ANNEX I
‘ANNEX I GOODS AND TECHNOLOGY REFERRED TO IN ARTICLES 2 AND 3
All goods and technology listed in Annex I to Regulation (EC) No 428/2009.
ANNEX Ia GOODS AND TECHNOLOGY REFERRED TO IN ARTICLES 2 AND 3
Other items, materials, equipment, goods and technology which could contribute to North Korea's nuclear-related, other weapons of mass destruction-related or ballistic missile-related programmes.
1.Unless otherwise stated, reference numbers used in the column entitled “Description” refer to the descriptions of dual use items and technology set out in Annex I to Regulation (EC) No 428/2009.
2.A reference number in the column entitled “Related item from Annex I to Regulation (EC) No 428/2009” means that the characteristics of the item described in the column “Description” lie outside the parameters set out in the description of the dual use entry referred to.
3.Definitions of terms between “single quotation marks” are given in a technical note to the relevant item.
4.Definitions of terms between “double quotation marks” can be found in Annex I to Regulation (EC) No 428/2009.
GENERAL NOTES
1.The object of the prohibitions contained in this Annex should not be defeated by the export of any non-prohibited goods (including plants) containing one or more prohibited components when the prohibited component or components are the principal element of the goods and can feasibly be removed or used for other purposes.
N.B.: In judging whether the prohibited component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the prohibited component or components as the principal element of the goods being procured.
2.Goods specified in this Annex include both new and used goods.
GENERAL TECHNOLOGY NOTE (GTN)
(To be read in conjunction with Part C)
1.The sale, supply, transfer or export of “technology” which is “required” for the “development”, “production” or “use” of goods the sale, supply, transfer or export of which is prohibited in Part A (Goods) below, is prohibited in accordance with the provisions of Part B.
2.The “technology”“required” for the “development”, “production” or “use” of prohibited goods remains under prohibition even when applicable to non-prohibited goods.
3.Prohibitions do not apply to that “technology” which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not prohibited.
4.Prohibitions on “technology” transfer do not apply to information “in the public domain”, to “basic scientific research” or to the minimum necessary information for patent applications.
A.GOODS
NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT
I.A0.
Goods
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
I.A0.001 | Hollow cathode lamps as follows: a. Iodine hollow cathode lamps with windows in pure silicon or quartz; b. Uranium hollow cathode lamps. | |
I.A0.002 | Faraday isolators in the wavelength range 500 nm – 650 nm | |
I.A0.003 | Optical gratings in the wavelength range 500 nm – 650 nm | |
I.A0.004 | Optical fibres in the wavelength range 500 nm – 650 nm coated with anti-reflecting layers in the wavelength range 500 nm – 650 nm and having a core diameter greater than 0,4 mm but not exceeding 2 mm. | |
I.A0.005 | Nuclear reactor vessel components and testing equipment, other than those specified in 0A001, as follows: a. Seals; b. Internal components; c. Sealing, testing and measurement equipment. | 0A001 |
I.A0.006 | Nuclear detection systems, other than those specified in 0A001.j. or 1A004.c., for detection, identification or quantification of radioactive materials or radiation of nuclear origin and specially designed components thereof. N.B: For personal equipment refer to I.A1.004 below. | 0A001.j. 1A004.c. |
I.A0.007 | Bellows-sealed valves other than those specified in 0B001.c.6., 2A226 or 2B350, made of aluminium alloy or stainless steel type 304, 304L or 316L. | 0B001.c.6.2A226 2B350 |
I.A0.008 | Laser mirrors, other than those specified in 6A005.e., consisting of substrates having a thermal expansion coefficient of 10-6 K-1 or less at 20 °C (e.g. fused silica or sapphire). Note: This item does not cover optical systems specially designed for astronomical applications, except if the mirrors contain fused silica. | 0B001.g.5. 6A005.e. |
I.A0.009 | Laser lenses, other than those specified in 6A005.e.2, consisting of substrates having a thermal expansion coefficient of 10-6 K-1 or less at 20 °C (e.g. fused silica). | 0B001.g. 6A005.e.2. |
I.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. | 2B350 |
I.A0.011 | Vacuum pumps other than those specified in 0B002.f.2. or 2B231, as follows: a. Turbo-molecular pumps having a flow-rate equal to or greater than 400 l/s; b. Roots type vacuum roughing pumps having a volumetric aspiration flow-rate greater than 200 m3/h; c. Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps. | 0B002.f.2. 2B231 |
I.A0.012 | Shielded enclosures for the manipulation, storage and handling of radioactive substances (hot cells). | 0B006 |
I.A0.013 | “Natural uranium” or “depleted uranium” or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, other than those specified in 0C001. | 0C001 |
I.A0.014 | Detonation chambers having a capacity of explosion absorption of more than 2,5 kg TNT equivalent. |
SPECIAL MATERIALS AND RELATED EQUIPMENT
I.A1.
Goods
MATERIALS PROCESSING
I.A2.
Goods
a Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established. | ||
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
I.A2.001 | Vibration test systems, equipment and components thereof, other than those specified in 2B116: a. Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0,1 g rms between 0,1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured “bare table”; b. Digital controllers, combined with specially designed vibration test “software”, with a “real-time control bandwidth” greater than 5 kHz designed for use with vibration test systems specified in a.; Technical note:“Real-time control bandwidth” is defined as the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals. c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured “bare table”, and usable in vibration test systems specified in a.; d. Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured “bare table”, and usable in vibration systems specified in a. Technical note:“bare table” means a flat table, or surface, with no fixture or fittings. | 2B116 |
I.A2.002 | Machine tools, other than those specified in 2B001.c. or 2B201.b., for grinding having positioning accuracies with “all compensations available” equal to or less (better) than 15 μm according to ISO 230/2 (1988)a or national equivalents along any linear axis. | 2B001.c. 2B201.b. |
I.A2.002a | Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201, or I.A2.002 above. | |
I.A2.003 | Balancing machines and related equipment as follows: a. Balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics: 1. Not capable of balancing rotors/assemblies having a mass greater than 3 kg; 2. Capable of balancing rotors/assemblies at speeds greater than 12 500 rpm; 3. Capable of correcting unbalance in two planes or more; and 4. Capable of balancing to a residual specific unbalance of 0,2 g × mm per kg of rotor mass; b. “Indicator heads” designed or modified for use with machines specified in a. above. Technical note:“Indicator heads” are sometimes known as balancing instrumentation. | 2B119 |
I.A2.004 | Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, other than those specified in 2B225, having either of the following characteristics: a. A capability of penetrating a hot cell wall of 0,3 m or more (through the wall operation); or b. A capability of bridging over the top of a hot cell wall with a thickness of 0,3 m or more (over the wall operation). Technical note:Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of master/slave type or operated by joystick or keypad. | 2B225 |
I A2.005 | Controlled atmosphere heat treatment furnaces or oxidation furnaces capable of operation at temperatures above 400 °C Note: This item does not cover tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics. | 2B226 2B227 |
I.A2.006 | Not used | |
I.A2.007 | “Pressure transducers”, other than those defined in 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics: a. Pressure sensing elements made of or protected by “Materials resistant to corrosion by uranium hexafluoride (UF6)”, and b. Having either of the following characteristics: 1. A full scale of less than 200 kPa and an “accuracy” of better than ± 1 % of full scale; or 2. A full scale of 200 kPa or greater and an “accuracy” of better than 2 kPa. Technical note:For the purposes of 2B230, “accuracy” includes non-linearity, hysteresis and repeatability at ambient temperature. | 2B230 |
I.A2.008 | Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Graphite or “carbon graphite”; e. Nickel or alloys with more than 40 % nickel by weight; f. Tantalum or tantalum alloys; g. Titanium or titanium alloys; h. Zirconium or zirconium alloys; or i. Stainless steel. Technical note:“Carbon graphite” is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight. | 2B350.e. |
I.A2.009 | Industrial equipment and components, other than those specified in 2B350.d., as follows: Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Graphite or “carbon graphite”; e. Nickel or alloys with more than 40 % nickel by weight; f. Tantalum or tantalum alloys; g. Titanium or titanium alloys; h. Zirconium or zirconium alloys; i. Silicon carbide; j. Titanium carbide; or k. Stainless steel. Note: This item does not cover vehicle radiators. Technical note:The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger. | 2B350.d. |
I.A2.010 | Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, with manufacturer's specified maximum flow-rate greater than 0,6 m3/hour, or vacuum pumps with manufacturer's specified maximum flow-rate greater than 5 m3/hour [measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions]; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Ceramics; c. Ferrosilicon; d. Fluoropolymers; e. Glass (including vitrified or enamelled coatings or glass lining); f. Graphite or “carbon graphite”; g. Nickel or alloys with more than 40 % nickel by weight; h. Tantalum or tantalum alloys; i. Titanium or titanium alloys; j. Zirconium or zirconium alloys; k. Niobium (columbium) or niobium alloys; l. Stainless Steel; or m. Aluminium Alloys. Technical note:The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump. | 2B350.i. |
I.A2.011 | “Centrifugal separators”, other than those specified in 2B352.c., capable of continuous separation without the propagation of aerosols and manufactured from: a. Alloys with more than 25 % nickel and 20 % chromium by weight; b. Fluoropolymers; c. Glass (including vitrified or enamelled coating or glass lining); d. Nickel or alloys with more than 40 % nickel by weight; e. Tantalum or tantalum alloys; f. Titanium or titanium alloys; or g. Zirconium or zirconium alloys. Technical note:“Centrifugal separators” include decanters. | 2B352.c. |
I.A2.012 | Sintered metal filters, other than those specified in 2B352.d., made of nickel or nickel alloy with more than 40 % nickel by weight. | 2B352.d. |
I.A2.013 | Spin-forming machines and flow-forming machines, other than those specified by 2B009, 2B109 or 2B209 and specially designed components therefor. Technical note:For the purpose of this item, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines. | 2B009 2B109 2B209 |
ELECTRONICS
I.A3.
Goods
SENSORS AND LASERS
I.A6.
Goods
NAVIGATION AND AVIONICS
I.A7.
Goods
AEROSPACE AND PROPULSION
I.A9.
Goods
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
I.A9.001 | Explosive bolts. |
B.SOFTWARE
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
I.B.001 | Software required for the development, production or use of the items in Part A. (Goods). |
C.TECHNOLOGY
No | Description | Related item from Annex I to Regulation (EC) No 428/2009 |
---|---|---|
I.C.001 | Technology required for the development, production or use of the items in Part A. (Goods).’ |
ANNEX II
“ANNEX IVList of persons, entities and bodies referred to in Article 6(1)
Natural persons:
Han Yu-ro. Post: Director of Korea Ryongaksan General Trading Corporation. Other information: involved in North Korea's ballistic missile programme. Date of designation: 16.7.2009.
Hwang Sok-hwa. Post: Director of the General Bureau of Atomic Energy (GBAE). Other information: involved in North Korea's nuclear programme as Chief of the Scientific Guidance Bureau in the GBAE, served on the Science Committee in the Joint Institute for Nuclear Research. Date of designation: 16.7.2009.
Ri Hong-sop. Year of birth: 1940. Post: Former director, Yongbyon Nuclear Research Centre. Other information: oversaw three core facilities that assist in the production of weapons-grade plutonium: the Fuel Fabrication Facility, the Nuclear Reactor, and the Reprocessing Plant. Date of designation: 16.7.2009.
Ri Je-son (alias Ri Che-son). Year of birth: 1938. Post: Director of the General Bureau of Atomic Energy (GBAE), chief agency directing North Korea's nuclear programme. Other information: facilitates several nuclear endeavours including GBAE's management of Yongbyon Nuclear Research Centre and Namchongang Trading Corporation. Date of designation: 16.7.2009.
Yun Ho-jin (alias Yun Ho-chin). Date of birth: 13.10.1944. Post: Director of Namchongang Trading Corporation. Other information: oversees the import of items needed for the uranium enrichment programme. Date of designation: 16.7.2009.
Legal persons, entities and bodies
Korea Mining Development Trading Corporation (aka (a) CHANGGWANG SINYONG CORPORATION; (b) EXTERNAL TECHNOLOGY GENERAL CORPORATION; (c) DPRKN MINING DEVELOPMENT TRADING COOPERATION; (d) “KOMID”). Address: Central District, Pyongyang, DPRK. Other information: Leading arms dealer and main exporter of goods and equipment related to ballistic missiles and conventional weapons. Date of designation: 24.4.2009.
Korea Ryonbong General Corporation (aka (a) KOREA YONBONG GENERAL CORPORATION; (b) LYONGAKSAN GENERAL TRADING CORPORATION). Address: Pot'onggang District, Pyongyang, DPRK; Rakwon-dong, Pothonggang District, Pyongyang, DPRK. Other information: Defence conglomerate specialising in acquisition for DPRK defence industries and support to that country's military-related sales. Date of designation: 24.4.2009.
Tanchon Commercial Bank (aka (a) CHANGGWANG CREDIT BANK; (b) KOREA CHANGGWANG CREDIT BANK). Address: Saemul 1-Dong Pyongchon District, Pyongyang, DPRK. Other information: Main DPRK financial entity for sales of conventional arms, ballistic missiles, and goods related to the assembly and manufacture of such weapons. Date of designation: 24.4.2009.
General Bureau of Atomic Energy (GBAE) (aka General Department of Atomic Energy (GDAE)). Address: Haeudong, Pyongchen District, Pyongyang, DPRK. Other information: The GBAE is responsible for North Korea's nuclear programme, which includes the Yongbyon Nuclear Research Centre and its 5-MWe (25-MWt) plutonium production research reactor, as well as its fuel fabrication and reprocessing facilities. The GBAE has held nuclear-related meetings and discussions with the International Atomic Energy Agency. GBAE is the primary North Korean Government agency for overseeing nuclear programmes, including the operation of the Yongbyon Nuclear Research Centre. Date of designation: 16.7.2009.
Hong Kong Electronics (aka Hong Kong Electronics Kish Co.). Address: Sanaee St., Kish Island, Iran. Other information: (a) owned or controlled by, or acts or purports to act for or on behalf of Tanchon Commercial Bank and KOMID; (b) Hong Kong Electronics has transferred millions of dollars of proliferation-related funds on behalf of Tanchon Commercial Bank and KOMID (both designated by the UN Sanctions Committee in April 2009) since 2007. Hong Kong Electronics has facilitated the movement of money from Iran to North Korea on behalf of KOMID. Date of designation: 16.7.2009.
Korea Hyoksin Trading Corporation (aka Korea Hyoksin Export And Import Corporation). Address: Rakwon-dong, Pothonggang District, Pyongyang, DPRK. Other information: (a) located in Pyongyang, DPRK; (b) subordinate to Korea Ryonbong General Corporation (designated by the UN Sanctions Committee in April 2009) and is involved in the development of weapons of mass destruction. Date of designation: 16.7.2009.
Korean Tangun Trading Corporation. Other information: (a) located in Pyongyang, DPRK; (b) Korea Tangun Trading Corporation is subordinate to the DPRK's Second Academy of Natural Sciences and is primarily responsible for the procurement of commodities and technologies to support North Korea's defence research and development programmes, including, but not limited to, weapons of mass destruction and delivery system programmes and procurement, including materials that are controlled or prohibited under relevant multilateral control regimes. Date of designation: 16.7.2009.
Namchongang Trading Corporation (aka (a) NCG, (b) Namchongang Trading, (c) Nam Chon Gang Corporation, (d) Nomchongang Trading Co., (e) Nam Chong Gan Trading Corporation). Other information: (a) located in Pyongyang, DPRK; (b) Namchongang is a North Korean trading company subordinate to the GBAE. Namchongang has been involved in the procurement of Japanese-origin vacuum pumps that were identified at a North Korean nuclear facility, as well as nuclear-related procurement associated with a German individual. It has further been involved in the purchase of aluminium tubes and other equipment specifically suitable for a uranium enrichment programme from the late 1990s. Its representative is a former diplomat who served as North Korea's representative for the IAEA inspection of the Yongbyon nuclear facilities in 2007. Namchongang's proliferation activities are of grave concern given North Korea's past proliferation activities. Date of designation: 16.7.2009”
ANNEX III
‘ANNEX V LIST OF PERSONS, ENTITIES AND BODIES REFERRED TO IN ARTICLE 6(2)
A.
Persons
# | Name (and possible aliases) | Identifying information | Reasons |
---|---|---|---|
1. | CHANG Song-taek (alias JANG Song-Taek) | Date of birth: 2.2.1946 or 06.02.1946 or 23.02.1946 (North Hamgyong province) Passport number (as of 2006): PS 736420617 | Member of the National Defence Commission. Director of the Administrative Department of the Korean Workers’ Party. |
2. | CHON Chi Bu | Member of the General Bureau of Atomic Energy, former technical director of Yongbyon. | |
3. | CHU Kyu-Chang (alias JU Kyu-Chang) | Date of birth: between 1928 and 1933 | First Deputy Director of the Defence Industry Department (ballistics programme), Korean Workers’ Party, Member of the National Defence Commission. |
4. | HYON Chol-hae | Year of birth: 1934 (Manchuria, China) | Deputy Director of the General Political Department of the People's Armed Forces (military adviser to Kim Jong Il). |
5. | JON Pyong-ho | Year of birth: 1926 | Secretary of the Central Committee of the Korean Workers’ Party, Head of the Central Committee's Military Supplies Industry Department controlling the Second Economic Committee of the Central Committee, member of the National Defence Commission. |
6. | KIM Tong-un | Year of birth: 1936 Passport number: 554410660 | Director of “Office 39” of the Central Committee of the Workers’ Party, which is involved in proliferation financing. |
7. | KIM-Yong-chun (alias Young-chun) | Date of birth: 04.03.1935 | Deputy Chairman of the National Defence Commission, Minister for the People's Armed Forces, special adviser to Kim Jong Il on nuclear strategy. |
8. | O Kuk-Ryol | Year of birth: 1931 (Jilin Province, China) | Deputy Chairman of the National Defence Commission, supervising the acquisition abroad of advanced technology for nuclear and ballistics programmes. |
9. | PAEK Se-bong | Year of birth: 1946 | Chairman of the Second Economic Committee (responsible for the ballistics programme) of the Central Committee of the Korean Workers’ Party. Member of the National Defence Commission. |
10. | PAK Jae-gyong (alias Chae-Kyong) | Year of birth: 1933 Passport number: 554410661 | Deputy Director of the General Political Department of the People's Armed Forces and Deputy Director of the Logistics Bureau of the People's Armed Forces (military adviser to Kim Jong II). |
11. | PYON Yong Rip (alias Yong-Nip) | Date of birth: 20.09.1929 Passport number: 645310121 (issued on 13.09.2005) | President of the Academy of Science, involved in WMD-related biological research. |
12. | RYOM Yong | Director of the General Bureau of Atomic Energy (entity designated by the United Nations), in charge of international relations. | |
13. | SO Sang-kuk | Year of birth: between 1932 and 1938 | Head of the Department of Nuclear Physics, Kim Il Sung University. |
B.
Entities and bodies
# | Name (and possible aliases) | Identifying information | Reasons |
---|---|---|---|
1. | Yongbyon Nuclear Research Centre | Research centre which has taken part in the production of military-grade plutonium. Centre maintained by the General Bureau of Atomic Energy (entity designated by the United Nations, 16.07.2009). | |
2. | Korea Pugang Mining and Machinery Corporation ltd | Subsidiary of Korea Ryongbong General Corporation (entity designated by the United Nations, 24.04.2009); operates facilities for the production of aluminium powder, which can be used in missiles. | |
3. | Korean Ryengwang Trading Corporation | Subsidiary of Korea Ryongbong General Corporation (entity designated by the United Nations, 24.04.2009). | |
4. | Sobaeku United Corp. (alias Sobaeksu United Corp.) | State-owned company, involved in research into, and the acquisition of, sensitive products and equipment. It possesses several deposits of natural graphite, which provide raw material for two processing facilities which, inter alia, produce graphite blocks that can be used in missiles.’ |
ANNEX IV
“ANNEX VI LIST OF CREDIT AND FINANCIAL INSTITUTIONS, BRANCHES AND SUBSIDIARIES REFERRED TO IN ARTICLE 11A”
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .