsk (Russia)

86.

MPI VOLNA (Russia)

87.

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

88.

Nerpa Shipyard (Russia)

89.

NM-Tekh (Russia)

90.

Novorossiysk Shipyard JSC (Russia)

91.

NPO Electronic Systems (Russia)

92.

NPP Istok (Russia)

93.

NTC Metrotek (Russia)

94.

OAO GosNIIkhimanalit (Russia)

95.

OAO Svetlovskoye Predpriyatiye Era (Russia)

96.

OJSC TSRY (Russia)

97.

OOO Elkomtekh (Elkomtex) (Russia)

98.

OOO Planar (Russia)

99.

OOO Sertal (Russia)

100.

Photon Pro LLC (Russia)

101.

PJSC Zvezda (Russia)

102.

Amur Shipbuilding Factory PJSC (Russia)

103.

AO Center of Shipbuilding and Ship Repairing JSC (Russia)

104.

AO Kronshtadt (Russia)

105.

Avant Space LLC (Russia)

106.

Production Association Strela (Russia)

107.

Radioavtomatika (Russia)

108.

Research Center Module (Russia)

109.

Robin Trade Limited (Russia)

110.

R.Ye. Alekseyev Central Design Bureau for Hydrofoil Ships (Russia)

111.

Rubin Sever Design Bureau (Russia)

112.

Russian Space Systems (Russia)

113.

Rybinsk Shipyard Engineering (Russia)

114.

Scientific Research Institute of Applied Chemistry (Russia)

115.

Scientific-Research Institute of Electronics (Russia)

116.

Scientific Research Institute of Hypersonic Systems (Russia)

117.

Scientific Research Institute NII Submikron (Russia)

118.

Sergey IONOV (Russia)

119.

Serniya Engineering (Russia)

120.

Severnaya Verf Shipbuilding Factory (Russia)

121.

Ship Maintenance Center Zvezdochka (Russia)

122.

State Governmental Scientific Testing Area of Aircraft Systems (GkNIPAS) (Russia)

123.

State Machine Building Design Bureau Raduga Bereznya (Russia)

124.

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

125.

State Scientific Research Institute of Machine Building Bakhirev (GosNIImash) (Russia)

126.

Tomsk Microwave and Photonic Integrated Circuits and Modules Collective Design Center (Russia)

127.

UAB Pella-Fjord (Russia)

128.

United Shipbuilding Corporation JSC “35th Shipyard” (Russia)

129.

United Shipbuilding Corporation JSC “Astrakhan Shipyard” (Russia)

130.

United Shipbuilding Corporation JSC “Aysberg Central Design Bureau” (Russia)

131.

United Shipbuilding Corporation JSC “Baltic Shipbuilding Factory” (Russia)

132.

United Shipbuilding Corporation JSC “Krasnoye Sormovo Plant OJSC” (Russia)

133.

United Shipbuilding Corporation JSC SC “Zvyozdochka” (Russia)

134.

United Shipbuilding Corporation “Pribaltic Shipbuilding Factory Yantar” (Russia)

135.

United Shipbuilding Corporation “Scientific Research Design Technological Bureau Onega” (Russia)

136.

United Shipbuilding Corporation “Sredne-Nevsky Shipyard” (Russia)

137.

Ural Scientific Research Institute for Composite Materials (Russia)

138.

Urals Project Design Bureau Detal (Russia)

139.

Vega Pilot Plant (Russia)

140.

Vertikal LLC(Russia)

141.

Vladislav Vladimirovich Fedorenko (Russia)

142.

VTK Ltd (Russia)

143.

Yaroslavl Shipbuilding Factory (Russia)

144.

ZAO Elmiks-VS (Russia)

145.

ZAO Sparta (Russia)

146.

ZAO Svyaz Inzhiniring (Russia)

147.

46th TSNII Central Scientific Research Institute (Russia)

148.

Alagir Resistor Factory (Russia)

149.

All-Russian Research Institute of Optical and Physical Measurements (Russia)

150.

All-Russian Scientific-Research Institute Etalon JSC (Russia)

151.

Almaz JSC (Russia)

152.

Arzam Scientific Production Enterprise Temp Avia (Russia)

153.

Automated Procurement System for State Defense Orders, LLC (Russia)

154.

Dolgoprudniy Design Bureau of Automatics (DDBA JSC) (Russia)

155.

Electronic Computing Technology Scientific-Research Center JSC (Russia)

156.

Electrosignal JSC (Russia)

157.

Energiya JSC (Russia)

158.

Engineering Center Moselectronproekt (Russia)

159.

Etalon Scientific and Production Association (Russia)

160.

Evgeny Krayushin (Russia)

161.

Foreign Trade Association Mashpriborintorg (Russia)

162.

Ineko LLC (Russia)

163.

Informakustika JSC (Russia)

164.

Institute of High Energy Physics (Russia)

165.

Institute of Theoretical and Experimental Physics (Russia)

166.

Inteltech PJSC (Russia)

167.

ISE SO RAN Institute of High-Current Electronics (Russia)

168.

Kaluga Scientific-Research Institute of Telemechanical Devices JSC (Russia)

169.

Kulon Scientific-Research Institute JSC (Russia)

170.

Lutch Design Office JSC (Russia)

171.

Meteor Plant JSC (Russia)

172.

Moscow Communications Research Institute JSC (Russia)

173.

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

174.

NPO Elektromechaniki JSC (Russia)

175.

Omsk Production Union Irtysh JSC (Russia)

176.

Omsk Scientific-Research Institute of Instrument Engineering JSC (Russia)

177.

Optron, JSC (Russia)

178.

Pella Shipyard OJSC (Russia)

179.

Polyot Chelyabinsk Radio Plant JSC (Russia)

180.

Pskov Distance Communications Equipment Plant (Russia)

181.

Radiozavod JSC (Russia)

182.

Razryad JSC (Russia)

183.

Research Production Association Mars (Russia)

184.

Ryazan Radio-Plant (Russia)

185.

Scientific Production Center Vigstar JSC (Russia)

186.

Scientific Production Enterprise “Radiosviaz” (Russia)

187.

Scientific Research Institute Ferrite-Domen (Russia)

188.

Scientific Research Institute of Communication Management Systems (Russia)

189.

Scientific-Production Association and Scientific-Research Institute of Radio-Components (Russia)

190.

Scientific-Production Enterprise “Kant” (Russia)

191.

Scientific-Production Enterprise “Svyaz” (Russia)

192.

Scientific-Production Enterprise Almaz JSC (Russia)

193.

Scientific-Production Enterprise Salyut JSC (Russia)

194.

Scientific-Production Enterprise Volna (Russia)

195.

Scientific-Production Enterprise Vostok JSC (Russia)

196.

Scientific-Research Institute “Argon” (Russia)

197.

Scientific-Research Institute and Factory Platan (Russia)

198.

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

199.

Special Design and Technical Bureau for Relay Technology (Russia)

200.

Special Design Bureau Salute JSC (Russia)

201.

Tactical Missile Company, Joint Stock Company “Salute” (Russia)

202.

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

203.

Tactical Missile Company, Joint Stock Company “URALELEMENT” (Russia)

204.

Tactical Missile Company, Joint Stock Company “Plant Dagdiesel” (Russia)

205.

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

206.

Tactical Missile Company, Joint Stock Company PA Strela (Russia)

207.

Tactical Missile Company, Joint Stock Company Plant Kulakov (Russia)

208.

Tactical Missile Company, Joint Stock Company Ravenstvo (Russia)

209.

Tactical Missile Company, Joint Stock Company Ravenstvo-service (Russia)

210.

Tactical Missile Company, Joint Stock Company Saratov Radio Instrument Plant (Russia)

211.

Tactical Missile Company, Joint Stock Company Severny Press (Russia)

212.

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

213.

Tactical Missile Company, KB Mashinostroeniya (Russia)

214.

Tactical Missile Company, NPO Electromechanics (Russia)

215.

Tactical Missile Company, NPO Lightning (Russia)

216.

Tactical Missile Company, Petrovsky Electromechanical Plant “Molot” (Russia)

217.

Tactical Missile Company, PJSC “MBDB ‘ISKRA’” (Russia)

218.

Tactical Missile Company, PJSC ANPP Temp Avia (Russia)

219.

Tactical Missile Company, Raduga Design Bureau (Russia)

220.

Tactical Missile Corporation, “Central Design Bureau of Automation” (Russia)

221.

Tactical Missile Corporation, 711 Aircraft Repair Plant (Russia)

222.

Tactical Missile Corporation, AO GNPP “Region” (Russia)

223.

Tactical Missile Corporation, AO TMKB “Soyuz” (Russia)

224.

Tactical Missile Corporation, Azov Optical and Mechanical Plant (Russia)

225.

Tactical Missile Corporation, Concern “MPO – Gidropribor” (Russia)

226.

Tactical Missile Corporation, Joint Stock Company “KRASNY GIDROPRESS” (Russia)

227.

Tactical Missile Corporation, Joint Stock Company Avangard (Russia)

228.

Tactical Missile Corporation, Joint Stock Company Concern Granit-Electron (Russia)

229.

Tactical Missile Corporation, Joint Stock Company Elektrotyaga (Russia)

230.

Tactical Missile Corporation, Joint Stock Company GosNIIMash (Russia)

231.

Tactical Missile Corporation, RKB Globus (Russia)

232.

Tactical Missile Corporation, Smolensk Aviation Plant (Russia)

233.

Tactical Missile Corporation, TRV Engineering (Russia)

234.

Tactical Missile Corporation, Ural Design Bureau “Detal” (Russia)

235.

Tactical Missile Corporation, Zvezda-Strela Limited Liability Company (Russia)

236.

Tambov Plant (TZ) “October” (Russia)

237.

United Shipbuilding Corporation “Production Association Northern Machine Building Enterprise” (Russia)

238.

United Shipbuilding Corporation “5th Shipyard” (Russia)

239.

Federal Center for Dual-Use Technology (FTsDT) Soyuz (Russia)

240.

Turayev Machine Building Design Bureau Soyuz (Russia)

241.

Zhukovskiy Central Aerohydrodynamics Institute (TsAGI) (Russia)

242.

Rosatomflot (Russia)

243.

Lyulki Experimental-Design Bureau (Russia)

244.

Lyulki Science and Technology Center (Russia)

245.

AO Aviaagregat (Russia)

246.

Central Aerohydrodynamic Institute (TsAGI) (Russia)

247.

Closed Joint Stock Company Turborus (Turborus) (Russia)

248.

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

249.

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

250.

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

251.

Joint Stock Company 123 Aviation Repair Plant (123 ARZ) (Russia)

252.

Joint Stock Company 218 Aviation Repair Plant (218 ARZ) (Russia)

253.

Joint Stock Company 360 Aviation Repair Plant (360 ARZ) (Russia)

254.

Joint Stock Company 514 Aviation Repair Plant (514 ARZ) (Russia)

255.

Joint Stock Company 766 UPTK (Russia)

256.

Joint Stock Company Aramil Aviation Repair Plant (AARZ) (Russia)

257.

Joint Stock Company Aviaremont (Aviaremont) (Russia)

258.

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

259.

Joint Stock Company Metallist Samara (Metallist Samara) (Russia)

260.

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

261.

JSC NII Steel (Russia)

262.

Joint Stock Company Remdizel (Russia)

263.

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

264.

Joint Stock Company STAR (Russia)

265.

Joint Stock Company Votkinsk Machine Building Plant (Russia)

266.

Joint Stock Company Yaroslav Radio Factory (Russia)

267.

Joint Stock Company Zlatoustovsky Machine Building Plant (JSC Zlatmash) (Russia)

268.

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

269.

Lytkarino Machine-Building Plant (Russia)

270.

Moscow Aviation Institute (Russia)

271.

Moscow Institute of Thermal Technology (Russia)

272.

Omsk Motor-Manufacturing Design Bureau (Russia)

273.

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

274.

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

275.

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

276.

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

277.

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

278.

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

279.

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

280.

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

281.

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

282.

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

283.

Public Joint Stock Company Agregat (PJSC Agregat) (Russia)

284.

Salute Gas Turbine Research and Production Center (Russia)

285.

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

286.

Scientific Research Institute of Applied Acoustics (NIIPA) (Russia)

287.

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

288.

Software Research Institute (Russia)

289.

Subsidiary Sevastopol Naval Plant of Zvezdochka Shipyard (Sevastopol Naval Plant) (City of Sevastopol, illegally annexed by Russia)

290.

Tula Arms Plant (Russia)

291.

Russian Institute of Radio Navigation and Time (Russia)

292.

Federal Technical Regulation and Metrology Agency (Rosstandart) (Russia)

293.

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

294.

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

295.

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

296.

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

297.

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

298.

UEC-Perm Engines, JSC (Russia)

299.

Ural Works of Civil Aviation, JSC (Russia)

300.

Central Design Bureau for Marine Engineering “Rubin”, JSC (Russia)

301.

“Aeropribor-Voskhod”, JSC (Russia)

302.

Aerospace Equipment Corporation, JSC (Russia)

303.

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

304.

Aerospace Systems Design Bureau, JSC (Russia)

305.

Afanasyev Technomac, JSC (Russia)

306.

Ak Bars Shipbuilding Corporation, CJSC (Russia)

307.

AGAT, Gavrilov-Yaminskiy Machine-Building Plant, JSC (Russia)

308.

Almaz Central Marine Design Bureau, JSC (Russia)

309.

Joint Stock Company Eleron (Russia)

310.

AO Rubin (Russia)

311.

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

312.

Branch of PAO II – Aviastar (Russia)

313.

Branch of RSK MiG Nizhny Novgorod Aircraft-Construction Plant Sokol (Russia)

314.

Chkalov Novosibirsk Aviation Plant (Russia)

315.

Joint Stock Company All-Russian Scientific-Research Institute Gradient (Russia)

316.

Joint Stock Company Almatyevsk Radiopribor Plant (JSC AZRP) (Russia)

317.

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

318.

Joint Stock Company Industrial Controls Design Bureau (Russia)

319.

Joint Stock Company Kazan Instrument-Engineering and Design Bureau (Russia)

320.

Joint Stok Company Microtechnology (Russia)

321.

Phasotron Scientific-Research Institute of Radio-Engineering (Russia)

322.

Joint Stock Company Radiopribor (Russia)

323.

Joint Stock Company Ramensk Instrument-Engineering Bureau (Russia)

324.

Joint Stock Company Research and Production Center SAPSAN (Russia)

325.

Joint Stock Company Rychag (Russia)

326.

Joint Stock Company Scientific Production Enterprise Izmeritel (Russia)

327.

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

328.

Joint Stock Company Taganrog Communications Scientific-Research Institute (Russia)

329.

Joint Stock Company Urals Instrument-Engineering Plant (Russia)

330.

Joint Stock Company Vzlet Engineering Testing Support (Russia)

331.

Joint Stock Company Zhiguli Radio Plant (Russia)

332.

Joint Stock Company Bryansk Electromechanical Plant (Russia)

333.

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

334.

Public Joint Stock Company Stavropol Radio Plant Signal (Russia)

335.

Public Joint Stock Company Techpribor (Russia)

336.

Joint Stock Company Ramensky Instrument-Engineering Plant (Russia)

337.

V.V. Tarasov Avia Avtomatika (Russia)

338.

Design Bureau of Chemical Machine Building KBKhM (Russia)

339.

Far Eastern Shipbuilding and Ship Repair Center (Russia)

340.

Ilyushin Aviation Complex Branch: Myasishcheva Experimental Mechanical Engineering Plant (Russia)

341.

Institute of Marine Technology Problems Far East Branch Russian Academy of Sciences (Russia)

342.

Irkutsk Aviation Plant (Russia)

343.

Joint Stock Company Aerocomposit Ulyanovsk Plant (Russia)

344.

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

345.

Joint Stock Company Federal Research and Production Center Altai (Russia)

346.

Joint Stock Company “Head Special Design Bureau Prozhektor (Russia)

347.

Joint Stock Company Ilyushin Aviation Complex (Russia)

348.

Joint Stock Company Lazurit Central Design Bureau (Russia)

349.

Joint Stock Company Research and Development Enterprise Protek (Russia)

350.

Joint Stock Company SPMDB Malachite (Russia)

351.

Joint Stock Company Votkinsky Zavod (Russia)

352.

Kalyazinsky Machine Building Factory – Branch of RSK MiG (Russia)

353.

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

354.

NPP Start (Russia)

355.

OAO Radiofizika (Russia)

356.

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

357.

Public Joint Stock Company Bryansk Special Design Bureau (Russia)

358.

Public Joint Stock Company Voronezh Joint Stock Aircraft Company (Russia)

359.

Radio Technical Institute named after A. L. Mints (Russia)

360.

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

361.

Shvabe JSC (Russia)

362.

Special Technological Center LLC (Russia)

363.

St. Petersburg Marine Bureau of Machine Building Malakhit (Russia)

364.

St. Petersburg Naval Design Bureau Almaz (Russia)

365.

St. Petersburg Shipbuilding Institution Krylov 45 (Russia)

366.

Strategic Control Posts Corporation (Russia)

367.

V.A. Trapeznikov Institute of Control Sciences of Russian Academy of Sciences (Russia)

368.

Vladimir Design Bureau for Radio Communications OJSC (Russia)

369.

Voentelecom JSC (Russia)

370.

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

371.

Ak Bars Holding (Russia)

372.

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

373.

Systems of Biological Synthesis LLC (Russia)

374.

Borisfen, JSC (Russia)

375.

Barnaul cartridge plant, JSC (Russia)

376.

Concern Avrora Scientific and Production Association, JSC (Russia)

377.

Bryansk Automobile Plant, JSC (Russia)

378.

Burevestnik Central Research Institute, JSC (Russia)

379.

Research Institute of Space Instrumentation, JSC (Russia)

380.

Arsenal Machine-building plant, OJSC (Russia)

381.

Central Design Bureau of Automatics, JSC (Russia)

382.

Zelenodolsk Design Bureau, JSC (Russia)

383.

Zavod Elecon, JSC (Russia)

384.

VMP "Avitec", JSC (Russia)

385.

JSC V. Tikhomirov Scientific Research Institute of Instrument Design (Russia)

386.

Tulatochmash, JSC (Russia)

387.

PJSC “I.S. Brook” INEUM (Russia)

388.

SPE “Krasnoznamenets”, JSC (Russia)

389.

SPA Pribor named after S.S. Golembiovsky, SC (Russia)

390.

SPA “Impuls”, JSC (Russia)

391.

RusBITech (Russia)

392.

ROTOR 43 (Russia)

393.

Rostov optical and mechanical plant, PJSC (Russia)

394.

RATEP, JSC (Russia)

395.

PLAZ (Russia)

396.

OKB “Technika” (Russia)

397.

Ocean Chips (Russia)

398.

Nudelman Precision Engineering Design Bureau (Russia)

399.

Angstrem JSC (Russia)

400.

NPCAP (Russia)

401.

Novosibirsk Plant of Artificial Fibre (Russia)

402.

Novosibirsk Cartridge Plant, JSC (SIBFIRE) (Russia)

403.

Novator DB (Russia)

404.

NIMI named after V.V. BAHIREV, JSC (Russia)

405.

NII Stali JSC (Russia)

406.

Nevskoe Design Bureau, JSC (Russia)

407.

Neva Electronica JSC (Russia)

408.

ENICS (Russia)

409.

The JSC Makeyev Design Bureau (Russia)

410.

KURGANPRIBOR, JSC (Russia)

411.

Ural Optical-Mechanical Plant E.S. Yalamova, JSC (Russia)

412.

Ramenskoye Engineering Design Office, JSC (Russia)

413.

Vologda Optical and Mechanical Plant, JSC (Russia)

414.

Videoglaz Project (Russia)

415.

Innovative Underwater Technologies, LLC (Russia)

416.

Ulyanovsk Mechanical Plant (Russia)

417.

All-Russian Research Institute of Radio Engineering (Russia)

418.

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

419.

Concern OJSC – KIZLYAR ELECTRO-MECHANICAL PLANT (Russia)

420.

Concern Oceanpribor, JSC (Russia)

421.

JSC Zelenogradsky Nanotechnology Center (Russia)

422.

JSC Elektronstandart Pribor (Russia)

423.

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

424.

Ramenskoye Instrument-Making Design Bureau, JSC (Russia)

425.

Special Technology Centre Limited Liability Company (Russia)

426.

Vest Ost Limited Liability (Russia)

427.

Trade-Component LLC (Russia)

428.

Radiant Electronic Components JSC (Russia)

429.

JSC ICC Milandr (Russia)

430.

SMT iLogic LLC (Russia)

431.

Device Consulting (Russia)

432.

Concern Radio-Electronic Technologies (Russia)

433.

Technodinamika, JSC (Russia)

434.

OOO “UNITEK” (Russia)

435.

Closed Joint Stock Company TPK LINKOS (Russia)

436.

Closed Joint Stock Company TPK LINKOS, SUBDIVISION IN ASTRAKHAN (Russia)

437.

Design and Manufacturing of Aircraft Engines (DAMA) (Iran)

438.

Islamic Revolutionary Guard Corps Aerospace Force (Iran)

439.

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

440.

Oje Parvaz Mado Nafar Company (Mado) (Iran)

441.

Paravar Pars Company (Iran)

442.

Qods Aviation Industries (Iran)

443.

Shahed Aviation Industries (Iran)

444.

Concern Morinformsystem–Agat (Russia)

445.

AO Papilon (Russia)

446.

IT-Papillon OOO (Russia)

447.

OOO Adis (Russia)

448.

Papilon Systems Limited Liability Company (Russia)

449.

Advanced Research Foundation (Russia)

450.

Federal Service for Military-Technical Cooperation (Russia)

451.

Federal State Budgetary Scientific Institution Research and Production Complex Technology Center (Russia)

452.

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

453.

Joint Stock Company All-Russian Research Institute Signal (Russia)

454.

Joint Stock Company Center of Research and Technology Services Dinamika (Russia)

455.

Joint Stock Company Concern Avtomatika (Russia)

456.

Joint Stock Company Corporation Moscow Institute of Heat Technology (Russia)

457.

Joint Stock Company Design Center Soyuz (Russia)

458.

Joint Stock Company Design Technology Center Elektronika (Russia)

459.

Joint Stock Company Institute for Scientific Research Microelectronic Equipment Progress (Russia)

460.

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

461.

Joint Stock Company Moscow Institute of Electromechanics and Automatics (Russia)

462.

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

463.

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

464.

Joint Stock Company Penza Electrotechnical Research Institute (Russia)

465.

Joint Stock Company Production Association Sever (Russia)

466.

Joint Stock Company Research Center ELINS (Russia)

467.

Joint Stock Company Research and Production Association of Measuring Equipment (Russia)

468.

Joint Stock Company Research and Production Enterprise Radar MMS (Russia)

469.

Joint Stock Company Research and Production Enterprise Sapfir (Russia)

470.

Joint Stock Company RT-Tekhpriemka (Russia)

471.

Joint Stock Company Russian Research Institute Electronstandart (Russia)

472.

Joint Stock Company Ryazan Plant of Metal Ceramic Instruments (Russia)

473.

Joint Stock Company Scientific Production Enterprise Digital Solutions (Russia)

474.

Joint Stock Company Scientific Production Enterprise Kontakt (Russia)

475.

Joint Stock Company Scientific Production Enterprise Topaz (Russia)

476.

Joint Stock Company Scientific Research Institute Giricond (Russia)

477.

Joint Stock Company Scientific Research Institute of Computer Engineering NII SVT (Russia)

478.

Joint Stock Company Scientific Research Institute of Electrical Carbon Products (Russia)

479.

Joint Stock Company Scientific Research Institute of Electronic and Mechanical Devices (Russia)

480.

Joint Stock Company Scientific Research Institute of Electronic Engineering Materials (Russia)

481.

Joint Stock Company Scientific Research Institute of Gas Discharge Devices Plasma (Russia)

482.

Joint Stock Company Scientific Research Institute of Industrial Television Rastr (Russia)

483.

Joint Stock Company Scientific Research Institute of Precision Mechanical Engineering (Russia)

484.

Joint Stock Company Special Design Bureau of Computer Engineering (Russia)

485.

Joint Stock Company Special Design Bureau of Control Means (Russia)

486.

Joint Stock Company Special Design Bureau Turbina (Russia)

487.

Joint Stock Company State Scientific Research Institute Kristall (Russia)

488.

Joint Stock Company Svetlana Semiconductors (Russia)

489.

Joint Stock Company Tekhnodinamika (Russia)

490.

Joint Stock Company Voronezh Semiconductor Devices Factory Assembly (Russia)

491.

KAMAZ Publicly Traded Company (Russia)

492.

Keldysh Institute of Applied Mathematics of the Russian Academy of Sciences (Russia)

493.

Limited Liability Company Research and Production Association Radiovolna (Russia)

494.

Limited Liability Company RSBGroup (Russia)

495.

Mitishinskiy Scientific Research Institute of Radio Measuring Instruments (Russia)

496.

Open Joint Stock Company Khabarovsk Radio Engineering Plant (Russia)

497.

Open Joint Stock Company Mariyskiy Machine-Building Plant (Russia)

498.

Open Joint Stock Company Scientific and Production Enterprise Pulsar (Russia)

499.

Public Joint Stock Company Megafon (Russia)

500.

Public Joint Stock Company Tutaev Motor Plant (Russia)

501.

Public Joint Stock Company Vympel Interstate Corporation (Russia)

502.

RT-Inform Limited Liability Company (Russia)

503.

Skolkovo Foundation (Russia)

504.

Skolkovo Institute of Science and Technology (Russia)

505.

State Flight Testing Center Named After V.P. Chkalov (Russia)

506.

Joint Stock Company Research and Production Association Named After S.A. Lavochkina (Russia)

507.

VMK Limited Liability Company (Russia)

508.

TESTKOMPLEKT LLC (Russia)

509.

Radiopriborsnab LLC (Russia)

510.

CJSC Radiotekhkomplekt (Russia)

511.

Asia Pacific Links Ltd. (Hong Kong, China)

512.

Tordan Industry Limited (Hong Kong, China)

513.

Alpha Trading Investments Limited (Hong Kong, China)

514.

JSC NICEVT (Russia)

515.

A-CONTRAKT (Russia)

516.

JCS Izhevsk Motozavod Axion-holding (Russia)

517.

Gorky Plant of Communication Equipment (GZAS) (Russia)

518.

Nizhny Novgorod Research Institute of Radio Engineering (NNIIRT) (Russia)

519.

Nizhegorodskiy televizionnyy zavod (NITEL JSC) (Russia)

520.

LLC Rezonit (Russia)

521.

ZAO Promelektronika (Russia)

522.

TD Promelektronika LLC (Russia)

523.

Tako LLC (Armenia)

524.

Art Logistics LLC (Russia)

525.

GFK Logistics LLC (Russia)

526.

Novastream Limited (Russia)

527.

SKS Elektron Broker (Russia)

528.

Trust Logistics (Russia)

529.

Trust Logistics LLC (Russia)

530.

Alfa Beta Creative LLC (Uzbekistan)

531.

GFK Logistics Asia LLC (Uzbekistan)

532.

I Jet Global DMCC (Syria)

533.

I Jet Global DMCC (United Arab Emirates)

534.

Success Aviation Services FZC (United Arab Emirates)

535.

LLC CST (Zala Aero Group) (Russia)

536.

Iran Aircraft Manufacturing Industries Corporation (HESA) (Iran)

537.

Closed Joint Stock Company Special Design Bureau (Russia)

538.

Federal State Enterprise Kazan State Gunpowder Plant (Russia)

539.

Federal State Unitary Enterprise Central Scientific Research Institute of Chemistry and Mechanics (Russia)

540.

Federal State Unitary Enterprise Rostov-On-Don Research Institute of Radio Communications (Russia)

541.

Informtest Firm Limited Liability Company (Russia)

542.

Joint Stock Company 150 Aircraft Repair Plant (Russia)

543.

Joint Stock Company 810 Aircraft Repair Plant (Russia)

544.

Joint Stock Company Arzamas Instrument-Making Plant named after P.I. Plandin (Russia)

545.

Joint Stock Company Concern Central Institute for Scientific Research Elektropribor (Russia)

546.

Joint Stock Company Dux (Russia)

547.

Joint Stock Company Eastern Shipyard (Russia)

548.

Joint Stock Company Information Satellite Systems Named After Academician M.F. Reshetnev (Russia)

549.

Joint Stock Company Izhevsk Electromechanical Plant Kupol (Russia)

550.

Joint Stock Company Kazan Optical-Mechanical Plant (Russia)

551.

Joint Stock Company Khabarovsk Shipbuilding Yard (Russia)

552.

Joint Stock Company Machine Building Company Vityaz (Russia)

553.

Joint Stock Company Management Company Radiostandard (Russia)

554.

Joint Stock Company Marine Instrument Engineering Corporation (Russia)

555.

Joint Stock Company NII Gidrosvyazi Shtil (Russia)

556.

Joint Stock Company Nizhny Novgorod Plant of the 70th Anniversary of Victory (Russia)

557.

Joint Stock Company Northern Production Association Arktika (Russia)

558.

Joint Stock Company Perm Machine Building Plant (Russia)

559.

Joint Stock Company Production Complex Akhtuba (Russia)

560.

Joint Stock Company Project Design Bureau RIO (Russia)

561.

Joint Stock Company Scientific Production Association Orion (Russia)

562.

Joint Stock Company Scientific Production Association Volna Plant (Russia)

563.

Joint Stock Company Scientific Production Center of Automatics and Instrument Building Named After Academician N.A. Pilyugin (Russia)

564.

Joint Stock Company Scientific Production Concern Tekhmash (Russia)

565.

Joint Stock Company Scientific Research Engineering Institute (Russia)

566.

Joint Stock Company Scientific Research Institute of Computing Complexes Named After M.A. Kartsev (Russia)

567.

Joint Stock Company Scientific Technical Institute Radiosvyaz (Russia)

568.

Joint Stock Company Taganrog Plant Priboy (Russia)

569.

Joint Stock Company Tula Cartridge Works (Russia)

570.

Joint Stock Company Tula Machine-Building Plant (Russia)

571.

Joint Stock Company Ulan-Ude Aviation Plant (Russia)

572.

Joint Stock Company Ulyanovsk Cartridge Works (Russia)

573.

Joint Stock Company Ural Automotive Plant (Russia)

574.

Joint Stock Company Vodtranspribor (Russia)

575.

Joint Stock Company Zavolzhskiy Plant of Caterpillar Tractors (Russia)

576.

Joint Stock Company Zelenodolsk Plant Named After A.M. Gorky (Russia)

577.

Machine Building Group Limited Liability Company (Russia)

578.

Military Industrial Company Limited Liability Company (Russia)

579.

Open Joint Stock Company Degtyaryov Plant (Russia)

580.

Promtekhnologiya Limited Liability Company (Russia)

581.

Public Joint Stock Company Kurganmashzavod (Russia)

582.

Public Joint Stock Company Motovilikha Plants (Russia)

583.

Public Joint Stock Company Proletarsky Plant (Russia)

584.

Public Joint Stock Company Rostvertol (Russia)

585.

Scientific Production Association Izhevsk Unmanned Systems Limited Liability Company (Russia)

586.

Scientific Production Enterprise Prima Limited Liability Company (Russia)

587.

United Machine Building Group Limited Liability Company (Russia)

588.

Volgograd Machine Building Company Limited Liability Company (Russia)

589.

VXI-Systems Limited Liability Company (Russia)

590.

LLC Yadro (Russia)

591.

Perm Powder Plant (Russia)

592.

RPA Kazan Machine Building Plant (Russia)

593.

Proton JSC (Russia)

’.

ANNEX II

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

‘ANNEX VII

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

Part A

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

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

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

Category I – Electronics

X.A.I.001

Electronic devices and components.

a.

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

1.

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

2.

A clock frequency rate exceeding 25 MHz; or

3.

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

b.

Storage integrated circuits, as follows:

1.

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

a.

Exceeding 16 Mbits per package for flash memory types; or

b.

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

1.

Exceeding 1 Mbit per package; or

2.

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

2.

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

a.

Exceeding 1 Mbit per package; or

b.

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

c.

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

1.

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

2.

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

3.

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

4.

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

d.

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

e.

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

f.

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

1.

More than 144 terminals; or

2.

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

g.

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

1.

Coupled cavity devices, or derivatives thereof;

2.

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

a.

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

b.

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

h.

Flexible waveguides designed for use at frequencies exceeding 40 GHz;

i.

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

1.

A carrier frequency exceeding 1 GHz; or

2.

A carrier frequency of 1 GHz or less; and

a.

A “frequency side-lobe rejection” exceeding 55 dB;

b.

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

c.

A dispersive delay of more than 10 μs;

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

j.

“Cells” as follows:

1.

“Primary cells” having an “energy density” of 550 Wh/kg or less at 293 K (20 °C);

2.

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

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

Technical Notes:

1.

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

2.

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

3.

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

4.

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

k.

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

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

1.

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

2.

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

3.

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

l.

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

1.

Resonant operating frequencies exceeding 1 MHz;

2.

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

3.

A discharge time of less than 1 ms;

m.

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

n.

Ceramic frequency filters;

o.

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

p.

Cermet trimmers.

X.A.I.002

General purpose "electronic assemblies", modules and equipment.

a.

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

b.

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

1.

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

2.

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

3.

“Space qualified”;

c.

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

d.

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

e.

Modular analogue oscilloscope systems having either of the following characteristics:

1.

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

2.

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

f.

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

g.

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

Note:

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

1.

Plug-in units;

2.

External amplifiers;

3.

Pre-amplifiers;

4.

Sampling devices;

5.

Cathode ray tubes.

X.A.I.003

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

a.

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

b.

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

c.

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

d.

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

e.

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

1.

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

2.

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

f.

Chromatography and spectrometry analytical instruments.

X.B.I.001

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

a.

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

b.

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

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

1.

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

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

a.

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

b.

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

c.

Crystal pullers and furnaces, as follows:

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

1.

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

2.

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

a.

Rechargeable without replacing the crucible container;

b.

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

c.

Capable of pulling crystals of a diameter exceeding 100 mm;

d.

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

1.

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

2.

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

3.

Rotation of individual wafers during processing;

e.

Molecular beam epitaxial growth equipment;

f.

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

g.

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

1.

Patterning capability;

2.

Beam energy (accelerating voltage) exceeding 200 keV;

3.

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

4.

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

h.

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

1.

“Batch types” having either of the following:

a.

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

b.

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

2.

“Single wafer types” having any of the following:

a.

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

b.

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

c.

Cassette-to-cassette and load locks wafer handling;

Notes:

1.

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

2.

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

i.

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

1.

Chemical vapour deposition equipment operating below 105 Pa; or

2.

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

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

j.

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

1.

Electrostatic beam deflection;

2.

Shaped, non-Gaussian beam profile;

3.

Digital-to-analogue conversion rate exceeding 3 MHz;

4.

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

5.

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

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

k.

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

1.

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

2.

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

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

l.

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

m.

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

1.

Positioning accuracy less than ± 1 μm; or

2.

Spot size (kerf width) less than 3 μm.

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

2.

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

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

a.

Finished masks, reticles and designs therefor, except:

1.

Finished masks or reticles for the production of integrated circuits not controlled by 3A001 (4); or

2.

Masks or reticles, having both of the following characteristics:

a.

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

b.

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

b.

Mask substrates as follows:

1.

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

2.

Substrates specially designed for X-ray masks;

c.

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

d.

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

1.

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

2.

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

3.

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

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

e.

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

1.

A resolution of 0,25 μm or finer; and

2.

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

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

f.

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

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

1.

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

2.

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

3.

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

4.

A light source wavelength shorter than 400 nm;

g.

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

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

h.

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

3.

Equipment for the assembly of integrated circuits, as follows:

a.

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

1.

Specially designed for “hybrid integrated circuits”;

2.

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

3.

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

b.

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

c.

Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 (5) and that have a throughput equal to or more than one package per minute.

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

4.

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

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

X.B.I.002

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

a.

Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed components therefor controlled by 3A001 (6) or X.A.I.001;

b.

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