Council Regulation (EU) 2022/328 of 25 February 2022 amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

COUNCIL REGULATION (EU) 2022/328

of 25 February 2022

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

Article 1

Regulation (EU) 833/2014 is amended as follows:

(1) Article 1 is replaced by the following: ‘Article 1 For the purposes of this Regulation, the following definitions apply: (a) “dual-use goods and technology” means the items listed in Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council (¹); (b) “competent authorities” means the competent authorities of the Member States as identified on the websites listed in Annex I; (c) “technical assistance” means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including verbal forms of assistance; (d) “brokering services” means: (i) the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country, or (ii) the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country; (e) “investment services” means the following services and activities: (i) reception and transmission of orders in relation to one or more financial instruments; (ii) execution of orders on behalf of clients; (iii) dealing on own account; (iv) portfolio management; (v) investment advice; (vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis; (vii) placing of financial instruments without a firm commitment basis; (viii) any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility; (f) “transferable securities” means the following classes of securities which are negotiable on the capital market, with the exception of instruments of payment: (i) shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares, (ii) bonds or other forms of securitised debt, including depositary receipts in respect of such securities, (iii) any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities; (g) “money-market instruments” means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment; (h) “credit institution” means an undertaking, the business of which is to take deposits or other repayable funds from the public and to grant credit for its own account; (i) “territory of the Union” means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace; (j) “central securities depository” means a legal person as defined in point 1 of Article 2(1) of Regulation (EU) No 909/2014 of the European Parliament and of the Council (2); (k) “deposit” means a credit balance which results from funds left in an account or from temporary situations deriving from normal banking transactions and which a credit institution is required to repay under the legal and contractual conditions applicable, including a fixed-term deposit and a savings deposit, but excluding a credit balance where: (i) its existence can only be proven by a financial instrument as defined in Article 4(1)(15) of Directive 2014/65/EU of the European Parliament and of the Council (^*3), unless it is a savings product which is evidenced by a certificate of deposit made out to a named person and which exists in a Member State on 2 July 2014; (ii) its principal is not repayable at par; (iii) its principal is only repayable at par under a particular guarantee or agreement provided by the credit institution or a third party; (l) ‘investor citizenship schemes’ (or ‘golden passports’) means the procedures put in place by a Member State, which allow third-country nationals to acquire its nationality in exchange for pre-determined payments and investments; (m) ‘investor residence schemes’ (or ‘golden visas’) means the procedures put in place by a Member State, which allow third-country nationals to obtain a residence permit in a Member State in exchange for pre-determined payments and investments; (n) ‘trading venue’, as defined in Article 4(1)(24) of Directive 2014/65/EU, means a regulated market, a multilateral trading facility (MTF) or an organised trading facility (OTF); (o) ‘financing or financial assistance’ means any action, irrespective of the particular means chosen, whereby the person, entity or body concerned, conditionally or unconditionally, disburses or commits to disburse its own funds or economic resources, including but not limited to grants, loans, guarantees, suretyships, bonds, letters of credit, supplier credits, buyer credits, import or export advances and all types of insurance and reinsurance, including export credit insurance; payment as well as terms and conditions of payment of the agreed price for a good or a service, made in line with normal business practice, do not constitute financing or financial assistance; (p) ‘partner country’ means a country applying a set of export control measures substantially equivalent to those set out in this Regulation, as identified in Annex VIII; (q) ‘consumer communication devices’ means devices used by private individuals such as personal computers and peripherals (including hard drives and printers), mobile telephones, smart televisions, memory devices (USB drives), and consumer software for all of these items.

(2) Article 2 is replaced by the following: ‘Article 2

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

(a) humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment or as a response to natural disasters; (b) medical or pharmaceutical purposes; (c) temporary export of items for use by news media; (d) software updates; (e) use as consumer communication devices; (f) ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government; or (g) personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale. With the exception of points (f) and (g) of this paragraph, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

(a) intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters; (b) intended for intergovernmental cooperation in space programmes; (c) intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development; (d) intended for maritime safety; (e) intended for civilian telecommunications networks, including the provision of internet services; (f) intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country; (g) intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.

(i) the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use; or (ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry.

(3) Article 2a is replaced by the following: ‘Article 2a

(a) provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia; (b) provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.

(a) humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters; (b) medical or pharmaceutical purposes; (c) temporary export of items for use by news media; (d) software updates; (e) use as consumer communication devices; (f) ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government; or (g) personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale. With the exception of points (f) and (g) of this paragraph, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.

(a) intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters; (b) intended for intergovernmental cooperation in space programmes; (c) intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development; (d) intended for maritime safety; (e) intended for civilian telecommunications networks, including the provision of internet services; (f) intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country; or (g) intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.

(i) the end-user might be a military end-user, a natural or legal person, entity or body listed in Annex IV or that the goods might have a military end-use; or (ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry.

(4) The following Articles are inserted: ‘Article 2b

(a) such goods or technology or the related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment; or (b) such goods or technology or the related technical or financial assistance are due under contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before 1 May 2022.

Article 2c

Article 2d

Member States and the Commission shall ensure the protection of confidential information acquired in application of this Article in accordance with Union law and the respective national law. Member States and the Commission shall ensure that classified information provided or exchanged under this Article is not downgraded or declassified without the prior written consent of the originator.

Article 2e

(a) binding financing or financial assistance commitments established prior to 26 February 2022; (b) the provision of public financing or financial assistance up to the total value of 10 000 000 EUR per project to small and medium-sized enterprises established in the Union; or (c) the provision of public financing or financial assistance for trade in food, and for agricultural, medical or humanitarian purposes.’;

(5) in paragraph 2 of Article 3, ‘Article 11 of Regulation (EC) No 428/2009’ is replaced with ‘Article 14 of Regulation (EU) No 2021/821’;

(6) the following Articles are inserted: ‘Article 3b

(a) provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia. (b) provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any person, entity or body in Russia or for use in Russia.

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

Article 3c

(a) provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia. (b) provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

(7) in paragraph 2 of Article 4, ‘EU’ is replaced by ‘Union’;

(8) Article 5 is replaced by the following: ‘Article 5

(a) a major credit institution, or other major institution having an explicit mandate to promote competitiveness of the Russian economy, its diversification and encouragement of investment, established in Russia with over 50 % public ownership or control as of 1 August 2014, as listed in Annex III; or (b) a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex III; or (c) a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (b) of this paragraph or listed in Annex III.

(a) any major credit institution, or other institution with over 50 % public ownership or control as of 26 February 2022 or any other credit institution having a significant role in supporting the activities of Russia, its government or the Central Bank and established in Russia, as listed in Annex XII; or (b) a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex XII; or (c) a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

(a) a legal person, entity or body established in Russia predominantly engaged, and with major activities, in the conception, production, sales or export of military equipment or services, as listed in Annex V, except legal persons, entities or bodies active in the space or the nuclear energy sectors; (b) a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and having estimated total assets of over RUB 1 trillion and whose estimated revenues originate for at least 50 % from the sale or transportation of crude oil or petroleum products, as listed in Annex VI; (c) a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in point (a) or (b) of this paragraph; or (d) a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a), (b) or (c) of this paragraph.

(a) a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and in which Russia, its Government or Central Bank has the right to participate in profits or with which Russia, its Government or Central Bank has other substantial economic relationships, as listed in Annex XIII; or (b) a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed Annex XIII; or (c) a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.

(i) new loans or credit with a maturity exceeding 30 days to any legal person, entity or body referred to in paragraph 1 or 3, after 12 September 2014 to 26 February 2022; or (ii) any new loans or credit to any legal person, entity or body referred to in paragraph 1, 2, 3 or 4 after 26 February 2022. The prohibition shall not apply to: (a) loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of goods and non-financial services between the Union and any third State, including the expenditure for goods and services from another third State that is necessary for executing the export or import contracts; or (b) loans that have a specific and documented objective to provide emergency funding to meet solvency and liquidity criteria for legal persons established in the Union, whose proprietary rights are owned for more than 50 % by any entity referred to in Annex III.

(a) all the terms and conditions of such drawdown or disbursements: (i) were agreed before 26 February 2022; and (ii) have not been modified on or after that date; and (b) before 26 February 2022 a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract; and (c) at the time of its conclusion the contract was not in breach of the prohibitions of this Regulation in force at that time. The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.’;

(9) the following Articles are inserted: ‘Article 5b

Article 5c

(a) necessary to satisfy the basic needs of natural or legal persons, entities or bodies referred to in Article 5b(1) and their dependent family members, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; (b) intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services; (c) necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation; or (d) necessary for official purposes of a diplomatic mission or consular post or international organisation. 2, The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1(a), (b) and (d) within two weeks of the authorisation.

Article 5d

(a) necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or (b) necessary for civil society activities that directly promote democracy, human rights or the rule of law in Russia.

Article 5e

Article 5f

Article 5g

(a) supply to the national competent authority of the Member State where they are located or to the Commission by no later than 27 May 2022, a list of deposits exceeding 100 000 EUR held by Russian nationals or natural persons residing in Russia, or by legal persons, entities or bodies established in Russia. They shall provide updates regarding the amounts of such deposits every 12 months. (b) supply to the national competent authority of the Member State where they are located information on deposits exceeding EUR 100 000 held by Russian nationals or natural persons residing in Russia who have acquired the citizenship of a Member State or residence rights in a Member State through an investor citizenship scheme or an investor residence scheme.’;

(10) Articles 6 and 7 are replaced by the following: ‘Article 6

(a) authorisations granted under this Regulation; (b) information received under Article 5g; (c) violation and enforcement problems and judgments handed down by national courts.

Article 7

The Commission shall be empowered to amend Annexes I and IX on the basis of information supplied by Member States.’;

(11) Articles 11 and 12 are replaced by the following: ‘Article 11

(a) legal persons, entities or bodies listed in Annexes III, IV, V,VI, XII or XIII or referred to in point (b) or (c) of Article 5(1), in point (b) or (c) of Article 5(2), in point (c) or (d) of Article 5(3), in point (b) or (c) of Article 5(4) and in point (a), (b) or (c) of Article 5a; (b) any other Russian person, entity or body; (c) any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) or (b) of this paragraph.

Article 12

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent prohibitions in this Regulation including by acting as a substitute for natural or legal persons, entities or bodies referred to in Articles 5, 5a, 5b, 5e and 5f or by acting to their benefit by using the exceptions in Articles 5(6), 5a(2) 5b(2), 5e(2) or 5f(2).’;

(12) The following Article is inserted: ‘Article 12a

(13) Annex I is replaced by Annex I to this Regulation;

(14) Annex III is amended in accordance with Annex II to this Regulation;

(15) Annex IV is replaced by Annex III to this Regulation;

(16) Annex V is amended in accordance with Annex IV to this Regulation;

(17) Annex VI is amended in accordance with Annex V to this Regulation;

(18) Annex VII is inserted in accordance with Annex VI to this Regulation;

(19) Annex VIII is inserted in accordance with Annex VII to this Regulation;

(20) Annex IX is inserted in accordance with Annex VIII to this Regulation;

(21) Annex X is inserted in accordance with Annex IX to this Regulation;

(22) Annex XI is inserted in accordance with Annex X to this Regulation;

(23) Annex XII is inserted in accordance with Annex XI to this Regulation;

(24) Annex XIII is inserted in accordance with Annex XII to this Regulation.

Article 2

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

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

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/GlobalizacionOportunidadesRi esgos/Paginas/SancionesInternacionales.aspx

FRANCE

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

CROATIA

http://www.mvep.hr/sankcije

ITALY

https://www.esteri.it/it/politica-estera-e-cooperazione-allo-sviluppo/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/organisations- economiques-int/mesures-restrictives.html

HUNGARY

https://kormany.hu/kulgazdasagi-es-kulugyminiszterium/ensz-eu-szankcios-tajekoztato

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

http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restriti vas/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: relex-sanctions@ec.europa.eu’

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)

[…]’

ANNEX III

‘ANNEX IV

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

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)

[…]’

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)

[…]’

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.001Electronic devices and components.

a. ‘Microprocessor microcircuits’, ‘microcomputer microcircuits’, and microcontroller microcircuits having any of the following:

b. Storage integrated circuits, as follows:

a. Exceeding 16 Mbits per package for flash memory types; or b. Exceeding either of the following limits for all other EEPROM types:

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:

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:

g. Traveling-wave ‘vacuum electronic devices’, pulsed or continuous wave, as follows:

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:

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:

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.

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:

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

n. Not used;

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

X.A.I.002General 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;

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:

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:

X.A.I.003Specific 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:

f. Chromatography and spectrometry analytical instruments.

X.B.I.001Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor.

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

b. Equipment specially designed for the manufacture of semiconductor devices, integrated circuits and ‘electronic assemblies’, as follows, and systems incorporating or having the characteristics of such equipment: Note:X.B.I.001.b. also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

Note:X.B.I.001 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment controlled by X.B.I.001.b.1. a. Equipment for producing polycrystalline silicon and materials controlled by 3C001 (³); b. Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 (⁴) except crystal pullers, for which see X.B.I.001.b.1.c below;

c. Crystal pullers and furnaces, as follows: Note:X.B.I.001.b.1.c does not control diffusion and oxidation furnaces.

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:

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:

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

a. End-point detection, other than optical emission spectroscopy types; or b. Reactor operational (etching) pressure of 26,66 Pa or less;

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:

or

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:

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:

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:

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

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:

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:

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:

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:

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.

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.

a. ‘Stored program controlled’ die bonders having all of the following characteristics:

b. ‘Stored program controlled’ equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders); c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by 3A001 (⁶) and that have a throughput equal to or more than one package per minute. Note:X.B.I.001.b.3 does not control general purpose resistance type spot welders.

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.002Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor.

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

b. Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and ‘electronic assemblies’, as follows, and systems incorporating or having the characteristics of such equipment: Note:X.B.I.002.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.

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.

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.

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;

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:

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

Technical Note:For purposes of X.B.I.002.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed. c. Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1 200 nm, using ‘stored program controlled’ measurements or computer aided evaluation and having any of the following characteristics:

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.

a. Target-to-beam position feedback control precision of 1 micrometer or finer; or b. Digital-to-analog conversion accuracy exceeding 12 bit;

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 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.001Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths between 370 and 193 nm.

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

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.001Computers, ‘electronic assemblies’ and related equipment, not controlled by 4A001 or 4A003 (¹⁰), 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 4E (¹²).

a. Electronic computers and related equipment, and ‘electronic assemblies’ and specially designed components therefor, rated for operation at an ambient temperature above 343 K (70^oC);

b. ‘Digital computers’, including equipment of ‘signal processing’ or ‘image enhancement’, having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0,0128 Weighted TeraFLOPS (WT);

c. ‘Electronic assemblies’ that are specially designed or modified to enhance performance by aggregation of processors, as follows:

Note 1:X.A.II.001.c applies only to ‘electronic assemblies’ and programmable interconnections with a ‘APP’ not exceeding the limits in X.A.II.001.b, when shipped as unintegrated ‘electronic assemblies’. It does not apply to ‘electronic assemblies’ inherently limited by nature of their design for use as related equipment controlled by X.A.II.001.k. Note 2:X.A.II.001.c does not control any ‘electronic assembly’ specially designed for a product or family of products whose maximum configuration does not exceed the limits of X.A.II.001.b.

d. Not used;

e. Not used;

f. Equipment for ‘signal processing’ or ‘image enhancement’ having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0,0128 Weighted TeraFLOPS WT;

g. Not used;

h. Not used;

i. Equipment containing ‘terminal interface equipment’ exceeding the limits in X.A.III.101; Technical Note:For the purpose of X.A.II.001.i, ‘terminal interface equipment’ means equipment at which information enters or leaves the telecommunication system, e.g. telephone, data device, computer, etc.

j. Equipment specially designed to provide external interconnection of ‘digital computers’ or associated equipment that allows communications at data rates exceeding 80 Mbyte/s. Note:X.A.II.001.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, ‘network access controllers’ or ‘communication channel controllers’. Technical Note:For the purpose of X.A.II.001.j, ‘communication channel controllers’ is the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

k. ‘Hybrid computers’ and ‘electronic assemblies’ and specially designed components therefor containing analog-to-digital converters having all of the following characteristics:

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 recognise an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.

X.D.II.002‘Software’ other than that controlled in 4D001 (¹³) specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment controlled by 4A101 (¹⁴), 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 simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:

Category III. Part 1 – Telecommunications

Note:Category III.Part 1 does not control goods for the personal use of the natural persons.

X.A.III.101Telecommunication equipment.

a. Any type of telecommunications equipment, not controlled by 5A001.a (¹⁵), specially designed to operate outside the temperature range from 219 K (-54^oC) to 397 K (124^oC).

b. Telecommunication transmission equipment and systems, and specially designed components and accessories therefor, having any of the following characteristics, functions or features: Note:Telecommunication transmission equipment: a. Categorised as follows, or combinations thereof: