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THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,
Having regard to Council Decision 2010/413/CFSP of 26 July 2010 concerning restrictive measures against Iran and repealing Common Position 2007/140/CFSP(1),
Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the European Commission,
Whereas:
(1) On 26 July 2010, the Council approved Decision 2010/413/CFSP confirming the restrictive measures taken since 2007 and providing for additional restrictive measures against the Islamic Republic of Iran (‘Iran’) in order to comply with UN Security Council Resolution 1929 (2010), as well as for accompanying measures as requested by the European Council in its Declaration of 17 June 2010.
(2) Those restrictive measures comprise, in particular, additional restrictions on trade in dual-use goods and technology, as well as equipment which might be used for internal repression, restrictions on trade in key equipment and technology for, and restrictions on investment in the Iranian oil and gas industry, restrictions on Iranian investment in the uranium mining and nuclear industry, restrictions on transfers of funds to and from Iran, restrictions concerning the Iranian banking sector, restrictions on Iran's access to the insurance and bonds markets of the Union and restrictions on providing certain services to Iranian ships and cargo aircraft.
(3) Decision 2010/413/CFSP also provided for additional categories of persons to be made subject to the freezing of funds and economic resources and for certain other technical amendments to existing measures.
(4) Those restrictive measures fall within the scope of the Treaty on the Functioning of the European Union and, therefore, notably with a view to ensuring their uniform application by economic operators in all Member States, legislation at the level of the Union is necessary in order to implement them as far as the Union is concerned.
(5) Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran(2) enacted the restrictive measures taken by the Union further to Common Position 2007/140/CFSP(3). For the sake of clarity, Regulation (EC) No 423/2007 should be repealed and replaced by this Regulation.
(6) The revised restrictive measures concerning dual-use goods should cover all goods and technology set out in Annex I to Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items(4), with the exception of certain items in Category 5 thereof. Those Category 5 items which relate to nuclear and missile technology and are currently subject to a prohibition on their transfer to and from Iran should, nevertheless, remain subject to such prohibition. Moreover, a prohibition should also be imposed on the transfer to and from Iran of certain goods and technology which were previously subject to a prior authorisation requirement under Article 3 of Regulation (EC) No 423/2007.
(7) In order to ensure the effective implementation of the prohibition on the sale, supply, transfer or export to Iran of certain key equipment or technology which could be used in the key sectors of the oil and natural gas industries, a list of such key equipment and technology should be provided.
(8) In addition, to be effective, restrictions on investment in the Iranian oil and gas sector should cover certain key activities, such as bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids, and, for the same reason, should apply to joint ventures as well as other forms of associations and cooperation with Iran in the sector of the transmission of natural gas.
(9) The restrictive measures should not affect the import or export of oil or gas to and from Iran, including the fulfilment of payment obligations in connection with such import or export.
(10) Effective restrictions on Iranian investment in the Union require that measures be taken to prohibit natural or legal persons, entities and bodies subject to the jurisdiction of the Member States from enabling or authorising such investment.
(11) It is prohibited, pursuant to the obligation to freeze the funds and economic resources of Islamic Republic of Iran Shipping Line (IRISL) and of designated entities owned or controlled by IRISL to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States. However, the obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL does not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.
(12) It should be clarified that submitting and forwarding the necessary documents to a bank for the purpose of their final transfer to a person, entity or body that is not listed, to trigger payments allowed under Article 18 of this Regulation, does not constitute making funds available within the meaning of Article 16(3) of this Regulation.
(13) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and notably the right to an effective remedy and to a fair trial, the right to property and the right to protection of personal data. This Regulation should be applied in accordance with those rights and principles.
(14) This Regulation also fully respects the obligations of Member States under the Charter of the United Nations and the legally binding nature of the United Nations Security Council Resolutions.
(15) The power to amend the lists in Annexes VII and VIII to this Regulation should be exercised by the Council, in view of the specific threat to international peace and security posed by Iran as manifested by the deepening concern about its nuclear programme underlined by the European Council on 17 June 2010, and to ensure consistency with the process for amending and reviewing Annexes I and II to Decision 2010/413/CFSP.
(16) The procedure for amending the lists in Annexes VII and VIII to this Regulation should include providing designated natural or legal persons, entities or bodies with the grounds for listing, so as to give them an opportunity to submit observations. Where observations are submitted, or substantial new evidence is presented, the Council should review its decision in light of those observations and inform the person, entity or body concerned accordingly.
(17) For the implementation of this Regulation, and to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with the Regulation, should be made public. Any processing of personal data of natural persons under this Regulation should respect Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data(5) and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(6).
(18) In order to ensure that the measures provided for in this Regulation are effective, it should enter into force on the day of its publication,
HAS ADOPTED THIS REGULATION:
For the purposes of this Regulation the following definitions shall apply:
‘branch’ of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;
‘brokering services’ means:
the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology from a third country to any other third country, or
the selling or buying of goods and technology that are located in third countries for their transfer to another third country.
‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;
‘credit institution’ means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions(7), including its branches inside or outside the Union;
‘customs territory of the Union’ means the territory as defined in Article 3 of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code(8) and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Regulation (EEC) No 2913/92(9);
‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds, but which may be used to obtain funds, goods or services;
‘financial institution’ means
an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change);
an insurance company duly authorised in accordance with Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance(10), insofar as it carries out activities covered by that Directive;
an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments(11);
a collective investment undertaking marketing its units or shares; or
an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation(12), with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;
including its branches inside or outside the Union.
‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;
‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;
‘funds’ means financial assets and benefits of every kind, including, but not limited to:
cash, cheques, claims on money, drafts, money orders and other payment instruments;
deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;
publicly-and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;
interest, dividends or other income on or value accruing from or generated by assets;
credit, right of set-off, guarantees, performance bonds or other financial commitments;
letters of credit, bills of lading, bills of sale; and
documents showing evidence of an interest in funds or financial resources;
‘goods’ includes items, materials and equipment;
‘insurance’ means an undertaking or commitment whereby one or more natural or legal persons is or are obliged, in return for a payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;
‘Iranian person, entity or body’ means:
the State of Iran or any public authority thereof;
any natural person in, or resident in, Iran;
any legal person, entity or body having its registered office in Iran;
any legal person, entity or body, inside or outside Iran, owned or controlled directly or indirectly by one or more of the above mentioned persons or bodies;
‘reinsurance’ means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd’s, the activity consisting in accepting risks, ceded by any member of Lloyd’s, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd’s;
‘Sanctions Committee’ means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of United Nations Security Council Resolution (‘UNSCR’) 1737 (2006);
‘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;
‘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;
‘transfer of funds’ means any transaction carried out on behalf of a payer through a payment service provider by electronic means, with a view to making funds available to a payee at a payment service provider, irrespective of whether the payer and the payee are the same person. The terms payer, payee and payment service provider have the same meaning as in Regulation (EC) No 1781/2006 of the European Parliament and of the Council of 15 November 2006 on information on the payer accompanying transfers of funds(13);
‘claim’ means any claim, whether asserted by legal proceedings or not, made before or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular:
a claim for performance of any obligation arising under or in connection with a contract or transaction;
a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form;
a claim for compensation in respect of a contract or transaction;
a counterclaim;
a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given.
1.It shall be prohibited:
(a)to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annexes I and II, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran; or
(b)to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex III, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;
(c)to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).
2.Annex I shall include goods and technology, including software, which are dual-use items or technology as defined in Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, except for the goods and technology defined in Category 5 of Annex I to that Regulation which are not included in the Nuclear Suppliers Group and Missile Technology Control Regime lists.
3.Annex II shall include other goods and technology which could contribute to Iran's enrichment-related, reprocessing or heavy-water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding, including those determined by the UN Security Council or by the Sanctions Committee.
4.Annexes I, II and III shall not include goods and technology included in the Common Military List of the European Union(14) (‘Common Military List’).
1.A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex IV, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran.
2.For all exports for which an authorisation is required under this Article, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be valid throughout the Union.
3.Annex IV shall include any goods and technology, other than those included in Annexes I and II, which could contribute to enrichment-related, reprocessing or heavy water-related activities, to the development of nuclear weapon delivery systems, or to the pursuit of activities related to other topics about which the International Atomic Energy Agency (IAEA) has expressed concerns or has identified as outstanding.
4.Exporters shall supply the competent authorities with all relevant information required for their application for an export authorisation.
5.The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex IV, if they have reasonable grounds to determine that the sale, supply, transfer or export thereof would contribute to one of the following activities:
(a)Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)the development of nuclear weapon delivery systems by Iran; or
(c)the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.
6.Under the conditions set out in paragraph 5, the competent authorities of the Member States, as identified on the websites listed in Annex V, may annul, suspend, modify or revoke an export authorisation which they have granted.
7.Where the competent authority of a Member State refuses to grant an authorisation, or annul, suspend, substantially limit or revoke an authorisation in accordance with paragraph 5, the Member State shall notify the other Member States and the Commission thereof and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information of Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters(15).
8.Before a Member State grants an authorisation in accordance with paragraph 5 for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States under paragraphs 6 and 7, it will first consult the Member State or States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof, providing all relevant information to explain the decision.
It shall be prohibited to purchase, import or transport from Iran the goods and technology listed in Annexes I, II and III, whether the item concerned originates in Iran or not.
1.It shall be prohibited:
(a)to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List, or related to the provision, manufacture, maintenance and use of goods included in that list, to any Iranian person, entity or body or for use in Iran;
(b)to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annexes I and II, or related to the provision, manufacture, maintenance and use of goods listed in Annexes I and II, to any Iranian person, entity or body or for use in Iran;
(c)to provide, directly or indirectly, technical assistance or brokering services related to equipment which might be used for internal repression as listed in Annex III, to any Iranian person, entity or body or for use in Iran;
(d)to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List or in Annexes I, II and III, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any Iranian person, entity or body or for use in Iran;
(e)to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) to (d).
2.The provision of the following shall be subject to an authorisation from the competent authority of the Member State concerned:
(a)technical assistance or brokering services related to goods and technology listed in Annex IV and to the provision, manufacture, maintenance and use of those items, directly or indirectly to any Iranian person, entity or body or for use in Iran;
(b)financing or financial assistance related to goods and technologies referred to in Annex IV, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of those items, or for any provision of related technical assistance, directly or indirectly, to any Iranian person, entity or body or for use in Iran.
3.The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph 2, if they have reasonable grounds to determine that the action would contribute to one of the following activities:
(a)Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)the development of nuclear weapon delivery systems by Iran; or
(c)the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.
Article 2(1)(a) shall not apply to:
the direct or indirect transfer of goods falling within Part B of Annex I, through the territories of Member States when those goods are sold, supplied, transferred or exported to, or for use in, Iran for a light water reactor in Iran the construction of which has begun before December 2006;
transactions mandated by the International Atomic Energy Agency (IAEA) technical cooperation programme;
goods supplied, transferred to or for use in, Iran due to obligations of State Parties under the Paris Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction of 13 January 1993.
1.The competent authorities of the Member States, as identified on the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to goods and technology referred to in Article 2(1) or assistance or brokering services referred to in Article 5(1), if they determine, except when subparagraph (c) applies, that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the development of nuclear weapon delivery systems, including where such goods and technology, assistance or brokering services are for food, agricultural, medical or other humanitarian purposes, and if the following conditions are met:
(a)the contract for delivery of the goods or technology, or for the provision of assistance or brokering services, includes appropriate end-user guarantees;
(b)Iran has undertaken not to use the goods or technology concerned, or if applicable, the assistance or brokering services concerned, in proliferation-sensitive nuclear activities or for development of nuclear weapon delivery systems; and
(c)in those cases where the transaction concerns goods or technology contained in the Nuclear Suppliers Group or Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by-case basis that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the development of nuclear weapon development delivery systems.
2.The Member State concerned shall inform the other Member States and the Commission when it rejects a request for an authorisation.
3.Paragraph 1 shall not apply to transactions or brokering services in relation to goods and technology referred to in Annex III.
1.It shall be prohibited to sell, supply, transfer or export key equipment or technology listed in Annex VI, directly or indirectly, to any Iranian person, entity or body or for use in, Iran.
2.Annex VI shall include key equipment and technology for the following key sectors of the oil and gas industry in Iran:
(a)exploration of crude oil and natural gas;
(b)production of crude oil and natural gas;
(c)refining;
(d)liquefaction of natural gas.
3.Annex VI shall not include items included in the Common Military List, or in Annex I, Annex II or Annex IV.
It shall be prohibited:
to provide, directly or indirectly, technical assistance or brokering services related to the key equipment and technology listed in Annex VI, or related to the provision, manufacture, maintenance and use of goods listed in Annex VI, to any Iranian person, entity or body or for use in Iran.
to provide, directly or indirectly, financing or financial assistance related to the key equipment and technology listed in Annex VI, to any Iranian person, entity or body or for use in Iran.
to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).
The prohibitions in Articles 8 and 9 shall not apply to transactions required by a trade contract concluded before the date of entry into force of this Regulation, or by a contract or agreement concluded before 26 July 2010 and relating to an investment in Iran made before 26 July 2010, nor shall they prevent the execution of an obligation arising therefrom, provided that the natural or legal person, entity or body seeking to engage in the transaction or to provide assistance has notified, at least 20 working days in advance, the transaction or assistance to the competent authorities of the Member State in which it is established, as identified on the websites listed in Annex V.
1.The following shall be prohibited:
(a)the granting of any financial loan or credit to any Iranian person, entity or body referred to in paragraph (2);
(b)the acquisition or extension of a participation in any Iranian person, entity or body referred to in paragraph (2);
(c)the creation of any joint venture with any Iranian person, entity or body referred to in paragraph (2).
(d)the participation, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a), (b) and (c).
2.The prohibition in paragraph (1) shall apply to any Iranian person, entity or body engaged:
(a)in the manufacture of goods or technology listed in the Common Military List or in Annex I or II;
(b)in the manufacture of equipment which might be used for internal repression as listed in Annex III;
(c)in the exploration or production of crude oil and natural gas, the refining of fuels or the liquefaction of natural gas.
3.For the purposes of paragraph 2(c) only, the following definitions shall apply:
(a)‘exploration of crude oil and natural gas’ includes the exploration for, prospection of and management of crude oil and natural gas reserves, as well as the provision of geological services in relation to such reserves;
(b)‘production of crude oil and natural gas’ includes bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids;
(c)‘refining’ means the processing, conditioning or preparation for the ultimately final sale of fuels.
4.It shall be prohibited to establish cooperation with an Iranian person, entity or body engaged in the transmission of natural gas as referred to in paragraph 3(b).
5.For the purposes of paragraph 4, ‘cooperation’ means:
(a)the sharing of investment costs in an integrated or managed supply chain for the receipt or delivery of natural gas directly from or to the territory of Iran; and
(b)direct co-operation for the purpose of investing in liquefied natural gas facilities within the territory of Iran or in liquefied natural gas facilities directly connected thereto.
1.The making of an investment through transactions referred to in Article 11(1) in an Iranian person, entity or body engaged in the manufacture of goods or technology listed in Annex IV shall be subject to an authorisation from the competent authority of the Member State concerned.
2.The competent authorities of the Member States, as identified on the websites listed in Annex V, shall not grant any authorisation for the transactions referred to in paragraph 1, if they have reasonable grounds to determine that the action would contribute to one of the following activities:
(a)Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)the development of nuclear weapon delivery systems by Iran; or
(c)the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding.
By way of derogation from Article 11(2)(a), the competent authorities of the Member States, as identified on the websites listed in Annex V, may grant, under such terms and conditions as they deem appropriate, an authorisation to make an investment through transactions referred to in Article 11(1), if the following conditions are met:
the Iranian person, entity or body has committed itself to apply appropriate end-user guarantees as regards the goods or technology concerned;
Iran has undertaken not to use the goods or technology concerned in proliferation-sensitive nuclear activities or for development of nuclear weapon delivery systems; and
in those cases where the investment is made in an Iranian person, entity or body engaged in the manufacture of goods or technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists, the Sanctions Committee has determined in advance and on a case-by-case basis that the transaction would clearly not contribute to the development of technologies in support of Iran's proliferation-sensitive nuclear activities, or to the development of nuclear weapon development delivery systems.
Article 11(2)(c) shall not apply to the granting of a financial loan or credit or to the acquisition or extension of a participation , if the following conditions are met:
the transaction is required by an agreement or contract concluded before 26 July 2010; and
the competent authority has been informed at least 20 working days in advance of that agreement or contract.
It shall be prohibited:
to accept or approve, by concluding an agreement or by any other means, that the granting of any finacial loan or credit, or the acquisition or extension of a participation, or the creation of any joint venture be made by one or more Iranian persons, entities or bodies, in an enterprise engaged in any of the following activities:
uranium mining,
uranium enrichment and reprocessing of uranium;
the manufacture of goods or technology included in the Nuclear Suppliers Group and Missile Technology Control Regime lists.
to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a).
1.All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VII shall be frozen. Annex VII shall include the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of UNSCR 1737 (2006), paragraph 7 of UNSCR 1803 (2008) or paragraph 11, 12 or 19 of UNSCR 1929 (2010).
2.All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII shall include the natural and legal persons, entities and bodies, not covered by Annex VII, who, in accordance with Article 20(1)(b) of Council Decision 2010/413/CFSP, have been identified as:
(a)being engaged in, directly associated with, or providing support for Iran's proliferation-sensitive nuclear activities or the development of nuclear weapon delivery systems by Iran, including through involvement in the procurement of prohibited goods and technology, or being owned or controlled by such a person, entity or body, including through illicit means, or acting on their behalf or at their direction;
(b)being a natural or legal person, entity or body that has assisted a listed person, entity or body to evade or violate the provisions of this Regulation, Council Decision 2010/413/CFSP or UNSCR 1737 (2006), UNSCR 1747 (2007), UNSCR 1803 (2008) and UNSCR 1929 (2010);
(c)being a senior member of the Islamic Revolutionary Guard Corps or a legal person, entity or body owned or controlled by the Islamic Revolutionary Guard Corps or by one of more of its senior members;
(d)being a legal person, entity or body owned or controlled by the Islamic Republic of Iran Shipping Lines (IRISL).
It shall be prohibited, pursuant to the obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL, to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States. That prohibition shall not prevent the execution of a contract concluded before the entry into force of this Regulation.
The obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL shall not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.
3.No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes VII and VIII.
4.The participation, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to circumvent the measures referred to in paragraphs 1, 2 and 3 shall be prohibited.
5.Annexes VII and VIII shall include the grounds for listing of listed persons, entities and bodies, as provided by the Security Council or by the Sanctions Committee for Annex VII.
6.Annexes VII and VIII shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned, as provided by the Security Council or by the Sanctions Committee for Annex VII. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, adress, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business. Annex VII shall also include the date of designation by the Security Council or by the Sanctions Committee.
By way of derogation from Article 16, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:
the funds or economic resources are the subject of a judicial, administrative or arbitral lien established before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;
the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;
the lien or judgment is not for the benefit of a person, entity or body listed in Annex VII or VIII;
recognising the lien or judgment is not contrary to public policy in the Member State concerned; and
where Article 16(1) applies, the Sanctions Committee has been notified by the Member State of the lien or judgment.
By way of derogation from Article 16 and provided that a payment by a person, entity or body listed in Annex VII or VIII is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned, before the date on which that person, entity or body had been designated by the Sanctions Committee, the Security Council or by the Council, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, if the following conditions are met:
the competent authority concerned has determined that:
the funds or economic resources shall be used for a payment by a person, entity or body listed in Annex VII or VIII;
the contract, agreement or obligation will not contribute to the manufacture, sale, purchase, transfer, export, import, transport or use of goods and technology listed in Annexes I, II, III and VI; and
the payment is not in breach of Article 16(3);
where Article 16(1) applies, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within ten working days of notification; and
where Article 16(2) applies, the Member State concerned has, at least two weeks prior to the grant of the authorisation, notified the other Member States and the Commision of that determination and its intention to grant an authorisation.
1.By way of derogation from Article 16, the competent authorities of the Member States, as identified on the websites listed in Annex V, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, provided that the following conditions are met:
(a)the competent authority concerned has determined that the funds or economic resources are:
necessary to satisfy the basic needs of persons listed in Annex VII or VIII, and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;
intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or
intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources; and
(b)where the authorisation concerns a person, entity or body listed in Annex VII, the Member State concerned has notified the Sanctions Committee of that determination and its intention to grant an authorisation, and the Sanctions Committee has not objected to that course of action within five working days of notification.
2.By way of derogation from Article 16, the competent authorities of the Member States, as indicated on the websites listed in Annex V, may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources are necessary for extraordinary expenses or for payment for or transfer of goods when procured for a light water reactor in Iran the construction of which has begun before December 2006, or for goods referred to in Article 6(b) and (c), provided that the following conditions are met:
(a)where the authorisation concerns a person, entity or body listed in Annex VII, the Sanctions Committee has been notified of that determination by the Member State concerned and the determination has been approved by that Committee; and
(b)where the authorisation concerns a person, entity or body listed in Annex VIII, the competent authority has notified the grounds on which it considers that a specific authorisation should be granted to the other competent authorities of the Member States and to the Commission at least two weeks before the authorisation.
3.The relevant Member State shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1 or 2.
1.Article 16(3) shall not prevent financial or credit institutions from crediting frozen accounts where they receive funds transferred onto the account of a listed natural or legal person, entity or body, provided that any additions to such accounts shall also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.
2.Article 16(3) shall not apply to the addition to frozen accounts of:
(a)interest or other earnings on those accounts; or
(b)payments due under contracts, agreements or obligations that were concluded or arose before the date on which the person, entity or body referred to in Article 16 has been designated by the Sanctions Committee, the Security Council or by the Council;
provided that any such interest or other earnings and payments are frozen in accordance with Article 16(1) or (2).
3.This Article shall not be construed as authorising transfers of funds referred to in Article 21.
1.Transfer of funds to and from an Iranian person, entity or body shall be processed as follows:
(a)transfers due on transactions regarding foodstuffs, healthcare, medical equipment, or for humanitarian purposes shall be carried out without any prior authorisation. The transfer shall be notified in advance in writing to the competent authorities of the Member States, as identified on the websites listed in Annex V, if above EUR 10 000 or equivalents;
(b)any other transfer below EUR 40 000 shall be carried out without any prior authorisation. The transfer shall be notified in advance in writing to the competent authorities of the Member States, as identified on the websites listed in Annex V, if above EUR 10 000 or equivalent;
(c)any other transfer of or above EUR 40 000 or equivalent shall require a prior authorisation of the competent authorities of the Member States, as identified on the websites listed in Annex V.
2.These provisions shall apply regardless of whether the transfer of funds is executed in a single operation or in several operations which appear to be linked.
3.Notifications and requests for authorisation relating to the transfer of funds to an Iranian person, entity or body shall be addressed by or on behalf of the payment service provider of the payer as referred to in Article 1(r) to the competent authorities of the Member State where the initial order to execute the transfer is given.
Notifications and requests for authorisation relating to the transfer of funds from an Iranian person, entity or body shall be addressed by or on behalf of the payment service provider of the payee as referred to in Article 1(r) to the competent authorities of the Member State in which the payee is resident or the payment service provider is established.
If the payments service provider of the payer or the payee does not fall under the scope of Article 39, notifications and requests for authorisation shall be addressed by the payer or payee to the competent authorities of the Member State in which the payer or payee is resident.
4.For the purposes of paragraph 1(c), the competent authorities of the Member States, as identified on the websites listed in Annex V, shall grant, under such terms and conditions as they deem appropriate, an authorisation for a transfer of funds having a value of EUR 40 000 or more, unless they have reasonable grounds to determine that the transfer of funds for which the authorisation is requested, would contribute to one of the following activities:
(a)Iran's enrichment-related, reprocessing or heavy water-related activities;
(b)the development of nuclear weapon delivery systems by Iran;
(c)the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or has identified as outstanding; or
(d)prohibited activities related to the exploration of crude oil and natural gas, production of crude oil and natural gas, refining, or liquefaction of natural gas as referred to in Articles 8, 9 and 11 by an Iranian person, entity or body.
A competent authority may charge a fee for the assessment of requests for authorisation.
An authorisation shall be deemed granted if a competent authority has received a request in writing for authorisation and, within four weeks, the competent authority has not objected in writing to the transfer of funds. If the objection is raised because an investigation is pending, the competent authority shall state this and communicate its decision as soon as possible. The competent authorities shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement related information necessary for carrying out the investigation.
The Member State concerned shall inform the other Member States and the Commission when it rejects a request for authorisation.
5.This article shall not apply where an authorisation for a transfer has been granted in accordance with Articles 13, 17, 18, 19 or 20.
1.Branches and subsidiaries, falling within the scope of Article 39, of credit and financial institutions domiciled in Iran shall notify the competent authority of the Member State where they are established, as identified on the website mentioned in Annex V, of all transfers of funds carried out or received by them, the names of the parties and the amount and the date of the transaction, within five working days after carrying out or receiving the transfer of funds concerned. If the information is available, the notification must specify the nature of the transaction and, where appropriate, the nature of the goods covered by the transaction and must, in particular, state whether the goods are covered by Annex I, II, III, IV or VI of this Regulation and, if their export is subject to authorisation, indicate the number of the licence granted.
2.Subject to and in accordance with the information-sharing arrangements, the other notified competent authorities shall without delay transmit that data, as necessary, in order to prevent any transaction that could contribute to proliferation-sensitive nuclear activities or to the development of nuclear weapons delivery systems, to the competent authorities of other Member States where the counterparts to such transactions are established.
1.Credit and financial institutions which fall within the scope of Article 39 shall, in their activities with credit and financial institutions referred to in paragraph 2, and in order to prevent such activities from contributing to proliferation-sensitive nuclear activities or to the development of nuclear weapon delivery systems:
(a)exercise continuous vigilance over account activity, particularly through their programmes on customer due diligence and under their obligations relating to money laundering and financing of terrorism;
(b)require that in payment instructions all information fields which relate to the originator and beneficiary of the transaction in question be completed and if that information is not supplied, refuse the transaction;
(c)maintain all records of transactions for a period of five years and make them available to national authorities on request;
(d)if they suspect or have reasonable grounds to suspect that funds are related to proliferation financing, promptly report their suspicions to the financial intelligence unit (FIU) or to another competent authority designated by the Member State concerned, as indicated on the websites listed in Annex V, without prejudice to Articles 5 and 16. The FIU or such other competent authority will serve as a national centre for receiving and analysing suspicious transaction reports regarding potential proliferation financing. The FIU or such other competent authority shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement information that it requires to properly undertake this function, including the analysis of suspicious transaction reports.
The above requirements for credit and financial institutions shall be complementary to existing obligations deriving from Regulation (EC) No 1781/2006 and from the implementation of Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing(16).
2.The measures set out in paragraph 1 shall apply to credit and financial institutions in their activities with:
(a)credit and financial institutions domiciled in Iran, including the Central Bank of Iran;
(b)branches and subsidiaries, where they fall within the scope of Article 39, of credit and financial institutions domiciled in Iran;
(c)branches and subsidiaries, where they do not fall within the scope of Article 39, of credit and financial institutions domiciled in Iran;
(d)credit and financial institutions that are not domiciled in Iran but are controlled by persons and entities domiciled in Iran.
1.It shall be prohibited for credit and financial institutions falling within the scope of Article 39 to do any of the following:
(a)to open a new bank account with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred to in Article 23(2);
(b)to establish a new correspondent banking relationship with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred to in Article 23(2),
(c)to open a new representative office in Iran or to establish a new branch or subsidiary in Iran;
(d)to establish a new joint venture with a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or with any credit or financial institution referred to in Article 23(2).
2.It shall be prohibited:
(a)to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any credit or financial institution referred to in Article 23(2);
(b)to conclude agreements for, or on behalf of, a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or for, or on behalf of, any credit or financial institution referred to in Article 23(2) pertaining to the opening of a representative office or the establishment of a branch or subsidiary in the Union;
(c)to grant an authorisation for taking up and pursuing the business of credit institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or of any credit or financial institution referred to in Article 23(2), if the representative office, branch or subsidiary was not operational before 26 July 2010.
(d)to acquire or to extend a participation, or to acquire any other ownership interest, in a credit or financial institution falling within the scope of Article 39 by any credit or financial institution referred to in Article 23(2).
It shall be prohibited:
to sell or purchase public or public-guaranteed bonds issued after 26 July 2010, directly or indirectly, to or from any of the following:
Iran or its Government, and its public bodies, corporations and agencies;
a credit or financial institution domiciled in Iran, including the Central Bank of Iran, or any credit or financial institution referred to in Article 23(2);
a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii);
a legal person, entity or body owned or controlled by a person, entity or body referred to in (i), (ii) or (iii);
to provide brokering services with regard to public or public-guaranteed bonds issued after 26 July 2010 to a person, entity or body referred to in point (a);
to assist a person, entity or body referred to in point (a) in order to issue public or public-guaranteed bonds, by providing brokering services, advertising or any other service with regard to such bonds.
1.It shall be prohibited:
(a)to provide insurance or re-insurance to:
Iran or its Government, and its public bodies, corporations and agencies;
an Iranian person, entity or body other than a natural person; or
a natural person or a legal person, entity or body when acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii).
(b)to participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibition in point (a).
2.Points (i) and (ii) of paragraph 1(a) shall not apply to the provision of compulsory or third party insurance to Iranian persons, entities or bodies based in the Union.
3.Point (iii) of paragraph 1(a) shall not apply to the provision of insurance, including health and travel insurance, to individuals acting in their private capacity, except for persons listed in Annexes VII and VIII, and re-insurance relating thereto.
Point (iii) of paragraph 1(a) shall not prevent the provision of insurance or re-insurance to the owner of a vessel, aircraft or vehicle chartered by a person, entity or body referred to in point (i) or (ii) of paragraph 1(a) and which is not listed in Annexes VII or VIII.
For the purpose of point (iii) of paragraph 1(a), a person, entity or body shall not be considered to act at the direction of a person, entity or body referred to in points (i) and (ii) of paragraph 1(a) where that direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarly in Iranian waters or airspace.
4.This Article prohibits the extension or renewal of insurance and re-insurance agreements concluded before the entry into force of this Regulation, but, without prejudice to Article 16(3), it does not prohibit compliance with agreements concluded before that date.
1.To prevent the transfer of goods and technology which are covered by the Common Military List or the supply, sale, transfer, export or import of which is prohibited by this Regulation, all goods brought into or leaving the customs territory of the Union from or to Iran shall be made subject to pre-arrival or pre-departure information to be submitted to the competent customs authorities of the Member State concerned.
2.The rules governing the obligation to provide pre-arrival and pre-departure information, in particular regarding the person who provides that information, the time limits to be respected and the data required, shall be as determined in the relevant provisions concerning entry and exit summary declarations as well as customs declarations in Regulation (EEC) No 2913/92 and in Regulation (EEC) No 2454/93.
3.Furthermore, the person who provides the information referred to in paragraph 2, shall declare whether the goods are covered by the Common Military List or by this Regulation and, where their export is subject to authorisation, specify the particulars of the export licence granted.
4.Until 31 December 2010 the entry and exit summary declarations and the required additional elements referred to in paragraph 3 may be submitted in written form using commercial, port or transport information, provided that they contain the necessary details.
5.As from 1 January 2011, the required additional elements referred to in this Article shall be submitted either in written form or using a customs declaration as appropriate.
1.The provision by nationals of Member States or from the territories of Member States of bunkering or ship supply services, or any other servicing of vessels, to vessels owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 27, that provides reasonable grounds to believe that the vessels carry goods covered by the Common Military List or goods whose supply, sale, transfer or export is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian purposes.
2.The provision by nationals of Member States, or from the territories of Member States, of engineering and maintenance services to cargo aircraft owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited, where the providers of the service have information, including from the competent customs authorities on the basis of the pre-arrival and pre-departure information referred to in Article 27, that provides reasonable grounds to believe that the cargo aircraft carry goods covered by the Common Military List or goods the supply, sale, transfer or export of which is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.
3.The prohibitions in paragraphs 1 and 2 shall apply until the cargo has been inspected and, if necessary, seized or disposed of, as the case may be.
Any seizure and disposal may, in accordance with national legislation or the decision of a competent authority, be carried out at the expense of the importer or be recovered from any other person or entity responsible for the attempted illicit supply, sale, transfer or export.
1.No claims in connection with any contract or transaction the performance of which would have been affected, directly or indirectly, in whole or in part, by the measures imposed under Regulation (EC) No 423/2007 or this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:
(a)designated persons, entities or bodies listed in Annexes VII and VIII;
(b)any other Iranian person, entity or body, including the Iranian government;
(c)any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) and (b).
2.The performance of a contract or transaction shall be regarded as having been affected by the measures imposed under Regulation (EC) No 423/2007 or by this Regulation where the existence or content of the claim results directly or indirectly from those measures.
3.In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.
4.This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with Regulation (EC) No 423/2007 or this Regulation.
For the purposes of Articles 8 and 9, point (c) of Article 11(2), and Articles 21 and 26, any body, entity or holder of rights derived from an original award before the entry into force of this Regulation by a sovereign Government other than Iran, of a production sharing agreement shall not be considered an Iranian person, entity or body. In such cases and in relation to Article 8, the competent authority of the Member State may require appropriate end-user guarantees from any body or entity for any sale, supply, transfer or export of any key equipment or technology listed in Annex VI.
1.Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:
(a)supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 16, to the competent authorities of the Member States, as indicated on the websites listed in Annex V, where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;
(b)cooperate with the competent authorities, as indicated on the websites listed in Annex V, in any verification of this information.
2.Any additional information received directly by the Commission shall be made available to the Member State concerned.
3.Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.
1.The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.
2.The prohibitions set out in the present Regulation shall not give rise to liability of any kind on the part of the natural or legal persons or entities concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.
3.The disclosure in good faith, as provided for in Articles 21, 22 and 23, by an institution or by a person covered by this Regulation or an employee or director of such an institution, of the information referred to in Articles 21, 22 and 23 shall not give rise to liability of any kind on the part of the institution or person or its directors or employees.
1.A Member State may take all action it deems necessary to ensure that relevant international, Union or national legal obligations concerning the health and safety of workers and environmental protection are respected where cooperation with an Iranian person, entity or body may be affected by the implementation of this Regulation.
2.For the purpose of action taken pursuant to paragraph 1, the prohibitions in Articles 8 and 9, point (c) of Article 11(2), and Articles 16(2), 21 and 26 shall not apply.
3.Member States shall inform each other in advance of action pursuant to paragraph 1.
The Commission and Member States shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violations and enforcement problems and judgments issued by national courts.
The Commission shall:
amend Annex II on the basis of determinations made by either the United Nations Security Council or the Sanctions Committee or on the basis of information supplied by Member States;
amend Annex IV on the basis of information supplied by Member States;
amend Annex V on the basis of information supplied by Member States.
1.Where the Security Council or the Sanctions Committee lists a natural or legal person, entity or body, the Council shall include such natural or legal person, entity or body in Annex VII.
2.Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 16(2), it shall amend Annex VIII accordingly.
3.The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraphs 1 and 2, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.
4.Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.
5.Where the United Nations decides to delist a natural or legal person, entity or body, or to amend the identifying data of a listed natural or legal person, entity or body, the Council shall amend Annex VII accordingly.
6.The list in Annex VIII shall be reviewed in regular intervals and at least every 12 months.
1.Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive.
2.Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.
1.Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex V. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex V.
2.Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment.
3.Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex V.
This Regulation shall apply:
within the territory of the Union, including its airspace;
on board any aircraft or any vessel under the jurisdiction of a Member State;
to any person inside or outside the territory of the Union who is a national of a Member State;
to any legal person, entity or body which is incorporated or constituted under the law of a Member State;
to any legal person, entity or body in respect of any business done in whole or in part within the Union.
Regulation (EC) No 423/2007 is hereby repealed. References to the repealed regulation shall be construed as references to this Regulation.
This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Luxembourg, 25 October 2010
For the Council
The President
C. Ashton
This Annex comprises all goods and technology listed in Annex I to Regulation (EC) No 428/2009, as defined therein, except the following:
Article 6 applies to the following goods:
Item from Annex I to Regulation (EC) No 428/2009 | Description |
---|---|
0A001 | ‘Nuclear reactors’ and specially designed or prepared equipment and components therefor, as follows: a. ‘Nuclear reactors’; b. Metal vessels, or major shop-fabricated parts therefor, including the reactor vessel head for a reactor pressure vessel, specially designed or prepared to contain the core of a ‘nuclear reactor’; c. Manipulative equipment specially designed or prepared for inserting or removing fuel in a ‘nuclear reactor’; d. Control rods specially designed or prepared for the control of the fission process in a ‘nuclear reactor’, support or suspension structures therefor, rod drive mechanisms and rod guide tubes; e. Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a ‘nuclear reactor’ at an operating pressure in excess of 5,1 MPa; f. Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a ‘nuclear reactor’; g. Coolant pumps specially designed or prepared for circulating the primary coolant of ‘nuclear reactors’; h. ‘Nuclear reactor internals’ specially designed or prepared for use in a ‘nuclear reactor’, including support columns for the core, fuel channels, thermal shields, baffles, core grid plates, and diffuser plates; Note: In 0A001.h. ‘nuclear reactor internals’ means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation. i. Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a ‘nuclear reactor’; j. Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a ‘nuclear reactor’. |
0C002 | Low enriched uranium covered by 0C002 when it is incorporated in assembled nuclear fuels elements |
N.B.: In judging whether the prohibited component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the prohibited component or components as the principal element of the goods being procured.
(To be read in conjunction with Section II.B.)
A9. Aerospace and Propulsion | ||
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
II.A9.001 | Explosive bolts. | — |
Fire-arms, ammunition and related accessories therefor, as follows:
Firearms not controlled by ML 1 and ML 2 of the Common Military List of the European Union (‘Common Military List’)(17);
Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor;
Weapon-sights not controlled by the Common Military List.
Bombs and grenades not controlled by the Common Military List.
Vehicles as follows:
Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;
Vehicles specially designed or modified to be electrified to repel borders;
Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;
Vehicles specially designed for the transport or transfer of prisoners and/or detainees;
Vehicles specially designed to deploy mobile barriers;
Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.
Note 1 This item does not control vehicles specially designed for the purposes of fire-fighting.
Note 2 For the purposes of item 3.5 the term ‘vehicles’ includes trailers.
Explosive substances and related equipment as follows:
Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of fire sprinkler actuators);
Linear cutting explosive charges not controlled by the Common Military List;
Other explosives not controlled by the Common Military List and related substances as follows:
amatol;
nitrocellulose (containing more than 12,5 % nitrogen);
nitroglycol;
pentaerythritol tetranitrate (PETN);
picryl chloride;
2,4,6-trinitrotoluene (TNT).
Protective equipment not controlled by ML 13 of the Common Military List as follows:
Body armour providing ballistic and/or stabbing protection;
Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.
Note: This item does not control:
equipment specially designed for sports activities;
equipment specially designed for safety of work requirements.
Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor.
Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common Military List.
Razor barbed wire.
Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.
Production equipment specially designed for the items specified in this list.
Specific technology for the development, production or use of the items specified in this list.
N.B.: In judging whether the controlled component or components is/are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.
(To be read in conjunction with Section IV.B)
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
IV.A0.010 | Pipes, piping, flanges, fittings made of, or lined with, nickel or nickel alloy containing more than 40 % nickel by weight, other than those specified in 2B350.h.1., in respect of pipes having an inner diameter larger than 100 mm. | 2B350 |
IV.A0.011 | Vacuum pumps other than those specified in 0B002.f.2 or 2B231, as follows:
Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps. | 0B002.f.2, 2B231 |
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
IV.A1.003 | Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials: a. Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching; b. Fluorinated polyimides containing 10 % by weight or more of combined fluorine; c. Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine; d. Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®); e. Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®); f. Polytetrafluoroethylene (PTFE). | |
IV.A1.004 | Personal equipment for detecting radiation of nuclear origin, including personal dosimeters. Note: This item does not cover nuclear detection systems defined in item 1A004.c. | 1A004.c |
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
IV.A3.004 | Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material. |
http://www.diplomatie.be/eusanctions
http://www.mfa.government.bg
http://www.mfcr.cz/mezinarodnisankce
http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/
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http://www.ypex.gov.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/International+Sanctions/
http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx
http://www.diplomatie.gouv.fr/autorites-sanctions/
http://www.esteri.it/UE/deroghe.html
http://www.mfa.gov.cy/sanctions
http://www.mfa.gov.lv/en/security/4539
http://www.urm.lt
http://www.mae.lu/sanctions
http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/
http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp
http://www.minbuza.nl/sancties
http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=
http://www.msz.gov.pl
http://www.min-nestrangeiros.pt
http://www.mae.ro/index.php?unde=doc&id=32311&idlnk=1&cat=3
http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/
http://www.foreign.gov.sk
http://formin.finland.fi/kvyhteistyo/pakotteet
http://www.ud.se/sanktioner
www.fco.gov.uk/competentauthorities
European Commission
DG External Relations
Directorate A Crisis Platform — Policy Coordination in Common Foreign and Security Policy (CFSP)
Unit A.2. Crisis Response and Peace Building
CHAR 12/106
B-1049 Bruxelles/Brussel (Belgium)
E-mail: relex-sanctions@ec.europa.eu
Tel.: (32-2) 295 55 85
Fax: (32-2) 299 08 73
N.B.: In judging whether the prohibited component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the prohibited component or components as the principal element of the goods being procured.
For the purposes of this entry, ‘API and ISO specifications’ refers to the American Petroleum Institute specification 17 F and/or the International Standards Organisation specification 13268 for subsea production control systems.
‘API and ISO specification’ refers to the American Petroleum Institute specification 10A or the International Standards Organisation specification 10426 for oil well cements and other materials specially formulated for use in the cementing of oil and gas wells.
Plate-fin heat exchangers with a surface/volume ratio greater than 500 m2/m3, specially designed for pre-cooling of natural gas;
Coil-wound heat exchangers specially designed for liquefaction or sub-cooling of natural gas.
‘Coldbox’ equipment’ refers to a specially designed construction, which is specific for LNG plants and incorporates the process stage of liquefaction. The ‘coldbox’ comprises heat exchangers, piping, other instrumentation and thermal insulators. The temperature inside the ‘coldbox’ is below – 120 °C (conditions for condensation of natural gas). The function of the ‘coldbox’ is the thermal insulation of the above described equipment.
Stainless steels with 23 % chromium or more by weight;
Stainless steels and nickel bases alloys with a ‘Pitting resistance equivalent’ number higher than 33.
‘Pitting resistance equivalent’ (PRE) number characterises the corrosion resistance of stainless steels and nickel alloys to pitting or crevice corrosion. The pitting resistance of stainless steels and nickel alloys is primarily determined by their compositions, primarily: chromium, molybdenum, and nitrogen. The formula to calculate the PRE number is: PRE = Cr + 3,3 % Mo + 30 % N
‘Pig’ is a device typically used for cleaning or inspection of a pipeline from inside (corrosion state or crack formation) and is propelled by the pressure of the product in the pipeline.
fixed roof tanks;
floating roof tanks.
Single metal (platinum group) on alumina type or on zeolite, specially designed for catalytic reforming process;
Mixed metal species (platinum in combination with other noble metals) on alumina type or on zeolite, specially designed for catalytic reforming process;
Cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, specially designed for catalytic desulphurisation process;
Palladium, nickel, chromium and tungsten catalysts on alumina type or on zeolite, specially designed for catalytic hydrocracking process.
This entry includes Ethyl tertiary butyl ether(ETBE) (CAS 637-92-3) and Methyl tertiary butyl ether (MTBE) CAS 1634-04-4).
‘Technology’ for conversion of light olefin to gasoline;
Catalytic reforming and isomerisation technology;
Catalytic and thermal cracking technology.
Name | Identifying information | Reasons | Date of listing | |
---|---|---|---|---|
1. | Abzar Boresh Kaveh Co. (alias BK Co.) | Involved in the production of centrifuge components. | Date of UN designation: 3.3.2008 | |
2. | Amin Industrial Complex (alias (a) Amin IndustrialCompound, (b) Amin Industrial Company) | Address: (a) P.O. Box 91735-549, Mashad, Iran; (b) Amin Industrial Estate, Khalage Rd., Seyedi District, Mashad, Iran; (c) Kaveh Complex, Khalaj Rd., Seyedi St., Mashad, Iran. | (a) Amin Industrial Complex sought temperature controllers which may be used in nuclear research and operational/production facilities; (b) Amin Industrial Complex is owned or controlled by, or acts on behalf of, the Defense Industries Organization (DIO), which was designated in UN Security Council Resolution 1737 (2006). | Date of UN designation: 9.6.2010 |
3. | Ammunition and Metallurgy Industries Group (alias (a) AMIG, (b) Ammunition Industries Group) | (a) AMIG controls 7th of Tir; (b) AMIG is owned and controlled by the Defence Industries Organisation (DIO). | Date of UN designation: 4.3.2007 | |
4. | Armament Industries Group | Address: (a) Sepah Islam Road, Karaj Special Road Km 10, Iran; (b) Pasdaran Ave., P.O. Box 19585/777, Tehran, Iran. | (a) Armament Industries Group (AIG) manufacturers and services a variety of small arms and light weapons, including large- and medium-calibre guns and related technology; (b) AIG conducts the majority of its procurement activity through Hadid Industries Complex. | Date of EU designation: 24.4.2007 (UN: 9.6.2010) |
5. | Atomic Energy Organization of Iran (AEOI) | Involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
6. | Bank Sepah and Bank Sepah International | Bank Sepah provides support for the Aerospace Industries Organisation (AIO) and subordinates, including Shahid Hemmat Industrial Group (SHIG) and Shahid Bagheri Industrial Group (SBIG). | Date of UN designation: 24.3.2007 | |
7. | Barzagani Tejarat Tavanmad Saccal companies | (a) subsidiary of Saccal System companies; (b) this company tried to purchase sensitive goods for an entity listed in resolution 1737 (2006). | Date of UN designation: 3.3.2008 | |
8. | Cruise Missile Industry Group (alias Naval Defence Missile Industry Group) | Date of UN designation: 24.3.2007 | ||
9. | Defence Industries Organisation (DIO) | (a) Overarching MODAFL-controlled entity, some of whose subordinates have been involved in the centrifuge programme making components, and in the missile programme; (b) Involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
10. | Defense Technology and Science Research Center | Address: Pasdaran Ave, PO Box 19585/777, Tehran, Iran. | Defense Technology and Science Research Center (DTSRC) is owned or controlled by, or acts on behalf of, Iran's Ministry of Defense and Armed Forces Logistics (MODAFL), which oversees Iran's defence R&D, production, maintenance, exports, and procurement. | Date of EU designation: 24.4.2007 (UN: 9.6.2010) |
11. | Doostan International Company | Doostan International Company (DICO) supplies elements to Iran's ballistic missile program. | Date of UN designation: 9.6.2010 | |
12. | Electro Sanam Company (alias (a) E. S. Co., (b) E. X. Co.) | AIO front-company, involved in the ballistic missile programme. | Date of UN designation: 3.3.2008 | |
13. | Esfahan Nuclear Fuel Research and Production Centre (NFRPC) and Esfahan Nuclear Technology Centre (ENTC) | They are parts of the Atomic Energy Organisation of Iran's (AEOI) Nuclear Fuel Production and Procurement Company. | Date of UN designation: 24.3.2007 | |
14. | Ettehad Technical Group | AIO front-company, involved in the ballistic missile programme. | Date of UN designation: 3.3.2008 | |
15. | Fajr Industrial Group | (a) Formerly Instrumentation Factory Plant; (b) Subordinate entity of AIO; (c) Involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006 | |
16. | Farasakht Industries | Address: P.O. Box 83145-311, Kilometer 28, Esfahan-Tehran Freeway, Shahin Shahr, Esfahan, Iran. | Farasakht Industries is owned or controlled by, or acts on behalf of, the Iran Aircraft Manufacturing Company, which in turn is owned or controlled by MODAFL. | Date of UN designation: 9.6.2010 |
17. | Farayand Technique | (a) Involved in Iran's nuclear programme (centrifuge programme); (b) Identified in IAEA reports. | Date of UN designation: 23.12.2006 | |
18. | Fater (or Faater) Institute | (a) Khatam al-Anbiya (KAA) subsidiary; (b) Fater has worked with foreign suppliers, likely on behalf of other KAA companies on IRGC projects in Iran; (c) Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. | Date of UN designation: 9.6.2010 | |
19. | First East Export Bank, P.L.C. | Address: Unit Level 10 (B1), Main Office Tower, Financial Park Labuan, Jalan Merdeka, 87000 WP Labuan, Malaysia. | (a) First East Export Bank, PLC is owned or controlled by, or acts on behalf of, Bank Mellat; (b) Over the last seven years, Bank Mellat has facilitated hundreds of millions of dollars in transactions for Iranian nuclear, missile, and defense entities; (c) Business Registration Number LL06889 (Malaysia). | Date of UN designation: 9.6.2010 |
20. | Gharagahe Sazandegi Ghaem | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Gharagahe Sazandegi Ghaem is owned or controlled by KAA (see below). | Date of UN designation: 9.6.2010 | |
21. | Ghorb Karbala | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Ghorb Karbala is owned or controlled by KAA (see below). | Date of UN designation: 9.6.2010 | |
22. | Ghorb Nooh | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Ghorb Nooh is owned or controlled by KAA (see below). | Date of UN designation: 9.6.2010 | |
23. | Hara Company | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Owned or controlled by Ghorb Nooh. | Date of UN designation: 9.6.2010 | |
24. | Imensazan Consultant Engineers Institute | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Owned or controlled by, or acts on behalf of, KAA (see below). | Date of UN designation: 9.6.2010 | |
25. | Industrial Factories of Precision (IFP) Machinery (alias Instrumentation Factories Plant) | Used by AIO for some acquisition attempts. | Date of UN designation: 3.3.2008 | |
26. | Irano Hind Shipping Company | Address: (a) 18 Mehrshad Street, Sadaghat Street, Opposite of Park Mellat, Vali-e-Asr Ave., Tehran, Iran; (b) 265, Next to Mehrshad, Sedaghat St., Opposite of Mellat Park, Vali Asr Ave., Tehran 1A001, Iran. | Owned or controlled by, or acting on behalf of the Islamic Republic of Iran Shipping Lines. | Date of UN designation: 9.6.2010 |
27. | IRISL Benelux NV | Address: Noorderlaan 139, B-2030, Antwerp, Belgium V.A.T. Number BE480224531 (Belgium). | Owned or controlled by, or acting on behalf of the Islamic Republic of Iran Shipping Lines. | Date of UN designation: 9.6.2010 |
28. | Jabber Ibn Hayan | AEOI laboratory involved in fuel cycle acitivties. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
29. | Joza Industrial Co. | AIO front-company, involved in the ballistic missile programme. | Date of UN designation: 3.3.2008 | |
30. | Kala-Electric (alias Kalaye Electric) | (a) Provider for PFEP — Natanz; (b) Involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
31. | Karaj Nuclear Research Centre | Part of AEOI's research division. | Date of UN designation: 24.3.2007 | |
32. | Kaveh Cutting Tools Company | Address: (a) 3rd Km of Khalaj Road, Seyyedi Street, Mashad 91638, Iran; (b) Km 4 of Khalaj Road, End of Seyedi Street, Mashad, Iran; (c) P.O. Box 91735-549, Mashad, Iran; (d) Khalaj Rd., End of Seyyedi Alley, Mashad, Iran; (e) Moqan St., Pasdaran St., Pasdaran Cross Rd., Tehran, Iran. | Kaveh Cutting Tools Company is owned or controlled by, or acts on behalf of, the DIO. | Date of UN designation: 9.6.2010 |
33. | Kavoshyar Company | Subsidiary company of AEOI. | Date of UN designation: 24.3.2007 | |
34. | Khatam al-Anbiya Construction Headquarters | Khatam al-Anbiya Construction Headquarters (KAA) is an Islamic Revolutionary Guard Corps (IRGC)-owned company involved in large scale civil and military construction projects and other engineering activities. It undertakes a significant amount of work on Passive Defense Organization projects. In particular, KAA subsidiaries were heavily involved in the construction of the uranium enrichment site at Qom/Fordow. | Date of EU designation: 24.6.2008 (UN: 9.6.2010) | |
35. | Khorasan Metallurgy Industries | (a) Subsidiary of the Ammunition Industries Group (AMIG) which depends on DIO; (b) involved in the production of centrifuge components. | Date of UN designation: 3.3.2008 | |
36. | M. Babaie Industries | Address: P.O. Box 16535-76, Tehran, 16548, Iran. | (a) M. Babaie Industries is subordinate to Shahid Ahmad Kazemi Industries Group (formally the Air Defense Missile Industries Group) of Iran's Aerospace Industries Organization (AIO); (b) AIO controls the missile organizations Shahid Hemmat Industrial Group (SHIG) and the Shahid Bakeri Industrial Group (SBIG), both of which were designated in resolution 1737. | Date of UN designation: 9.6.2010. |
37. | Makin | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Makin is owned or controlled by or acting on behalf of KAA, and is a subsidiary of KAA. | Date of UN designation: 9.6.2010. | |
38. | Malek Ashtar University | Address: Corner of Imam Ali Highway and Babaei Highway, Tehran, Iran. | (a) a subordinate of the DTRSC within MODAFL; (b) this includes research groups previously falling under the Physics Research Center (PHRC); (c) IAEA inspectors have not been allowed to interview staff or see documents under the control of this organization to resolve the outstanding issue of the possible military dimension to Iran's nuclear program. | Date of EU designation: 24.6.2008 (UN: 9.6.2010) |
39. | Mesbah Energy Company | (a) Provider for A40 research reactor — Arak; (b) Involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
40. | Ministry of Defense Logistics Export. | Address: (a) PO Box 16315-189, Tehran, Iran; (b) located on the west side of Dabestan Street, Abbas Abad District, Tehran, Iran. | Ministry of Defense Logistics Export (MODLEX) sells Iranian-produced arms to customers around the world in contravention of UN Security Council Resolution 1747 (2007), which prohibits Iran from selling arms or related materiel. | Date of EU designation: 24.6.2008 (UN: 9.6.2010) |
41. | Mizan Machinery Manufacturing (alias 3MG). | Address: O. Box 16595-365, Tehran, Iran. | Mizan Machinery Manufacturing (3M) is owned or controlled by, or acts on behalf of, SHIG. | Date of EU designation: 24.6.2008 (UN: 9.6.2010) |
42. | Modern Industries Technique Company (alias (a) Rahkar Company,(b) Rahkar Industries, (c) Rahkar Sanaye Company, (d) Rahkar Sanaye Novin). | Address: Arak, Iran. | (a) Modern Industries Technique Company (MITEC) is responsible for design and construction of the IR-40 heavy water reactor in Arak; (b) MITEC has spearheaded procurement for the construction of the IR-40 heavy water reactor. | Date of UN designation: 9.6.2010 |
43. | Niru Battery Manufacturing Company | (a) subsidiary of the DIO; (b) its role is to manufacture power units for the Iranian military including missile systems. | Date of UN designation: 3.3.2008 | |
44. | Novin Energy Company (alias Pars Novin) | It operates within AEOI. | Date of UN designation: 24.3.2007 | |
45. | Nuclear Research Center for Agriculture and Medicine (alias (a) Center for Agricultural Research and Nuclear Medicine, (b) Karaji Agricultural and Medical Research Center). | Address: P.O. Box 31585-4395, Karaj, Iran. | (a) the Nuclear Research Center for Agriculture and Medicine (NFRPC) is a large research component of the Atomic Energy Organization of Iran (AEOI), which was designated in UN Security Council Resolution 1737 (2006); (b) the NFRPC is AEOI's center for the development of nuclear fuel and is involved in enrichment-related activities | Date of UN designation: 9.6.2010 |
46. | Omran Sahel | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Owned or controlled by Ghorb Nooh. | Date of UN designation: 9.6.2010 | |
47. | Oriental Oil Kish | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Oriental Oil Kish is owned or controlled by or acting on behalf of KAA. | Date of UN designation: 9.6.2010 | |
48. | Parchin Chemical Industries | Branch of DIO | Date of UN designation: 24.3.2007 | |
49. | Pars Aviation Services Company | Maintains aircraft | Date of UN designation: 24.3.2007 | |
50. | Pars Trash Company | (a) Involved in Iran's nuclear programme (centrifuge programme); (b) Identified in IAEA reports | Date of UN designation: 23.12.2006 | |
51. | Pejman Industrial Services Corporation | Address: P.O. Box 16785-195, Tehran, Iran | Pejman Industrial Services Corporation is owned or controlled by, or acts on behalf of, SBIG | Date of UN designation: 9.6.2010 |
52. | Pishgam (Pioneer) Energy Industries | Has participated in construction of the Uranium Conversion Facility at Esfahan | Date of UN designation: 3.3.2008 | |
53. | Qods Aeronautics Industries | It produces unmanned aerial vehicles (UAVs), parachutes, paragliders, paramotors, etc. | Date of UN designation: 24.3.2007 | |
54. | Rah Sahel | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Rah Sahel is owned or controlled by or acting on behalf of KAA. | Date of UN designation: 9.6.2010 | |
55. | Rahab Engineering Institute | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Rahab is owned or controlled by or acting on behalf of KAA, and is a subsidiary of KAA. | Date of UN designation: 9.6.2010 | |
56. | Sabalan Company | Address: Damavand Tehran Highway, Tehran, Iran. | Sabalan is a cover name for SHIG. | Date of UN designation: 9.6.2010 |
57. | Sanam Industrial Group | Subordinate to AIO. | Date of UN designation: 24.3.2007 | |
58. | Safety Equipment Procurement (SEP) | AIO front-company, involved in the ballistic missile programme. | Date of UN designation: 3.3.2008 | |
59. | Sahand Aluminum Parts Industrial Company (SAPICO) | Address: Damavand Tehran Highway, Tehran, Iran. | SAPICO is a cover name for SHIG. | Date of UN designation: 9.6.2010 |
60. | Sahel Consultant Engineers | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Owned or controlled by Ghorb Nooh. | Date of UN designation: 9.6.2010 | |
61. | Sepanir | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Sepanir is owned or controlled by or acting on behalf of KAA | Date of UN designation: 9.6.2010 | |
62. | Sepasad Engineering Company | Owned or controlled by, or acting on behalf of, the Islamic Revolutionary Guard Corps. Sepasad Engineering Company is owned or controlled by or acting on behalf of KAA. | Date of UN designation: 9.6.2010 | |
63. | 7th of Tir. | (a) Subordinate of DIO, widely recognised as being directly involved in Iran's nuclear programme; (b) Involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006. | |
64. | Shahid Bagheri Industrial Group (SBIG) | (a) Subordinate entity of AIO; (b) Involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006. | |
65. | Shahid Hemmat Industrial Group (SHIG) | (a) subordinate entity of AIO; (b) Involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006. | |
66. | Shahid Karrazi Industries. | Address: Tehran, Iran. | Shahid Karrazi Industries is owned or controlled by, or act on behalf of, SBIG. | Date of UN designation: 9.6.2010 |
67. | Shahid Satarri Industries (alias Shahid Sattari Group Equipment Industries) | Address: Southeast Tehran, Iran. | Shahid Sattari Industries is owned or controlled by, or acts on behalf of, SBIG. | Date of UN designation: 9.6.2010 |
68. | Shahid Sayyade Shirazi Industries | Address: (a) Next to Nirou Battery Mfg. Co, Shahid Babaii Expressway, Nobonyad Square, Tehran, Iran; (b) Pasdaran St., P.O. Box 16765, Tehran 1835, Iran, (c) Babaei Highway — Next to Niru M.F.G, Tehran, Iran. | Shahid Sayyade Shirazi Industries (SSSI) is owned or controlled by, or acts on behalf of, the DIO. | Date of UN designation: 9.6.2010 |
69. | Sho’a’ Aviation | It produces microlights. | Date of UN designation: 24.3.2007 | |
70. | South Shipping Line Iran (SSL) | Address: (a) Apt. No. 7, 3rd Floor, No. 2, 4th Alley, Gandi Ave., Tehran, Iran; (b) Qaem Magham Farahani St., Tehran, Iran. | Owned or controlled by, or acting on behalf of, the Islamic Republic of Iran Shipping Lines. | Date of UN designation: 9.6.2010 |
71. | Special Industries Group | Address: Pasdaran Avenue, PO Box 19585/777, Tehran, Iran. | Special Industries Group (SIG) is a subordinate of DIO. | Date of EU designation: 24.4.2007 (UN: 9.6.2010) |
72. | TAMAS Company | (a) involved in enrichment-related activities; (b) TAMAS is an overarching body, under which four subsidiaries have been established, including one for uranium extraction to concentration and another in charge of uranium processing, enrichment and waste. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
73. | Tiz Pars | Address: Damavand Tehran Highway, Tehran, Iran. | (a) Tiz Pars is a cover name for SHIG; (b) Between April and July 2007, Tiz Pars attempted to procure a five axis laser welding and cutting machine, which could make a material contribution to Iran's missile program, on behalf of SHIG. | Date of UN designation: 9.6.2010 |
74. | Ya Mahdi Industries Group | Subordinate to AIO. | Date of UN designation: 24.3.2007 | |
75. | Yazd Metallurgy Industries (alias (a) Yazd Ammunition Manufacturing and Metallurgy Industries, (b) Directorate of Yazd Ammunition and Metallurgy Industries.) | Address: (a) Pasdaran Avenue, Next to Telecommunication Industry, Tehran 16588, Iran; (b) Postal Box 89195/878, Yazd, Iran, (c) P.O. Box 89195-678, Yazd, Iran, (d) Km 5 of Taft Road, Yazd, Iran. | Metallurgy Industries (YMI) is a subordinate of DIO. | Date of UN designation: 9.6.2010 |
Name | Identifying information | Reasons | Date of listing | |
---|---|---|---|---|
1. | Fereidoun ABBASI-DAVANI | Senior Ministry of Defence and Armed Forces Logistics (MODAFL) scientist with links to the Institute of Applied Physics. Working closely with Mohsen Fakhrizadeh-Mahabadi. | Date of UN designation: 24.3.2007 | |
2. | Dawood AGHA-JANI | Function: Head of the PFEP – Natanz. Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
3. | Ali Akbar AHMADIAN | Title: Vice Admiral. Function: Chief of Iranian Revolutionary Guard Corps (IRGC) Joint Staff | Date of UN designation: 24.3.2007 | |
4. | Amir Moayyed ALAI | Involved in managing the assembly and engineering of centrifuges. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
5. | Behman ASGARPOUR | Function: Operational Manager (Arak) Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
6. | Mohammad Fedai ASHIANI | Involved in the production of ammonium uranyl carbonate and management of the Natanz enrichment complex. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
7. | Abbas Rezaee ASHTIANI | A senior official at the AEOI Office of Exploration and Mining Affairs. | Date of UN designation: 3.3.2008 | |
8. | Bahmanyar Morteza BAHMANYAR | Function: Head of Finance & Budget Dept, Aerospace Industries Organisation (AIO). Person involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006 | |
9. | Haleh BAKHTIAR | Involved in the production of magnesium at a concentration of 99,9 %. | Date of EU designation: 24.4.2007 UN: 3.3.2008) | |
10. | Morteza BEHZAD | Involved in making centrifuge components. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
11. | Ahmad Vahid DASTJERDI | Function: Head of the Aerospace Industries Organisation (AIO). Person involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006 | |
12. | Ahmad DERAKHSHANDEH | Function: Chairman and Managing Director of Bank Sepah. | Date of UN designation: 24.3.2007 | |
13. | Mohammad ESLAMI | Title: Dr. | Head of Defence Industries Training and Research Institute. | Date of UN designation: 3.3.2008 |
14. | Reza-Gholi ESMAELI | Function: Head of Trade & International Affairs Dept, Aerospace Industries Organisation (AIO). Person involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006 | |
15. | Mohsen FAKHRIZADEH-MAHABADI | Senior MODAFL scientist and former head of the Physics Research Centre (PHRC). | Date of UN designation: 24.3.2007 | |
16. | Mohammad HEJAZI | Title: Brigadier General. Function: Commander of Bassij resistance force. | Date of UN designation: 24.3.2007 | |
17. | Mohsen HOJATI | Function: Head of Fajr Industrial Group. | Date of UN designation: 24.3.2007 | |
18. | Seyyed Hussein HOSSEINI | AEOI official involved in the heavy water research reactor project at Arak. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
19. | M. Javad KARIMI SABET | Head of Novin Energy Company, which is designated under resolution 1747 (2007). | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
20. | Mehrdada Akhlaghi KETABACHI | Function: Head of Shahid Bagheri Industrial Group (SBIG). | Date of UN designation: 24.3.2007 | |
21. | Ali Hajinia LEILABADI | Function: Director General of Mesbah Energy Company. Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
22. | Naser MALEKI | Function: Head of Shahid Hemmat Industrial Group (SHIG). Naser Maleki is also a MODAFL official overseeing work on the Shahab-3 ballistic missile programme. The Shahab-3 is Iran's long-range ballistic missile currently in service. | Date of UN designation: 24.3.2007 | |
23. | Hamid-Reza MOHAJERANI | Involved in production management at the Uranium Conversion Facility (UCF) at Esfahan. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
24. | Jafar MOHAMMADI | Function: Technical Adviser to the Atomic Energy Organisation of Iran (AEOI) (in charge of managing the production of valves for centrifuges). Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
25. | Ehsan MONAJEMI | Function: Construction Project Manager, Natanz. Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
26. | Mohammad Reza NAQDI | Title: Brigadier General. | Former Deputy Chief of Armed Forces General Staff for Logistics and Industrial Research/Head of State Anti-Smuggling Headquarters, engaged in efforts to get round the sanctions imposed by resolutions 1737 (2006) and 1747 (2007). | Date of UN designation: 3.3.2008 |
27. | Houshang NOBARI | Involved in the management of the Natanz enrichment complex. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
28. | Mohammad Mehdi Nejad NOURI | Title: Lt Gen. | Function: Rector of Malek Ashtar University of Defence Technology. The chemistry department of Ashtar University of Defence Technology is affiliated to MODALF and has conducted experiments on beryllium. Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 |
29. | Mohammad QANNADI | Function: AEOI Vice President for Research & Development.Person involved in Iran's nuclear programme. | Date of UN designation: 23.12.2006 | |
30. | Amir RAHIMI | Function: Head of Esfahan Nuclear Fuel Research and Production Center. Esfahan Nuclear Fuel Research and Production Center is part of the AEOI's Nuclear Fuel Production and Procurement Company, which is involved in enrichment-related activities. | Date of UN designation: 24.3.2007 | |
31. | Javad RAHIQI |
| Function: Head of the Atomic Energy Organization of Iran (AEOI) Esfahan Nuclear Technology Center | Date of EU designation: 24.4.2007 (UN: 9.6.2010) |
32. | Abbas RASHIDI | Involved in enrichment work at Natanz. | Date of EU designation: 24.4.2007 (UN: 3.3.2008) | |
33. | Morteza REZAIE | Title: Brigadier General. Function: Deputy Commander of IRGC. | Date of UN designation: 24.3.2007 | |
34. | Morteza SAFARI | Title: Rear Admiral. | Function: Commander of IRGC Navy. | Date of UN designation: 24.3.2007 |
35. | Yahya Rahim SAFAVI | Title: Maj Gen. | Function: Commander, IRGC (Pasdaran). Person involved in both Iran's nuclear and ballistic missile programmes. | Date of UN designation: 23.12.2006 |
36. | Seyed Jaber SAFDARI | Manager of the Natanz Enrichment Facilities. | Date of UN designation: 24.3.2007 | |
37. | Hosein SALIMI | Title: General. | Function: Commander of the Air Force, IRGC (Pasdaran). Person involved in Iran's ballistic missile programme. | Date of UN designation: 23.12.2006 |
38. | Qasem SOLEIMANI | Title: Brigadier General. | Function: Commander of Qods force. | Date of UN designation: 24.3.2007 |
39. | Ghasem SOLEYMANI | Director of Uranium Mining Operations at the Saghand Uranium Mine. | Date of UN designation: 3.3.2008 | |
40. | Mohammad Reza ZAHEDI | Title: Brigadier General. | Function: Commander of IRGC Ground Forces. | Date of UN designation: 24.3.2007 |
41. | General ZOLQADR | Function: Deputy Interior Minister for Security Affairs, IRGC officer. | Date of UN designation: 24.3.2007 |
Name | Identifying information | Reasons | Date of listing | |
---|---|---|---|---|
1. | Reza AGHAZADEH | DoB: 15/3/1949 Passport number: S4409483 valid 26/4/2000 – 27/4/2010: Issued: Tehran, Diplomatic passport number: D9001950, issued on 22/1/2008 valid until 21/1/2013, Place of birth: Khoy | Former Head of the Atomic Energy Organisation of Iran (AEOI). The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). | 23.4.2007 |
2. | Javad DARVISH-VAND | IRGC Brigadier-General. MODAFL Deputy for Inspection. Responsible for all MODAFL facilities and installations | 23.6.2008 | |
3. | Ali DIVANDARI (a.k.a DAVANDARI) | Head of Bank Mellat (see Part B, no 4) | 26.7.2010 | |
4. | Rear Admiral Ali FADAVI | Commander of IRGC Navy | 26.7.2010 | |
5. | Dr Hoseyn (Hossein) FAQIHIAN | Address of NFPC: AEOI-NFPD, P.O.Box: 11365-8486, Tehran/Iran | Deputy and Director-General of the Nuclear Fuel Production and Procurement Company (NFPC) (see Part B, no 30), part of the AEOI. The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). The NFPC is involved in enrichment-related activities that Iran is required by the IAEA Board and Security Council to suspend. | 23.4.2007 |
6. | Seyyed Mahdi FARAHI | IRGC Brigadier-General. Managing Director of the Defence Industries Organisation (DIO) which is designated under UNSCR 1737 (2006) | 23.6.2008 | |
7. | Parviz FATAH | born 1961 | Khatam al Anbiya's number two | 26.7.2010 |
8. | Engineer Mojtaba HAERI | MODAFL Deputy for Industry. Supervisory role over AIO and DIO | 23.6.2008 | |
9. | Ali HOSEYNITASH | IRGC Brigadier-General. Head of the General Department of the Supreme National Security Council and involved in formulating policy on the nuclear issue | 23.6.2008 | |
10. | Mohammad Ali JAFARI | Commander of the IRGC | 23.6.2008 | |
11. | Mahmood JANNATIAN | DoB 21/4/1946, passport number: T12838903 | Deputy Head of the Atomic Energy Organisation of Iran | 23.6.2008 |
12. | Said Esmail KHALILIPOUR (a.k.a.: LANGROUDI) | DoB: 24/11/1945, PoB: Langroud | Deputy Head of AEOI. The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). | 23.4.2007 |
13. | Ali Reza KHANCHI | Address of NRC: AEOI-NRC P.O.Box: 11365-8486 Tehran/Iran; Fax: (+9821) 8021412 | Head of AEOI's Tehran Nuclear Research Centre. The IAEA is continuing to seek clarification from Iran about plutonium separation experiments carried out at the TNRC, including about the presence of HEU particles in environmental samples taken at the Karaj Waste Storage Facility where containers used to store depleted uranium targets used in those experiments are located. The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). | 23.4.2007 |
14. | Fereydoun MAHMOUDIAN | Born on 7/11/1943 in Iran. Passport no 05HK31387 issued on 1/1/2002 in Iran, valid until 7/8/2010. Acquired French nationality on 7/5/2008 | Director of Fulmen (see Part B, No 13) | 26.7.2010 |
15. | Ebrahim MAHMUDZADEH | Managing Director of Iran Electronic Industries (see Part B, no 20) | 23.6.2008 | |
16. | Brigadier-General Beik MOHAMMADLU | MODAFL Deputy for Supplies and Logistics (see Part B, no 29) | 23.6.2008 | |
17. | Mohammad MOKHBER | 4th Floor, No 39 Ghandi street Tehran Iran 1517883115 | President of the Setad Ejraie foundation, an investment fund linked to Ali Khameneï, the Supreme Leader. Member of the Management Board of Sina Bank. | 26.7.2010 |
18. | Mohammad Reza MOVASAGHNIA | Head of Samen Al A’Emmeh Industries Group (SAIG), also known as the Cruise Missile Industry Group. This organisation was designated under UNSCR 1747 and listed in Annex I to Common Position 2007/140/CFSP. | 26.7.2010 | |
19. | Anis NACCACHE | Administrator of Barzagani Tejarat Tavanmad Saccal companies; his company has attempted to procure sensitive goods for entities designated under Resolution 1737 (2006). | 23.6.2008 | |
20. | Brigadier-General Mohammad NADERI | Head of Aerospace Industries Organisation (AIO) (see Part B, no 1). AIO has taken part in sensitive Iranian programmes. | 23.6.2008 | |
21. | Mostafa Mohammad NAJJAR | IRGC Brigadier-General. Minister for the Interior and former Minister of MODAFL, responsible for all military programmes, including ballistic missiles programmes. | 23.6.2008 | |
22. | Mohammad Reza NAQDI | Born in 1953, Nadjaf (Iraq) | Brigadier General, Commander of Basij Resistance Force | 26.7.2010 |
23. | Mohammad PAKPUR | Brigadier General, Commander of IRGC Ground Forces | 26.7.2010 | |
24. | Rostam QASEMI (a.k.a. Rostam GHASEMI) | Born in 1961 | Commander of Khatam al-Anbiya | 26.7.2010 |
25. | Hossein SALAMI | Brigadier General, Deputy Commander of the IRGC | 26.7.2010 | |
26. | Ali Akbar SALEHI | Head of the Atomic Energy Organisation of Iran (AEOI). The AEOI oversees Iran's nuclear programme and is designated under UNSCR 1737 (2006). | 17.11.2009 | |
27. | Rear Admiral Mohammad SHAFI'I RUDSARI | Former MODAFL Deputy for Coordination (see Part B, no 29). | 23.6.2008 | |
28. | Ali SHAMSHIRI | IRGC Brigadier-General. MODAFL Deputy for Counter-Intelligence, responsible for security of MODAFL personnel and Installations | 23.6.2008 | |
29. | Abdollah SOLAT SANA | Managing Director of the Uranium Conversion Facility (UCF) in Esfahan. This is the facility that produces the feed material (UF6) for the enrichment facilities at Natanz. On 27 August 2006, Solat Sana received a special award from President Ahmadinejad for his role. | 23.4.2007 | |
30. | Ahmad VAHIDI | IRGC Brigadier-General, Minister of the MODAFL and former Deputy Head of MODAFL | 23.6.2008 |