Ref. Ares(2022)6549845 - 22/09/2022
HIGH REPRESENTATIVE
OF THE UNION FOR
EUROPEAN
FOREIGN AFFAIRS AND
COMMISSION
SECURITY POLICY
Brussels, 24.2.2022
JOIN(2022) 21 final/3
Downgraded on 9.9.2022
ANNEXES 1 to 12
ANNEXES
to the
Joint Proposal for a
Council Regulation
amending Council Regulation (EU) No 833/2014 concerning restrictive measures in view
of Russia's actions destabilising the situation in Ukraine
EN
EN
ANNEX I
‘
ANNEX I
Websites for information on the competent authorities and address for notification to
the European Commission
BELGIUM
https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties
https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions
https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions
BULGARIA
https://www.mfa.bg/en/101
CZECH REPUBLIC
www.financnianalytickyurad.cz/mezinarodni-sankce.html
DENMARK
http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/
GERMANY
http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html
ESTONIA
http://www.vm.ee/est/kat_622/
IRELAND
http://www.dfa.ie/home/index.aspx?id=28519
GREECE
http://www.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html
SPAIN
http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunida
desRiesgos/Paginas/SancionesInternacionales.aspx
FRANCE
EN
1
EN
http://www.diplomatie.gouv.fr/fr/autorites-sanctions/
CROATIA
http://www.mvep.hr/sankcije
ITALY
https://www.esteri.it/mae/it/politica_estera/politica_europea/misure_deroghe
CYPRUS
http://www.mfa.gov.cy/mfa/mfa2016.nsf/mfa35_en/mfa35_en?OpenDocument
LATVIA
http://www.mfa.gov.lv/en/security/4539
LITHUANIA
http://www.urm.lt/sanctions
LUXEMBOURG
https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/mesures-
restrictives.html
HUNGARY
http://www.kormany.hu/download/9/2a/f0000/EU%20szankci%C3%B3s%20t%C3%A1j%C3
%A9koztat%C3%B3_20170214_final.pdf
MALTA
https://foreignaffairs.gov.mt/en/Government/SMB/Pages/Sanctions-Monitoring-Board.aspx
NETHERLANDS
https://www.rijksoverheid.nl/onderwerpen/internationale-sancties
AUSTRIA
http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=
POLAND
https://www.gov.pl/web/dyplomacja
PORTUGAL
EN
2
EN
http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-
restritivas/medidas-restritivas.aspx
ROMANIA
http://www.mae.ro/node/1548
SLOVENIA
http://www.mzz.gov.si/si/omejevalni_ukrepi
SLOVAKIA
https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu
FINLAND
http://formin.finland.fi/kvyhteistyo/pakotteet
SWEDEN
http://www.ud.se/sanktioner
Address for notifications to the European Commission:
European Commission
Directorate-General for Financial Stability, Financial Services and Capital Markets Union
(DG FISMA)
Rue de Spa 2
B-1049 Brussels, Belgium
E-mail: xxxxxxxxxxxxxxx@xx.xxxxxx.xx‘
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ANNEX II
The title of Annex III to Regulation (EU) No 833/2014 is replaced by the following:
‘
ANNEX III
List of legal persons, entities and bodies referred to in Article 5(1)(a)’
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ANNEX III
‘
ANNEX IV
List of natural or legal persons, entities or bodies, referred to in Article 2(6), 2a(6) and
2b(1)
JSC Sirius
OJSC Stankoinstrument
OAO JSC Chemcomposite
JSC Kalashnikov
JSC Tula Arms Plant
NPK Technologii Maschinostrojenija
OAO Wysokototschnye Kompleksi
OAO Almaz Antey
OAO NPO Bazalt
Admiralty Shipyard JSC
Aleksandrov Scientific Research Technological Institute NITI
Argut OOO
Communication center of the Ministry of Defense
Federal Research Center Boreskov Institute of Catalysis
Federal State Budgetary Enterprise of the Administration of the President of Russia
Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the
President of Russia
Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA)
Foreign Intelligence Service (SVR)
Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior
Affairs
International Center for Quantum Optics and Quantum Technologies (the Russian Quantum
Center)
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Irkut Corporation
Irkut Research and Production Corporation Public Joint Stock Company
Joint Stock Company Scientific Research Institute of Computing Machinery
JSC Central Research Institute of Machine Building (JSC TsNIIMash)
JSC Kazan Helicopter Plant Repair Service
JSC Shipyard Zaliv (Zaliv Shipbuilding yard)
JSC Rocket and Space Centre – Progress
Kamensk-Uralsky Metallurgical Works J.S. Co.
Kazan Helicopter Plant PJSC
Komsomolsk-na-Amur Aviation Production Organization (KNAAPO)
Ministry of Defence RF
Moscow Institute of Physics and Technology
NPO High Precision Systems JSC
NPO Splav JSC
OPK Oboronprom
PJSC Beriev Aircraft Company
PJSC Irkut Corporation
PJSC Kazan Helicopters
POLYUS Research Institute of M.F. Stelmakh Joint Stock Company
Promtech-Dubna, JSC
Public Joint Stock Company United Aircraft Corporation
Radiotechnical and Information Systems (RTI) Concern
Rapart Services LLC; Rosoboronexport OJSC (ROE)
Rostec (Russian Technologies State Corporation)
Rostekh – Azimuth
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Russian Aircraft Corporation MiG
Russian Helicopters JSC
SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii)
Sukhoi Aviation JSC
Sukhoi Civil Aircraft
Tactical Missiles Corporation JSC
Tupolev JSC
UEC-Saturn
United Aircraft Corporation
JSC AeroKompozit
United Engine Corporation
UEC-Aviadvigatel JSC
United Instrument Manufacturing Corporation
United Shipbuilding Corporation
JSC PO Sevmash
Krasnoye Sormovo Shipyard
Severnaya Shipyard
Shipyard Yantar
UralVagonZavod.’
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ANNEX IV
The title of Annex V to Regulation (EU) No 833/2014 is replaced by the following:
‘
ANNEX V
List of legal persons, entities and bodies referred to in Article 5(3)(a)
’
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ANNEX V
The title of Annex VI to Regulation (EU) No 833/2014 is replaced by the following:
‘
ANNEX VI
List of legal persons, entities and bodies referred to in Article 5(3)(b)
’
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ANNEX VI
‘
ANNEX VII
List of goods and technology referred to in Articles 2a(1) and 2b(1)
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 Art. 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 GFLOPS 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.
Analog-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);
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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 microseconds and bandwidth in MHz) of more than 100;
or
c.
A dispersive delay of more than 10 microseconds;
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:
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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;
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m.
Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and
rate for a peak current of 500 A or more;
n.
Not used;
o.
Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels,
and solar arrays, which are “space qualified” and not controlled by
3A001.e.41.
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 analog oscilloscopes having a bandwidth of 1 GHz or
greater;
e.
Modular analog 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.
Analog sampling oscilloscopes for the analysis of recurring phenomena
with an effective bandwidth greater than 4 GHz;
g.
Digital oscilloscopes and transient recorders, using analog-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 analog oscilloscopes:
1.
Plug-in units;
2.
External amplifiers;
3.
Pre-amplifiers;
4.
Sampling devices;
1
Ref. Annex I to Regulation (EU) 2021/821
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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 capable of operating in the frequency range from
300 up to 600 Hz, 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 nanoseconds
or less over time intervals of 1 microsecond or greater; or
2.
Multi-channel (three or more) or modular time interval meter and
chronometry equipment with resolution of 50 nanoseconds or less
over time intervals of 1 microsecond 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 3A0012 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,
2
Ref. Annex I to Regulation (EU) 2021/821
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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 3C0013;
b.
Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001,
3C002, 3C003, 3C004, or 3C0054 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;
3
Ref. Annex I to Regulation (EU) 2021/821
4
Ref. Annex I to Regulation (EU) 2021/821
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2.
Beam energy (accelerating voltage) exceeding 200
keV;
3.
Optimized 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 vapor 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 vapor deposition” equipment operating
below 105 Pa; or
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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 vapor 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-analog conversion rate exceeding 3 MHz;
4.
Digital-to-analog conversion accuracy exceeding 12
bit; or
5.
Target-to-beam position feedback control precision of 1
micrometer 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 micrometer 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 micrometer 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 micrometer; or
2.
Spot size (kerf width) less than 3 micrometer.
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
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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 3A0015; or
2.
Masks or reticles, having both of the following
characteristics:
a.
Their design is based on geometries of 2,5
micrometer 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 micrometer 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 micrometer; or
5
Ref. Annex I to Regulation (EU) 2021/821
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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 micrometer or finer; and
2.
A precision of 0,75 micrometer 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 micrometer;
2.
Alignment with a precision finer than ± 0,25
micrometer (3 sigma);
3.
Machine-to-machine overlay no better than ± 0,3
micrometer; 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
micrometer;
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 micrometer.
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”;
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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
micrometer;
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 3A0016 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 micrometer 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 3A0017 or X.A.I.001;
b.
Equipment specially designed for the inspection or testing of
semiconductor devices, integrated circuits and “electronic assemblies”, as
follows, and systems incorporating or having the characteristics of such
equipment:
Note:
X.B.I.002.b also controls equipment used or modified for use in
the inspection or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.
1.
'Stored program controlled' inspection equipment for the automatic
detection of defects, errors or contaminants of 0,6 micrometer or
less in or on processed wafers, substrates, other than printed circuit
boards or chips, using optical image acquisition techniques for
pattern comparison;
Note:
X.B.I.002.b.1 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.
6
Ref. Annex I to Regulation (EU) 2021/821
7
Ref. Annex I to Regulation (EU) 2021/821
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2.
Specially designed 'stored program controlled' measuring and
analysis equipment, as follows:
a.
Specially designed for the measurement of oxygen or carbon
content in semiconductor materials;
b.
Equipment for line width measurement with a resolution of 1
micrometer or finer;
c.
Specially designed flatness measurement instruments capable
of measuring deviations from flatness of 10 micrometer or
less with a resolution of 1 micrometer or finer.
3.
'Stored program controlled' wafer probing equipment having any of
the following characteristics:
a.
Positioning accuracy finer than 3,5 micrometer;
b.
Capable of testing devices having more than 68 terminals; or
c.
Capable of testing at a frequency exceeding 1 GHz;
4.
Test equipment as follows:
a.
'Stored program controlled' equipment specially designed for
testing discrete semiconductor devices and unencapsulated
dice, capable of testing at frequencies exceeding 18 GHz;
Technical Note: Discrete semiconductor devices include
photocells and solar cells.
b.
'Stored program controlled' equipment specially designed for
testing integrated circuits and “electronic assemblies” thereof,
capable of functional testing:
1.
At a 'pattern rate' exceeding 20 MHz; or
2.
At a 'pattern rate' exceeding 10 MHz but not exceeding
20 MHz and capable of testing packages of more than
68 terminals.
Notes: X.B.I.002.b.4.b does not control test equipment
specially designed for testing:
1. Memories;
2. “Assemblies”
or a class of “electronic
assemblies” for home and entertainment
applications; and
3. Electronic components, “electronic assemblies”
and integrated circuits not controlled by 3A0018
or X.A.I.001 provided such test equipment does
not incorporate computing facilities with “user
accessible programmability”.
Technical Note: For purposes of X.B.I.002.b.4.b, '
pattern
rate'
is defined as the maximum frequency of digital
operation of a tester. It is therefore equivalent to the highest
8
Ref. Annex I to Regulation (EU) 2021/821
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data rate that a tester can provide in non-multiplexed mode.
It is also referred to as test speed, maximum digital frequency
or maximum digital speed.
c.
Equipment
specially
designed
for
determining
the
performance of focal-plane arrays at wavelengths of more
than 1 200 nm, using 'stored program controlled'
measurements or computer aided evaluation and having any
of the following characteristics:
1.
Using scanning light spot diameters of less than 0,12
mm;
2.
Designed for measuring photosensitive performance
parameters and for evaluating frequency response,
modulation transfer function, uniformity of responsivity
or noise; or
3.
Designed for evaluating arrays capable of creating
images with more than 32 x 32 line elements;
5.
Electron beam test systems designed for operation at 3 keV or
below, or “laser” beam systems, for non-contactive probing of
powered-up semiconductor devices having any of the following:
a.
Stroboscopic capability with either beam blanking or detector
strobing;
b.
An electron spectrometer for voltage measurements with a
resolution of less than 0,5 V; or
c.
Electrical tests fixtures for performance analysis of integrated
circuits;
Note:
X.B.I.002.b.5 does not control scanning electron
microscopes, except when specially designed and
instrumented for non-contactive probing of a powered-up
semiconductor device.
6.
'Stored program controlled' multifunctional focused ion beam
systems specially designed for manufacturing, repairing, physical
layout analysis and testing of masks or semiconductor devices and
having either of the following characteristics:
a.
Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.
Digital-to-analog conversion accuracy exceeding 12 bit;
7.
Particle measuring systems employing “lasers” designed for
measuring particle size and concentration in air having both of the
following characteristics:
a.
Capable of measuring particle sizes of 0,2 micrometer or less
at a flow rate of 0,02832 m3 per minute or more; and
b.
Capable of characterizing Class 10 clean air or better.
Technical Note: For the purpose of X.B.I.002, 'stored program controlled' is a
control using instructions stored in an electronic storage that a processor can
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execute in order to direct the performance of predetermined functions.
Equipment may be 'stored program controlled' whether the electronic storage
is internal or external to the equipment.
X.C.I.001
Positive resists designed for semiconductor lithography specially adjusted
(optimized) for use at wavelengths between 370 and 193 nm.
X.D.I.001
“Software” specially designed for the “development”, “production”, or
“use” of electronic devices or components controlled by X.A.I.001, general
purpose electronic equipment controlled by X.A.I.002, or manufacturing
and test equipment controlled by X.B.I.001 and X.B.I.002; or “software”
specially designed for the “use” of equipment controlled by 3B001.g and
3B001.h9.
X.E.I.001
“Technology” for the “development”, “production” or “use” of electronic
devices or components controlled by X.A.I.001, general purpose electronic
equipment controlled by X.A.I.002, or manufacturing and test equipment
controlled by X.B.I.001 or X.B.I.002, or materials controlled by X.C.I.001.
Category II – Computers
Note: Category II does not control goods for the personal use of the natural persons.
X.A.II.001
Computers, “electronic assemblies” and related equipment, not controlled
by 4A001 or 4A00310, and specially designed components therefor.
Note:
The control status of the “digital computers” and related equipment described in
X.A.II.001 is determined by the control status of other equipment or systems
provided:
a.
The “digital computers” or related equipment are essential for the operation
of the other equipment or systems;
b.
The “digital computers” or related equipment are not a “principal element” of
the other equipment or systems; and
N.B.1: The control status of “signal processing” or “image enhancement”
equipment specially designed for other equipment with functions
limited to those required for the other equipment is determined by the
control status of the other equipment even if it exceeds the “principal
element” criterion.
N.B.2: For the control status of “digital computers” or related equipment for
telecommunications
equipment,
see
Category
5,
Part
1
(Telecommunications) 11.
c.
The “technology” for the “digital computers” and related equipment is
determined by 4E12.
9
Ref. Annex I to Regulation (EU)2021/821
10
Ref. Annex I to Regulation (EU) 2021/821
11
Ref. Annex I to Regulation (EU) 2021/821
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a.
Electronic computers and related equipment, and “electronic assemblies”
and specially designed components therefor, rated for operation at an
ambient temperature above 343 K (70°C);
b.
“Digital computers”, including equipment of “signal processing” or
image enhancement”, having an “Adjusted Peak Performance” (“APP”)
equal to or greater than 0,0128 Weighted TeraFLOPS (WT);
c.
“Electronic assemblies” that are specially designed or modified to
enhance performance by aggregation of processors, as follows:
1.
Designed to be capable of aggregation in configurations of 16 or
more processors;
2.
Not used;
Note 1: X.A.II.001.c applies only to “electronic assemblies” and
programmable interconnections with a “APP” not exceeding
the limits in X.A.II.001.b, when shipped as unintegrated
“electronic assemblies”. It does not apply to “electronic
assemblies” inherently limited by nature of their design for use
as related equipment controlled by X.A.II.001.k.
Note 2: X.A.II.001.c does not control any “electronic assembly”
specially designed for a product or family of products whose
maximum configuration does not exceed the limits of
X.A.II.001.b.
d.
Not used;
e.
Not used;
f.
Equipment for “signal processing” or “image enhancement” having an
“Adjusted Peak Performance” (“APP”) equal to or greater than 0,0128
Weighted TeraFLOPS WT;
g.
Not used;
h.
Not used;
i.
Equipment containing 'terminal interface equipment' exceeding the limits
in X.A.III.101;
Technical Note: For the purpose of X.A.II.001.i, 'terminal interface
equipment' means equipment at which information enters or leaves the
telecommunication system, e.g. telephone, data device, computer, etc.
j.
Equipment specially designed to provide external interconnection of
“digital computers” or associated equipment that allows communications
at data rates exceeding 80 Mbyte/s.
Note:
X.A.II.001.j does not control internal interconnection equipment
(e.g., backplanes, buses) passive interconnection equipment,
“network access controllers” or 'communication channel
controllers'.
Technical Note: For the purpose of X.A.II.001.j, 'communication
channel controllers' is the physical interface which controls the flow of
12
Ref. Annex I to Regulation (EU) 2021/821
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synchronous or asynchronous digital information. It is an assembly that
can be integrated into computer or telecommunications equipment to
provide communications access.
k.
“Hybrid computers” and “electronic assemblies” and specially designed
components therefor containing analog-to-digital converters having all of
the following characteristics:
1.
32 channels or more; and
2.
A resolution of 14 bit (plus sign bit) or more with a conversion rate
of 200 000 Hz or more.
X.D.II.001
“Program” proof and validation “software”, “software” allowing the
automatic generation of “source codes”, and operating system “software”
that are specially designed for “real-time processing” equipment.
a.
“Program” proof and validation “software” using mathematical and
analytical techniques and designed or modified for “programs” having
more than 500 000 “source code” instructions;
b.
“Software” allowing the automatic generation of “source codes” from
data acquired on line from external sensors described in the Regulation
(EU) 2021/821; or
c.
Operating system “software” specially designed for “real-time
processing” equipment that guarantees a “global interrupt latency time”
of less than 20 microseconds.
Technical Note: For the purpose of X.D.II.001, 'global interrupt latency
time' is the time taken by the computer system to recognize an interrupt due
to the event, service the interrupt and perform a context switch to an
alternate memory-resident task waiting on the interrupt.
X.D.II.002
“Software” other than that controlled in 4D00113 specially designed or
modified for the “development”, “production” or “use” of equipment
controlled by 4A10114, X.A.II.001.
X.E.II.001
“Technology” for the “development”, “production” or “use” of equipment
controlled by X.A.II.001, or “software” controlled by X.D.II.001 or
X.D.II.002.
X.E.II.001
“Technology” for the “development” or “production” of equipment
designed for 'multi-data-stream processing'.
Technical Note: For the purpose of X.E.II.001, 'multi-data-stream processing'
is a microprogram or equipment architecture technique that permits
13
Ref. Annex I to Regulation (EU) 2021/821
14
Ref. Annex I to Regulation (EU) 2021/821
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simultaneous processing of two or more data sequences under the control of
one or more instruction sequences by means such as:
1. Single Instruction Multiple Data (SIMD) architectures such as vector or
array processors;
2. Multiple Single Instruction Multiple Data (MSIMD) architectures;
3. Multiple Instruction Multiple Data (MIMD) architectures, including
those that are tightly coupled, closely coupled or loosely coupled; or
4. Structured arrays of processing elements, including systolic arrays.
Category III. Part 1 - Telecommunications
X.A.III.101 Telecommunication equipment.
Note: Category III.Part 1 does not control goods for the personal use of the natural persons.
a.
Any type of telecommunications equipment, not controlled by 5A001.a15,
specially designed to operate outside the temperature range from 219 K (-
54°C) to 397 K (124°C).
b.
Telecommunication transmission equipment and systems, and specially
designed components and accessories therefor, having any of the
following characteristics, functions or features:
Note:
Telecommunication transmission equipment:
a.
Categorized as follows, or combinations thereof:
1.
Radio equipment (e.g., transmitters, receivers and
transceivers);
2.
Line terminating equipment;
3.
Intermediate amplifier equipment;
4.
Repeater equipment;
5.
Regenerator equipment;
6.
Translation encoders (transcoders);
7.
Multiplex equipment (statistical mutiplex included);
8.
Modulators/demodulators (modems);
9.
Transmultiplex equipment (see CCITT Rec. G701);
10. 'Stored program controlled' digital cross-connection
equipment;
11. ‘Gateways’ and bridges;
12. 'Media access units'; and
b.
Designed
for
use
in
single
or
multi-channel
communication via any of the following:
1.
Wire (line);
2.
Coaxial cable;
15
Ref. Annex I to Regulation (EU) 2021/821
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3.
Optical fibre cable;
4.
Electromagnetic radiation; or
5.
Underwater acoustic wave propagation.
1.
Employing digital techniques, including digital processing of
analog signals, and designed to operate at a “digital transfer rate” at
the highest multiplex level exceeding 45 Mbit/s or a “total digital
transfer rate” exceeding 90 Mbit/s;
Note:
X.A.III.101.b.1 does not control equipment specially
designed to be integrated and operated in any satellite
system for civil use.
2.
Modems using the ‘bandwidth of one voice channel’ with a
'data
signalling rate
' exceeding 9 600 bits per second;
3.
Being
'stored program controlled
' digital cross connect equipment
with “digital transfer rate” exceeding 8,5 Mbit/s per port.
4.
Being equipment containing any of the following:
a.
"Network access controllers" and their related common
medium having a “digital transfer rate” exceeding 33 Mbit/s;
or
b.
“Communication channel controllers” with a digital output
having a 'data signalling rate' exceeding 64 000 bit/s per
channel;
Note: If any uncontrolled equipment contains a “network access
controller”, it cannot have any type of telecommunications
interface, except those described in, but not controlled by
X.A.III.101.b.4.
5.
Employing a “laser” and having any of the following
characteristics:
a.
A transmission wavelength exceeding 1 000 nm; or
b.
Employing analog techniques and having a bandwidth
exceeding 45 MHz;
c.
Employing coherent optical transmission or coherent optical
detection techniques (also called optical heterodyne or
homodyne techniques);
d.
Employing wavelength division multiplexing techniques; or
e.
Performing “optical amplification”;
6.
Radio equipment operating at input or output frequencies
exceeding:
a.
31 GHz for satellite-earth station applications; or
b.
26,5 GHz for other applications;
Note:
X.A.III.101.b.6 does not control equipment for civil use
when
conforming
with
an
International
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Telecommunications Union (ITU) allocated band between
26,5 GHz and 31 GHz.
7.
Being radio equipment employing any of the following:
a.
Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the “total digital transfer rate” exceeds 8,5 Mbit/s;
b.
QAM techniques above level 16 if the “total digital transfer
rate” is equal to or less than 8,5 Mbit/s;
c.
Other digital modulation techniques and having a 'spectral
efficiency' exceeding 3 bit/s/Hz; or
d.
Operating in the 1,5 MHz to 87,5 MHz band and
incorporating adaptive techniques providing more than 15 dB
suppression of an interfering signal.
Notes:
1.
X.A.III.101.b.7 does not control equipment specially designed
to be integrated and operated in any satellite system for civil
use.
2.
X.A.III.101.b.7 does not control radio relay equipment for
operation in an International Telecommunications Union
(ITU) allocated band:
a.
Having any of the following:
1.
Not exceeding 960 MHz; or
2.
With a “total digital transfer rate” not exceeding
8,5 Mbit/s; and
b.
Having a “spectral efficiency” not exceeding 4
bit/s/Hz.
c.
'Stored program controlled' switching equipment and related signalling
systems, having any of the following characteristics, functions or
features, and specially designed components and accessories therefor:
Note:
Statistical multiplexers with digital input and digital output
which provide switching are treated as '
stored program
controlled'
switches.
1.
“Data (message) switching” equipment or systems designed for
“packet-mode operation”, electronic assemblies and components
therefor, other than those specified in the CML or in Regulation
(EU) 2021/821.
2.
Not used;
3.
Routing or switching of 'datagram' packets;
Note:
X.A.III.101.c.3 does not control networks restricted to
using only ‘network access controllers’ or to ‘network
access controllers’ themselves.
4.
Not used;
5.
Multi-level priority and pre-emption for circuit switching;
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Note:
X.A.III.101.c.5 does not control single-level call
preemption.
6.
Designed for automatic hand-off of cellular radio calls to other
cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
7.
Containing “stored program controlled” digital cross connect
equipment with “digital transfer rate” exceeding 8,5 Mbit/s per
port.
8.
'Common channel signalling' operating in either non-associated or
quasi-associated mode of operation;
9.
‘Dynamic adaptive routing’;
10. Being packet switches, circuit switches and routers with ports or
lines exceeding any of the following:
a.
A “data signalling rate” of 64 000 bit/s per channel for a
‘communications channel controller’; or
Note:
X.A.III.101.c.10.a does not control multiplex
composite links composed only of communication
channels
not
individually
controlled
by
X.A.III.101.b.1.
b.
A “digital transfer rate” of 33 Mbit/s for a ‘network access
controller’ and related common media;
Note:
X.A.III.101.c.10 does not control packet switches or
routers with ports or lines not exceeding the limits in
X.A.III.101.c.10.
11. “Optical switching”;
12. Employing ‘Asynchronous Transfer Mode’ (‘ATM’) techniques.
d.
Optical fibres and optical fibre cables of more than 50 m in length
designed for single mode operation;
e.
Centralized network control having all of the following characteristics:
1.
Receives data from the nodes; and
2.
Process these data in order to provide control of traffic not
requiring operator decisions, and thereby performing ‘dynamic
adaptive routing’;
Note 1: X.A.III.101.e does not include cases of routing decisions taken
on predefined information.
Note 2: X.A.III.101.e does not preclude control of traffic as a function of
predictable statistical traffic conditions.
f.
Phased array antennas, operating above 10,5 GHz, containing active
elements and distributed components, and designed to permit electronic
control of beam shaping and pointing, except for landing systems with
instruments meeting International Civil Aviation Organization (ICAO)
standards (microwave landing systems (MLS)).
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g.
Mobile communications equipment other than those specified in the
CML or in Regulation (EU) 2021/821, electronic assemblies and
components therefor; or
h.
Radio relay communications equipment designed for use at frequencies
equal to or exceeding 19,7 GHz and components therefor, other than
those specified in the CML or in Regulation (EU) 2021/821.
Technical Note: For the purpose of X.A.III.101:
1) ‘Asynchronous transfer mode’ (‘ATM’) is a transfer mode in which the
information is organized into cells; it is asynchronous in the sense that the
recurrence of cells depends on the required or instantaneous bit rate.
2) ‘Bandwidth of one voice channel’ is data communication equipment
designed to operate in one voice channel of 3 100 Hz, as defined in CCITT
Recommendation G.151.
3) ‘Communications channel controller’ is the physical interface that controls
the flow of synchronous or asynchronous digital information. It is an
assembly that can be integrated into computer or telecommunications
equipment to provide communications access.
4) ‘Datagram’ is a self-contained, independent entity of data carrying
sufficient information to be routed from the source to the destination data
terminal equipment without reliance on earlier exchanges between this
source and destination data terminal equipment and the transporting
network.
5) ‘Fast select’ is a facility applicable to virtual calls that allows data terminal
equipment to expand the possibility to transmit data in call set-up and
clearing ‘packets’ beyond the basic capabilities of a virtual call.
6) ‘Gateway’ is the function, realized by any combination of equipment and
“software”, to carry out the conversion of conventions for representing,
processing or communicating information used on one system into the
corresponding, but different conventions used in another system.
7) ‘Integrated Services Digital Network’ (ISDN) is a unified end-to-end digital
network, in which data originating from all types of communication (e.g.,
voice, text, data, still and moving pictures) are transmitted from one port
(terminal) in the exchange (switch) over one access line to and from the
subscriber.
8) ‘Packet’ is a group of binary digits including data and call control signals
that is switched as a composite whole. The data, call control signals, and
possible error control information are arranged in a specified format.
9) 'Common channel signalling' means the transmission of control information
(signalling) via a separate channel than that used for the messages. The
signalling channel usually controls multiple message channels.
10)'Data signalling rate' means the rate, as defined in ITU Recommendation
53-36, taking into account that, for non-binary modulation, baud and bit per
second are not equal. Bits for coding, checking and synchronization
functions are to be included.
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11) 'Dynamic adaptive routing' means Automatic rerouting of traffic based on
sensing and analysis of current actual network conditions
12)'Media access unit' means equipment that contains one or more
communication interfaces (“network access controller”, “communications
channel controller”, modem or computer bus) to connect terminal
equipment to a network.
13)'Spectral effiency' is the “digital transfer rate” [bits/s] / 6 dB spectrum
bandwidth in Hz.
14)'Stored program controlled' is a control using instructions stored in an
electronic storage that a processor can execute in order to direct the
performance of predetermined functions. Note: Equipment may be 'stored
program controlled' whether the electronic storage is internal or external to
the equipment.
X.B.III.101 Telecommunications test equipment, other than those specified in the
CML or in Regulation (EU) 2021/821.
X.C.III.101 Preforms of glass or of any other material optimized for the manufacture
of optical fibres controlled by X.A.III.101.
X.D.III.101 “Software” specially designed or modified for the “development”,
“production” or “use” of equipment controlled by X.A.III.101 and
X.B.III.101, and dynamic adaptive routing software as described as
follows:
a.
“Software”, other than in machine-executable form, specially designed
for “dynamic adaptive routing”.
b.
Not used;
X.E.III.101 “Technology” for the “development”, “production” or “use” of equipment
controlled by X.A.III.101 or X.B.III.101, or “software” controlled by
X.D.III.101, and other “technologies” as follows:
a.
Specific “technologies” as follows:
1.
“Technology” for the processing and application of coatings to
optical fibre specially designed to make it suitable for underwater
use;
2.
“Technology” for the “development” of equipment employing
‘Synchronous Digital Hierarchy’ (‘SDH’) or ‘Synchronous Optical
Network’ (‘SONET’) techniques.
Technical Note: For the purpose of X.E.III.101:
1) ‘Synchronous digital hierarchy’ (SDH) is a digital hierarchy providing a
means to manage, multiplex, and access various forms of digital traffic
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using a synchronous transmission format on different types of media. The
format is based on the Synchronous Transport Module (STM) that is defined
by CCITT Recommendation G.703, G.707, G.708, G.709 and others yet to
be published. The first level rate of ‘SDH’ is 155,52 Mbits/s.
2) ‘Synchronous optical network’ (SONET) is a network providing a means to
manage, multiplex and access various forms of digital traffic using a
synchronous transmission format on fibre optics. The format is the North
America version of ‘SDH’ and also uses the Synchronous Transport Module
(STM). However, it uses the Synchronous Transport Signal (STS) as the
basic transport module with a first level rate of 51,81 Mbits/s. The SONET
standards are being integrated into those of ‘SDH’.
Category III. Part 2 - Information Security
X.A.III.201 Equipment as follows:
a.
Not used;
b.
Not used;
c.
Goods classified as mass market encryption in accordance with
Cryptography Note – Note 3 to Category 5, Part 216.
X.D.III.201 “Information Security” “software” as follows:
Note: This entry does not control “software” designed or modified to protect against
malicious computer damage, e.g., viruses, where the use of “cryptography” is
limited to authentication, digital signature and/or the decryption of data or files.
a.
Not used;
b.
Not used;
c.
“Software” classified as mass market encryption software in accordance
with Cryptography Note – Note 3 to Category 5, Part 217.
X.E.III.201 “Information Security” “technology” according to the General
Technology Note, as follows:
a.
Not used;
b.
“Technology”, other than specified in the CML or in Regulation (EU)
2021/821, for the “use” of mass market goods controlled by
X.A.III.201.c or mass market “software” controlled by X.D.III.201.c.
Category IV – Sensors and Lasers
16
Ref. Annex I to Regulation (EU) 2021/821
17
Ref. Annex I to Regulation (EU) 2021/821
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X.A.IV.001 Marine or terrestrial acoustic equipment, capable of detecting or locating
underwater objects or features or positioning surface vessels or
underwater vehicles; and specially designed components , other than those
specified in the CML or in Regulation (EU) 2021/821.
X.A.IV.002 Optical Sensors as follows:
a.
Image intensifier tubes and specially designed components therefor, as
follows:
1.
Image intensifier tubes having all the following:
a.
A peak response in wavelength range exceeding 400 nm, but
not exceeding 1 050 nm;
b.
A microchannel plate for electron image amplification with a
hole pitch (center-to-center spacing) of less than 25
micrometers; and
c.
Having any of the following:
1.
An S-20, S-25 or multialkali photocathode; or
2.
A GaAs or GaInAs photocathode;
2.
Specially designed microchannel plates having both of the
following characteristics:
a.
15 000 or more hollow tubes per plate; and
b.
Hole pitch (center-to-center spacing) of less than 25
micrometers.
b.
Direct view imaging equipment operating in the visible or infrared
spectrum, incorporating image intensifier tubes having the characteristics
listed in X.A.IV.002.a.1.
X.A.IV.003 Cameras as follows:
a.
Cameras that meet the criteria of Note 3 to 6A003.b.4.18
b.
Not used;
X.A.IV.004 Optics as follows:
a.
Optical filters:
1.
For wavelengths longer than 250 nm, comprised of multi-layer
optical coatings and having either of the following:
a.
Bandwidths equal to or less than 1 nm Full Width Half
Intensity (FWHI) and peak transmission of 90% or more; or
18
Ref. Annex I to Regulation (EU) 2021/821
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b.
Bandwidths equal to or less than 0,1 nm FWHI and peak
transmission of 50% or more;
Note:
X.A.IV.004 does not control optical filters with fixed air gaps or
Lyot-type filters.
2.
For wavelengths longer than 250 nm, and having all of the
following:
a.
Tunable over a spectral range of 500 nm or more;
b.
Instantaneous optical bandpass of 1,25 nm or less;
c.
Wavelength resettable within 0,1 ms to an accuracy of 1 nm
or better within the tunable spectral range; and
d.
A single peak transmission of 91% or more;
3.
Optical opacity switches (filters) with a field of view of 30 or
wider and a response time equal to or less than 1 ns;
b.
'Fluoride fibre' cable, or optical fibres therefor, having an attenuation of
less than 4 dB/km in the wavelength range exceeding 1 000 nm but not
exceeding 3 000 nm.
Technical Note: For the purpose of X.A.IV.004.b 'Fluoride fibres' are
fibres manufactured from bulk fluoride compounds.
X.A.IV.005 “Lasers” as follows:
a.
Carbon dioxide (CO2) “lasers” having any of the following:
1.
A CW output power exceeding 10 kW;
2.
A pulsed output with a “pulse duration” exceeding 10 μs; and
a.
An average output power exceeding 10 kW; or
b.
A pulsed “peak power” exceeding 100 kW; or
3.
A pulsed output with a “pulse duration” equal to or less than 10 μs;
and
a.
A pulse energy exceeding 5 J per pulse and “peak power”
exceeding 2,5 kW; or
b.
An average output power exceeding 2,5 kW;
b.
Semiconductor lasers, as follows:
1.
Individual, single-transverse mode semiconductor “lasers” having:
a.
An average output power exceeding 100 mW; or
b.
A wavelength exceeding 1 050 nm;
2.
Individual, multiple-transverse mode semiconductor “lasers”, or
arrays of individual semiconductor “lasers”, having a wavelength
exceeding 1 050 nm;
c.
Ruby “lasers” having an output energy exceeding 20 J per pulse;
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d.
Non-“tunable” “pulsed lasers” having an output wavelength exceeding
975 nm but not exceeding 1 150 nm and having any of the following:
1.
A “pulse duration” equal to or exceeding 1 ns but not exceeding 1
μs, and having any of the following:
a.
A single transverse mode output and having any of the
following:
1.
A ‘wall-plug efficiency’ exceeding 12% and an
“average output power” exceeding 10 W and capable of
operating at a pulse repetition frequency greater than 1
kHz; or
2.
An “average output power” exceeding 20 W; or
b.
A multiple transverse mode output and having any of the
following:
1.
A ‘wall-plug efficiency’ exceeding 18% and an
“average output power” exceeding 30W;
2.
A “peak power” exceeding 200 MW; or
3.
An “average output power” exceeding 50 W; or
2.
A “pulse duration” exceeding 1 μs and having any of the following:
a.
A single transverse mode output and having any of the
following:
1.
A ‘wall-plug efficiency’ exceeding 12% and an
“average output power” exceeding 10 W and capable of
operating at a pulse repetition frequency greater than 1
kHz; or
2.
An “average output power” exceeding 20 W; or
b.
A multiple transverse mode output and having any of the
following:
1.
A ‘wall-plug efficiency’ exceeding 18% and an
“average output power” exceeding 30 W; or
2.
An “average output power” exceeding 500 W;
e.
Non-“tunable” continuous wave “(CW) lasers”, having an output
wavelength exceeding 975 nm but not exceeding 1 150 nm and having
any of the following:
1.
A single transverse mode output and having any of the following:
a.
A ‘wall-plug efficiency’ exceeding 12% and an “average
output power” exceeding 10 W and capable of operating at a
pulse repetition frequency greater than 1 kHz; or
b.
An “average output power” exceeding 50 W; or
2.
A multiple transverse mode output and having any of the
following:
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a.
A ‘wall-plug efficiency’ exceeding 18% and an “average
output power” exceeding 30 W; or
b.
An “average output power” exceeding 500 W;
Note:
X.A.IV.005.e.2.b
does
not
control
multiple
transverse mode, industrial “lasers” with output
power less than or equal to 2 kW with a total mass
greater than 1 200kg. For the purpose of this note,
total mass includes all components required to
operate the “laser”, e.g., “laser”, power supply,
heat exchanger, but excludes external optics for
beam conditioning and/or delivery.
f.
Non-“tunable” “lasers”, having a wavelength exceeding 1 400 nm, but
not exceeding 1 555 nm and having any of the following:
1.
An output energy exceeding 100 mJ per pulse and a pulsed “peak
power” exceeding 1 W; or
2.
An average or CW output power exceeding 1 W;
g.
Free electron “lasers”.
Technical Note: For the purpose of X.A.IV.005 'Wall-plug efficiency' is defined
as the ratio of "laser" output power (or "average output power") to total
electrical input power required to operate the "laser", including the power
supply/conditioning and thermal conditioning/heat exchanger.
X.A.IV.006 “Magnetometers”, “Superconductive” electromagnetic sensors, and
specially designed components therefor, as follows:
a.
“Magnetometers”, other than those specified in the CML or in Regulation
(EU) 2021/821, having a ‘sensitivity’ lower (better) than 1,0 nT (rms) per
square root Hz.
Technical Note: For the purposes of X.A.IV.006.a, ‘sensitivity’ (noise
level) is the root mean square of the device-limited noise floor which is
the lowest signal that can be measured.
b.
“Superconductive” electromagnetic sensors, components manufactured
from “superconductive” materials:
1.
Designed for operation at temperatures below the “critical
temperature” of at least one of their “superconductive” constituents
(including Josephson effect devices or “superconductive” quantum
interference devices (SQUIDS));
2.
Designed for sensing electromagnetic field variations at
frequencies of 1 KHz or less; and
3.
Having any of the following characteristics:
a.
Incorporating thin-film SQUIDS with a minimum feature size
of less than 2 μm and with associated input and output
coupling circuits;
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b.
Designed to operate with a magnetic field slew rate
exceeding 1 x 106 magnetic flux quanta per second;
c.
Designed to function without magnetic shielding in the
earth’s ambient magnetic field; or
d.
Having a temperature coefficient less (smaller) than 0,1
magnetic flux quantum/K.
X.A.IV.007 Gravity meters (gravimeters) for ground use, other than those specified in
the CML or in Regulation (EU) 2021/821, as follows:
a.
Having a static accuracy of less (better) than 100 μGal; or
b.
Being of the quartz element (Worden) type.
X.A.IV.008 Radar systems, equipment and major components, other than those
specified in the CML or in Regulation (EU) 2021/821, and specially
designed components therefor, as follows:
a.
Airborne radar equipment, other than those specified in the CML or in
Regulation (EU) 2021/821, and specially designed components therefor.
b.
“Space-qualified” “laser” radar or Light Detection and Ranging (LIDAR)
equipment specially designed for surveying or for meteorological
observation.
c.
Millimeter wave enhanced vision radar imaging systems specially
designed for rotary wing aircraft and having all of the following:
1.
Operates at a frequency of 94 GHz;
2.
An average output power of less than 20 mW;
3.
Radar beam width of 1 degree; and
4.
Operating range equal to or greater than 1 500 m.
X.A.IV.009 Specific processing equipment, as follows:
a.
Seismic detection equipment not controlled by X.A.IV.009.c.
b.
Radiation hardened TV cameras, other than those specified in the CML
or in Regulation (EU) 2021/821.
c.
Seismic intrusion detection systems that detect, classify and determine
the bearing on the source of a detected signal.
X.B.IV.001
Equipment, including tools, dies, fixtures or gauges, and other specially
designed components and accessories therefor, specially designed or
modified for any of the following:
a.
For the manufacture or inspection of:
1.
Free electron “laser” magnet wigglers;
2.
Free electron “laser” photo injectors;
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b.
For the adjustment, to required tolerances, of the longitudinal magnetic
field of free electron “lasers”.
X.C.IV.001 Optical sensing fibres that are modified structurally to have a ‘beat
length’ of less than 500 mm (high birefringence) or optical sensor
materials not described in 6C002.b19 and having a zinc content of equal to
or more than 6% by ‘mole fraction.’
Technical Note: For the purpose of X.C.IV.001:
1)
‘Mole fraction’ is defined as the ratio of moles of ZnTe to the sum of the moles
of CdTe and ZnTe present in the crystal.
2)
‘Beat length’ is the distance over which two orthogonally polarized signals,
initially in phase, must pass in order to achieve a 2 Pi radian(s) phase difference.
X.C.IV.002 Optical materials, as follows:
a.
Low optical absorption materials, as follows:
1.
Bulk fluoride compounds containing ingredients with a purity of
99,999% or better; or
Note:
X.C.IV.002.a.1 controls fluorides of zirconium or
aluminum and variants.
2.
Bulk fluoride glass made from compounds controlled by
6C004.e.120;
b.
‘Optical fibre preforms’ made from bulk fluoride compounds containing
ingredients with a purity of 99,999% or better, “specially designed” for
the manufacture of ‘fluoride fibres’ controlled by X.A.IV.004.b.
Technical Note: For the purpose of X.C.IV.002:
1) ‘Fluoride fibres’ are fibres manufactured from bulk fluoride compounds.
2) ‘Optical fibre preforms’ are bars, ingots, or rods of glass, plastic or other
materials that have been specially processed for use in fabricating optical
fibres. The characteristics of the preform determine the basic parameters
of the resultant drawn optical fibres.
19
Ref. Annex I to Regulation (EU) 2021/821
20
Ref. Annex I to Regulation (EU) 2021/821
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X.D.IV.001 “Software”, other than those specified in the CML or in Regulation (EU)
2021/821, specially designed for the “development”, “production”, or
“use” of goods controlled by 6A002, 6A00321, X.A.IV.001, X.A.IV.006,
X.A.IV.007, or X.A.IV.008.
X.D.IV.002 “Software” specially designed for the “development” or “production” of
equipment controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005.
X.D.IV.003 Other “software”, as follows:
a.
Air Traffic Control (ATC) “software” application “programs” hosted on
general purpose computers located at Air Traffic Control centers, and
capable of automatically handing over primary radar target data (if not
correlated with secondary surveillance radar (SSR) data) from the host
ATC center to another ATC center.
b.
“Software” specially designed for seismic intrusion detection systems in
X.A.IV.009.c.
c.
“Source Code” specially designed for seismic intrusion detection systems
in X.A.IV.009.c.
X.E.IV.001
“Technology” for the “development”, “production” or “use” of equipment
controlled by X.A.IV.001, X.A.IV.006, X.A.IV.007, X.A.IV.008 or
X.A.IV.009.c.
X.E.IV.002
“Technology” for the “development” or “production” of equipment,
materials or “software” controlled by X.A.IV.002, X.A.IV.004, or
X.A.IV.005, X.B.IV.001, X.C.IV.001, X.C.IV.002, or X.D.IV.003.
X.E.IV.003
Other “technology” as follows:
a.
Optical fabrication technologies for serially producing optical
components at a rate exceeding 10 m2 of surface area per year on any
single spindle and having all of the following:
1.
Area exceeding 1 m2; and
2.
Surface figure exceeding λ/10 (rms) at the designed wavelength;
b.
“Technology” for optical filters with a bandwidth equal to or less than 10
nm, a field of view (FOV) exceeding 40 and a resolution exceeding 0,75
line pairs per milliradian;
c.
“Technology” for the “development” or “production” of cameras
controlled by X.A.IV.003;
21
Ref. Annex I to Regulation (EU) 2021/821
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d.
“Technology” required for the “development” or “production” of
non-triaxial
fluxgate “magnetometers” or non-triaxial fluxgate
“magnetometer” systems, having any of the following:
1.
‘Sensitivity’ lower (better) than 0,05 nT (rms) per square root Hz at
frequencies of less than 1 Hz; or
2.
‘Sensitivity’ lower (better) than 1 x 10-3 nT (rms) per square root
Hz at frequencies of 1 Hz or more.
e.
“Technology” required for the “development” or “production” of infrared
up-conversion devices having all of the following:
1.
A response in the wavelength range exceeding 700 nm but not
exceeding 1 500 nm; and
2.
A combination of an infrared photodetector, light emitting diode
(OLED), and nanocrystal to convert infrared light into visible light.
Technical Note: For the purposes of X.E.IV.003, ‘sensitivity’ (or noise level) is
the root mean square of the device-limited noise floor which is the lowest
signal that can be measured.
Category V – Navigation and Avionics
X.A.V.001
Airborne communication equipment, all "aircraft" inertial navigation
systems, and other avionic equipment, including components, other than
those specified in the CML or in Regulation (EU) 2021/821.
Note 1: X.A.V.001. does not control headsets or microphones.
Note 2: X.A.V.001. does not control goods for the personal use of the natural
persons.
X.B.V.001
Other equipment specially designed for the test, inspection, or
“production” of navigation and avionics equipment.
X.D.V.001
“Software”, other than specified in the CML or in Regulation (EU)
2021/821, for the “development”, “production”, or “use” of navigation,
airborne communication and other avionics.
X.E.V.001
“Technology”, other than specified in the CML or in Regulation (EU)
2021/821, for the “development”, “production” or “use” of navigation,
airborne communication, and other avionics equipment.
Category VI – Marine
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X.A.VI.001 Vessels, marine systems or equipment, and specially designed components
therefor, components and accessories as follows:
a.
Underwater vision systems, as follows:
1.
Television systems (comprising camera, lights, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 500 lines and specially designed or
modified for remote operation with a submersible vehicle; or
2.
Underwater television cameras having a limiting resolution when
measured in air of more than 700 lines;
Technical Note: Limiting resolution in television is a measure of
horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.
b.
Photographic still cameras specially designed or modified for underwater
use, having a film format of 35 mm or larger, and having autofocusing or
remote focusing “specially designed” for underwater use;
c.
Stroboscopic light systems, specially designed or modified for
underwater use, capable of a light output energy of more than 300 J per
flash;
d.
Other underwater camera equipment, other than those specified in the
CML or in Regulation (EU) 2021/821;
e.
Not used;
f.
Vessels (surface or underwater), including inflatable boats, and specially
designed components therefor, other than those specified in the CML or
in Regulation (EU) 2021/821;
Note:
X.A.VI.001.f does not control vessels on temporary sojourn,
used for private transport or for the transport of passengers or
goods from or through the customs territory of the Union.
g
Marine engines (both inboard and outboard) and submarine engines and
specially designed components therefor, other than those specified in the
CML or in Regulation (EU) 2021/821;
h.
Self-contained underwater breathing apparatus (scuba gear) and
accessories therefor, other than those specified in the CML or in
Regulation (EU) 2021/821;
i.
Life jackets, inflation cartridges, dive compasses and dive computers;
Note:
X.A.VI.001.i does not control goods for the personal use of the
natural persons.
j.
Underwater lights and propulsion equipment;
Note:
X.A.VI.001.j does not control goods for the personal use of the
natural persons.
k.
Air compressors and filtration system specially designed for filling air
cylinders;
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X.D.VI.001 “Software” specially designed or modified for the “development”,
“production” or “use” of equipment controlled by X.A.VI.001.
X.D.VI.002 “Software” specially designed for the operation of unmanned submersible
vehicles used in the oil and gas industry.
X.E.VI.001
“Technology” for the “development”, “production” or “use” of equipment
controlled by X.A.VI.001.
Category VII – Aerospace and Propulsion
X.A.VII.001 Diesel engines, and tractors and specially designed components therefor,
other than those specified in the CML or in Regulation (EU) 2021/821.
a.
Diesel engines, other than those specified in the CML or in Regulation
(EU) 2021/821, for trucks, tractors, and automotive applications, having
an overall power output of 298kW or more.
b.
Off highway wheel tractors of carriage capacity 9 t or more; and major
components and accessories, other than those specified in the CML or in
Regulation (EU) 2021/821.
c.
Road tractors for semi-trailers, with single or tandem rear axles rated for
9 t per axel or more and specially designed major components.
Note:
X.A.VII.001.b and X.A.VII.001.c do not control vehicles on
temporary sojourn, used for private transport or for the
transport of passengers or goods from or through the customs
territory of the Union.
X.A.VII.002 Gas turbine engines and components, other than those specified in the
CML or in Regulation (EU) 2021/821.
a.
Not used.
b.
Not used.
c.
Aero gas turbine engines and components specially designed therefor.
Note:
X.A.VII.002.c does not control aero gas turbine engines that are
destined for use in civil “aircraft” and that have been in use in
bona fide civil “aircraft” for more than eight years. If they have
been in use in bona fide civil “aircraft” for more than eight
years, see ANNEX XI.
d.
Not used.
e.
Pressurized aircraft breathing equipment components specially designed
therefor, other than those specified in the CML or in Regulation (EU)
2021/821.
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X.B.VII.001 Vibration test equipment and specially designed components, other than
those specified in the CML or in Regulation (EU) 2021/821.
Note:
X.B.VII.001. controls only equipment for the “development” or
“production”. It does not control condition monitoring systems.
X.B.VII.002 Specially designed “equipment”, tooling or fixtures for manufacturing or
measuring gas turbine blades, vanes or tip shroud castings, as follows:
a.
Automated equipment using non-mechanical methods for measuring
airfoil wall thickness;
b.
Tooling, fixtures or measuring equipment for the “laser”, water jet or
ECM/EDM hole drilling processes controlled by 9E003.c22;
c.
Ceramic core leaching equipment;
d.
Ceramic core manufacturing equipment or tools;
e.
Ceramic shell wax pattern preparation equipment;
f.
Ceramic shell burn out or firing equipment.
X.D.VII.001 “Software”, other than those specified in the CML or in Regulation (EU)
2021/821, for the “development” or “production” of equipment controlled
by X.A.VII.001 or X.B.VII.001.
X.D.VII.002 “Software”, for the “development” or “production” of equipment
controlled by X.A.VII.002 or X.B.VII.002.
X.E.VII.001 “Technology”, other than those specified in the CML or in Regulation
(EU) 2021/821, for the “development” or “production” or “use” of
equipment controlled by X.A.VII.001 or X.B.VII.001.
X.E.VII.002 “Technology”, for the “development”, “production” or “use” of
equipment controlled by X.A.VII.002 or X.B.VII.002.
X.E.VII.003 Other “technology”, not described by 9E00323, as follows:
a.
Rotor blade tip clearance control systems employing active compensating
casing “technology” limited to a design and development data base; or
b.
Gas bearing for turbine engine rotor assemblies.’
22
Ref. Annex I to Regulation (EU) 2021/821
23
Ref. Annex I to Regulation (EU) 2021/821
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ANNEX VII
‘ANNEX VIII
List of partner countries referred to in Article 2d(4)
THE UNITED STATES OF AMERICA’
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ANNEX VIII
‘
ANNEX IX
A. Model for supply, transfer or export notification, application and authorisation forms
(referred to in Article 2c of this Regulation)
The export authorisation is valid in all Member States of the European Union until its expiry
date.
EXPORT AUTHORISATION / NOTIFICATION (Reg.
EUROPEAN UNION
(EU) No …24)
For authorisations, indicate if this has been requested
pursuant to Article 2(4), 2(5), 2a(4), 2a(5) or 2b(1) of
Regulation XXX/XXX:
For authorisations pursuant to Article 2(4) or 2a(4) of
If notifying pursuant to Article 2(3) or 2a(3) of Regulation
Regulation XXX/XXX, indicate what point(s)
XXX/XXX, indicate what point(s) applies/apply:
applies/apply:
□
□
(a) humanitarian purposes, health emergencies, the
(a) intended for cooperation between the Union,
urgent prevention or mitigation of an event likely to
the governments of Member States and the
have a serious and significant impact on human health
government of Russia in purely civilian matters;
and safety or the environment or as a response to natural
□
disasters;
(b) intended for the space industry, including
cooperation
in
the
academic
field
and
□ (b) medical or pharmaceutical purposes;
intergovernmental cooperation in space programmes;
□ (c) temporary export of items for use by news media; □ (c) intended for the operation, maintenance, fuel
retreatment and safety of civil nuclear capabilities, as
□ (d) software updates;
well as civil nuclear cooperation, notably in the field
of research and development;
□ (e) use as consumer communication devices;
□ (d) intended for maritime safety;
□ (f) ensuring cyber-security and information security □
for natural and legal persons, and bodies in Russia
(e) intended for civilian telecommunications
except for its government and undertakings directly or
networks, including the provision of internet
indirectly controlled by that government;
services;
□
□
(g) personal use of the natural persons travelling to
(f) intended for the exclusive use of entities
Russia or members of their immediate families travelling
owned, or solely or jointly controlled by a legal
with them, and limited to personal effects, household
person, entity or body which is incorporated or
effects, vehicles or tools of trade owned by the
constituted under the law of a Member State or of a
individuals and not intended for sale
partner country;
□ (g) for the diplomatic representations of the
Union, Member States and partner countries,
including delegations, embassies and missions.
For authorisations pursuant to Article 2b(1) of
Regulation XXX/XXX, indicate what point applies:
□ (a) urgent prevention or mitigation of an event
24
please insert the number of this Regulation.
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likely to have a serious and significant impact on
human health and safety or the environment;
□ (b) contracts concluded before [date of entry into
force of this Regulation], or ancillary contracts
necessary for the execution of such a contract,
provided that the authorisation is requested before [1
May 2022].
1
1. Exporter
2.
Identification 3. Expiry date
number
(if applicable)
4. Contact point details
5. Consignee
6. Issuing authority
7. Agent/Representative
(if different from
exporter)
8. Country of consignment
Code25
9. End user (if different from
10. Member State of current or Code
2
consignee)
future location of the items
11. Member State of intended
Code
2
entry into the customs export
procedure
1
12. Country of final destination
Code
2
Confirm that the end user is
Yes/No
non military
25
See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).
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13. Description of the items26
14. Country of origin
Code2
15. Harmonised System
16. Control list no
or Combined
(for listed items)
Nomenclature Code (if
applicable with 8 digit;
CAS number if
available)
17. Currency and Value
18. Quantity of
the items
19. End use
Confirm
Yes/No
20. Contract
21.
Customs
export
that the
date (if
procedure
end use
applicable )
is
non
military
22. Additional information:
Available for pre-printed information
At discretion of Member States
For
completion
by
issuing authority
Stamp
Signature
Issuing Authority
Date
26
If needed, this description may be given in one or more attachments to this form (1bis).
In this case, indicate the exact number of attachments in this box. The description
should be as precise as possible and integrate, where relevant, the CAS or other
references for chemical items in particular.
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EN
EUROPEAN UNION
(Reg. (EU) No …)
1
1. Exporter
2. Identification number
Bis
13. Description of the items
14. Country of origin
Code2
15. Commodity code (if
16. Control list no
applicable with 8 digit; CAS
(for listed items)
number if available )
17. Currency and Value
18. Quantity of
the items
13. Description of the items
14. Country of origin
Code2
15. Commodity code (if
16. Control list no
applicable with 8 digit; CAS
(for listed items)
number if available )
17. Currency and Value
18. Quantity of
the items
13. Description of the items
14. Country of origin
Code2
15. Commodity code
16. Control list no
17. Currency and value
18. Quantity of
the items
13. Description of the items
14. Country of origin
Code2
15. Commodity code
16. Control list no
17. Currency and value
18. Quantity of
the items
13. Description of the items
14. Country of origin
Code2
15. Commodity code
16. Control list no
17. Currency and value
18. Quantity of
the items
13. Description of the items
14. Country of origin
Code2
15. Commodity code
16. Control list no
17. Currency and value
18. Quantity of
the items
EN
48
EN
Note: In part 1 of column 24, write the quantity still available and in part 2 of column 24, write the quantity
deducted on this occasion.
23. Net quantity/value (Net mass/other unit with indication of
26. Customs document
27. Member state,
unit)
(Type and number) or
name and signature,
extract (Nr) and date of
stamp of deduction
deduction
24. In numbers
25. In words for
quantity/value
deducted
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
EN
49
EN
B. Model for brokering services/ technical assistance notification, application and
authorisation forms
(referred to in Article 2C of this Regulation)
EUROPEAN UNION
PROVISION OF TECHNICAL ASSISTANCE (Reg. (EU) No …27)
For authorisations, indicate if this has been requested pursuant to
Article 2(4), 2(5), 2a(4), 2a(5) or 2b(1) of Regulation XXX/XXX:
For authorisations pursuant to Article 2(4) or 2a(4) of Regulation
XXX/XXX, indicate what point(s) applies/apply:
□ (a) intended for cooperation between the Union, the
governments of Member States and the government of Russia in
If notifying pursuant to Article 2(3) or 2a(3) of Regulation
purely civilian matters;
XXX/XXX, indicate what point(s) applies/apply:
□
□
(b) intended for the space industry, including cooperation in
(a) humanitarian purposes, health emergencies, the
the academic field and intergovernmental cooperation in space
urgent prevention or mitigation of an event likely to have
programmes;
a serious and significant impact on human health and
safety or the environment or as a response to natural
□ (c) intended for the operation, maintenance, fuel retreatment
disasters;
and safety of civil nuclear capabilities, as well as civil nuclear
□
cooperation, notably in the field of research and development;
(b) medical or pharmaceutical purposes;
□
□
(d) intended for maritime safety;
(c) temporary export of items for use by news media;
□
□
(e) intended for civilian telecommunications networks,
(d) software updates;
including the provision of internet services;
□ (e) use as consumer communication devices;
□ (f) intended for the exclusive use of entities owned, or solely
□
or jointly controlled by a legal person, entity or body which is
(f) ensuring cyber-security and information security for
incorporated or constituted under the law of a Member State or of
natural and legal persons, and bodies in Russia except for a partner country;
its government and undertakings directly or indirectly
controlled by that government;
□ (g) for the diplomatic representations of the Union, Member
□
States and partner countries, including delegations, embassies and
(g) personal use of the natural persons travelling to
missions.
Russia or members of their immediate families travelling
with them, and limited to personal effects, household
effects, vehicles or tools of trade owned by the individuals
and not intended for sale.
For authorisations pursuant to Article 2b(1) of Regulation
XXX/XXX, indicate what point applies:
□ (a) urgent prevention or mitigation of an event likely to have a
serious and significant impact on human health and safety or the
environment;
□ (b) contracts concluded before [date of entry into force of this
Regulation], or ancillary contracts necessary for the execution
of such a contract, provided that the authorisation is requested
before [1 May 2022].
27
OJ: please insert the number of this Regulation.
EN
50
EN
1
1. Broker/ Supplier
2. Identification number
3. Expiry date
of technical
(if applicable)
assistance/
Applicant
4. Contact point details
5. Exporter in originating third
6. Issuing authority
country (if applicable)
7. Consignee
8. Member State in which the broker / supplier of
Code28
technical assistance is resident or established
9. Originating country/ Country of location of the Code
1 items subject of brokering services
10. End user in third country of
11. Country of destination
Code
1
destination (if different from
consignee)
12. Third parties involved, e.g. agents (if applicable)
1
Confirm that the end user is non military
Yes/No
28
See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).
EN
51
EN
13. Description of the items
/ technical assistance.
14. Harmonised System or
15. Control list no
(if
Combined Nomenclature
applicable)
Code (if applicable)
16. Currency and Value
17. Quantity of the
items (if applicable)
18. End use
Confirm that the end use is non Yes/No
military
19. Additional information:
Available for pre-printed information
At discretion of Member States
For completion by issuing authority
Signature
Stamp
Issuing Authority
Date
EN
52
EN
ANNEX IX
‘
ANNEX X
List of goods and technologies referred to in Article 3b(1)
CN
Product
8479 89 97 or 8543 70 90
Alkylation and isomerization units
8479 89 97 or 8543 70 90
Aromatic
hydrocarbon
production
units
8419 40 00
Atmospheric-vacuum
crude
distillation units (CDU)
8479 89 97 or 8543 70 90
Catalytic reforming / cracker units
8419 89 98, 8419 89 30 or 8419 89 10
Delayed cokers
8419 89 98, 8419 89 30 or 8419 89 10
Flexicoking units
8479 89 97
Hydrocracking reactors
8419 89 98, 8419 89 30, 8419 89 10, or 8479 Hydrocracking reactor vessels
89 97
8479 89 97 or 8543 70 90
Hydrogen generation technology
8421 39 15, 8421 39 25, 8421 39 35, 8421 39
85,
Hydrogen recovery and purification
technology
8479 89 97 or 8543 70 90
8479 89 97 or 8543 70 90
Hydrotreatment technology/units
8479 89 97 or 8543 70 90
Naphtha isomerisation units
8479 89 97 or 8543 70 90
Polymerisation units
8419 89 10, 8419 89 30, or 8419 89 98, 8479 Refinery fuel gas treatment and
89 97 or 8543 70 90
sulphur
recovery
technology
(including amine scrubbing units,
sulphur recovery units, tail gas
treatment units)
8456 90 00, 8479 89 97 or 8543 70 90
Solvent de-asphalting units
EN
53
EN
8479 89 97 or 8543 70 90
Sulphur production units
8479 89 97 or 8543 70 90
Sulphuric
acid
alkylation
and
sulphuric acid regeneration units
8419 89 10, 8419 89 30, or 8419 89 98, 8479 Thermal cracking units
89 97 or 8543 70 90
8479 89 97 or 8543 70 90
[Toluene
and
heavy
aromatics]
Transalkylation units
8479 89 97 or 8543 70 90
Visbreakers
8479 89 97 or 8543 70 90
Vacuum gas oil hydrocracking units
EN
54
EN
ANNEX X
‘
ANNEX XI
List of goods and technologies referred to in Article 3c(1)
CN Code
Description
88
Aircraft, spacecraft, and parts thereof
EN
55
EN
ANNEX XI
‘
ANNEX XII
List of legal persons, entities and bodies referred to in Article 5(2)(c)
Alfa Bank;
Bank Otkritie;
Bank Rossiya; and
Promsvyazbank.’
EN
56
EN
ANNEX XII
‘
ANNEX XIII
List of legal persons, entities and bodies referred to in Article 5(4)(a)
Almaz-Antey;
Kamaz;
Novorossiysk Commercial Sea Port;
Rostec (Russian Technologies State Corporation);
Russian Railways;
JSC PO Sevmash;
Sovcomflot; and
United Shipbuilding Corporation.’
EN
57
Electronically signed on 22/09/2022 13:34 (UTC+02) in accordance with Article 11 of Commission Decision (EU) 2021/2121
EN
Document Outline
- X.A.I.001 Electronic devices and components.
- X.A.I.003 Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:
- X.B.I.001 Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor.
- X.B.I.002 Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor.
- X.C.I.001 Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 193 nm.
- X.D.I.001 “Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment contro...
- X.E.I.001 “Technology” for the “development”, “production” or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 ...
- X.A.II.001 Computers, “electronic assemblies” and related equipment, not controlled by 4A001 or 4A003 , and specially designed components therefor.
- X.D.II.001 “Program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for “real-time processing” equipment.
- Technical Note: For the purpose of X.D.II.001, 'global interrupt latency time' is the time taken by the computer system to recognize an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident tas...
- X.D.II.002 “Software” other than that controlled in 4D001 specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101 , X.A.II.001.
- X.E.II.001 “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.II.001, or “software” controlled by X.D.II.001 or X.D.II.002.
- X.E.II.001 “Technology” for the “development” or “production” of equipment designed for 'multi-data-stream processing'.
- X.A.III.101 Telecommunication equipment.
- X.B.III.101 Telecommunications test equipment, other than those specified in the CML or in Regulation (EU) 2021/821.
- X.C.III.101 Preforms of glass or of any other material optimized for the manufacture of optical fibres controlled by X.A.III.101.
- X.D.III.101 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.III.101 and X.B.III.101, and dynamic adaptive routing software as described as follows:
- X.E.III.101 “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.III.101 or X.B.III.101, or “software” controlled by X.D.III.101, and other “technologies” as follows:
- X.A.III.201 Equipment as follows:
- X.D.III.201 “Information Security” “software” as follows:
- X.E.III.201 “Information Security” “technology” according to the General Technology Note, as follows:
- X.A.IV.001 Marine or terrestrial acoustic equipment, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed components , other than those specified in the CML or in...
- X.A.IV.002 Optical Sensors as follows:
- X.A.IV.003 Cameras as follows:
- X.A.IV.004 Optics as follows:
- X.A.IV.005 “Lasers” as follows:
- X.A.IV.006 “Magnetometers”, “Superconductive” electromagnetic sensors, and specially designed components therefor, as follows:
- X.A.IV.007 Gravity meters (gravimeters) for ground use, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:
- X.A.IV.008 Radar systems, equipment and major components, other than those specified in the CML or in Regulation (EU) 2021/821, and specially designed components therefor, as follows:
- X.A.IV.009 Specific processing equipment, as follows:
- X.B.IV.001 Equipment, including tools, dies, fixtures or gauges, and other specially designed components and accessories therefor, specially designed or modified for any of the following:
- X.C.IV.001 Optical sensing fibres that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b and having a zinc content of equal to or more than 6% by ‘mole frac...
- X.C.IV.002 Optical materials, as follows:
- X.D.IV.001 “Software”, other than those specified in the CML or in Regulation (EU) 2021/821, specially designed for the “development”, “production”, or “use” of goods controlled by 6A002, 6A003 , X.A.IV.001, X.A.IV.006, X.A.IV.007, or X.A.IV.008.
- X.D.IV.002 “Software” specially designed for the “development” or “production” of equipment controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005.
- X.D.IV.003 Other “software”, as follows:
- X.E.IV.001 “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.IV.001, X.A.IV.006, X.A.IV.007, X.A.IV.008 or X.A.IV.009.c.
- X.E.IV.002 “Technology” for the “development” or “production” of equipment, materials or “software” controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005, X.B.IV.001, X.C.IV.001, X.C.IV.002, or X.D.IV.003.
- X.E.IV.003 Other “technology” as follows:
- X.A.V.001 Airborne communication equipment, all "aircraft" inertial navigation systems, and other avionic equipment, including components, other than those specified in the CML or in Regulation (EU) 2021/821.
- X.B.V.001 Other equipment specially designed for the test, inspection, or “production” of navigation and avionics equipment.
- X.D.V.001 “Software”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.
- X.E.V.001 “Technology”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production” or “use” of navigation, airborne communication, and other avionics equipment.
- X.A.VI.001 Vessels, marine systems or equipment, and specially designed components therefor, components and accessories as follows:
- X.D.VI.001 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.VI.001.
- X.D.VI.002 “Software” specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry.
- X.E.VI.001 “Technology” for the “development”, “production” or “use” of equipment controlled by X.A.VI.001.
- X.A.VII.001 Diesel engines, and tractors and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821.
- X.A.VII.002 Gas turbine engines and components, other than those specified in the CML or in Regulation (EU) 2021/821.
- X.B.VII.001 Vibration test equipment and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.
- X.B.VII.002 Specially designed “equipment”, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:
- X.D.VII.001 “Software”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” of equipment controlled by X.A.VII.001 or X.B.VII.001.
- X.D.VII.002 “Software”, for the “development” or “production” of equipment controlled by X.A.VII.002 or X.B.VII.002.
- X.E.VII.001 “Technology”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” or “use” of equipment controlled by X.A.VII.001 or X.B.VII.001.
- X.E.VII.002 “Technology”, for the “development”, “production” or “use” of equipment controlled by X.A.VII.002 or X.B.VII.002.
- X.E.VII.003 Other “technology”, not described by 9E003 , as follows:
