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1. A prior authorisation shall be required:
(a) for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex I, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;
(b) for the provision of technical assistance or brokering services related to goods and technology listed in Annex I or related to the provision, manufacture, maintenance and use of goods and technology included in Annex I, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;
(c) for the provision of financing or financial assistance related to goods and technology listed Annex I, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;
(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving the following:
uranium mining,
production or use of nuclear materials as listed in Part 1 of the Nuclear Suppliers Group list.
This shall include the making of loans or credit to such a person, entity or body;
(e) for the purchase, import or transport from Iran of goods and technology listed in Annex I, whether or not originating in Iran.
2. Annex I shall list the items, including goods, technology and software, contained in the Nuclear Suppliers Group list.
3. The Member State concerned shall submit the proposed authorisation under points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis and shall not grant the authorisation until that approval has been received.
4. The Member State concerned shall also submit the proposed authorisations of activities referred to in points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis if the activities are related to any further goods and technology that, based on the determination by that Member State, could contribute to reprocessing- or enrichment-related or heavy water-related activities inconsistent with the JCPOA. The Member State shall not grant the authorisation until that approval has been received.
[F35. The Member State concerned shall notify the Joint Commission of authorisations granted under point (e) of paragraph 1 and authorisations concerning the purchase, import or transport from Iran of the further goods and technology referred to in paragraph 4, whether or not originating in Iran.]
6. The Member State concerned shall notify the other Member States, the Commission and the High Representative of authorisations granted under paragraphs (1) and (5), or any refusal by the UN Security Council to approve an authorisation in accordance with paragraphs (3) or (4).
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1. Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of equipment referred to in paragraph 2(c), subparagraph 1 of Annex B to UNSCR 2231 (2015) for light water reactors.
2. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.
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1. The competent authorities granting an authorisation in accordance with Article 2a(1)(a) and Article 2b shall ensure the following:
(a) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;
(b) the rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively;
(c) the notification of the UN Security Council within ten days of the supply, sale or transfer; and
(d) in the case of supplied goods and technology referred to in Annex I, the notification of the IAEA within ten days of the supply, sale or transfer.
2. For all exports for which an authorisation is required under Article 2a(1)(a), such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. The authorisation shall be valid throughout the Union.
3. Exporters shall supply the competent authorities with all relevant information, as set out in Article 14(1) of Regulation (EC) No 428/2009 and as specified by each competent authority, required for their application for an export authorisation.
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1. Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:
(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;
(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or
(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.
2. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure the following:
(a) all activities are undertaken strictly in accordance with the JCPOA;
(b) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;
(c) rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.
3. The Member State concerned shall notify:
(a) the UN Security Council and the Joint Commission ten days in advance of such activities;
(b) the IAEA within ten days of the supply, sale or transfer, in case of supplied items, materials, equipment, goods and technology included in the Nuclear Suppliers Group list.
4. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.]
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1. A prior authorisation shall be required, on a case-by-case basis:
(a) for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex II, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;
(b) for the provision of technical assistance or brokering services related to goods and technology listed in Annex II or related to the provision, manufacture, maintenance and use of goods included in Annex II, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;
(c) for the provision of financing or financial assistance related to goods and technology listed Annex II, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;
(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex II.;
(e) for the purchase, import or transport from Iran of goods and technology listed in Annex II, whether or not originating in Iran.
2. Annex II shall list the goods and technology, other than those included in Annexes I and III, that could contribute to reprocessing- or enrichment-related or heavy water-related or other activities inconsistent with the JCPOA.
3. Exporters shall supply the competent authorities with all relevant information required for their application for an authorisation.
4. The competent authorities shall not grant any authorisation for the transactions referred to in paragraph 1(a) to (e), if they have reasonable grounds to determine that the actions concerned would contribute to reprocessing- or enrichment-related, heavy water-related or other nuclear related activities inconsistent with the JCPOA.
5. The competent authorities shall exchange information on requests for authorisation received under this Article. The system referred to in Article 19(4) of Regulation (EC) No 428/2009 shall be used for this purpose.
[F36. The competent authority granting an authorisation in accordance with paragraph 1(a) shall ensure that, except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.]
[F46a. If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.]
7. The Member State concerned shall notify the other Member States, the Commission and the High Representative of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.
Textual Amendments
F2 Inserted by Council Regulation (EU) 2015/1861 of 18 October 2015 amending Regulation (EU) No 267/2012 concerning restrictive measures against Iran.
1. For all exports for which an authorisation is required under Article 3a, 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.
2. Under the conditions set out in Article 3a(4) and (5), the competent authorities may annul, suspend, modify or revoke an export authorisation which they have granted.
3. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with Article 3a(4), the Member State concerned shall notify the other Member States, the Commission and the High Representative 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 (1) .
4. Before a competent authority of a Member State grants an authorisation in accordance with Article 3a 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 Article 3a(4), it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.
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1. Article 3a does not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of goods and technology listed in Annex II for light water reactors.
[F32. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure that, except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.]
[F42a. If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.]
3. The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.
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F2 Inserted by Council Regulation (EU) 2015/1861 of 18 October 2015 amending Regulation (EU) No 267/2012 concerning restrictive measures against Iran.
1. Article 3a does not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:
(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;
(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or
(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.
[F32. The competent authority granting an authorisation in accordance with paragraph 1 shall ensure that:
(a) all activities are undertaken strictly in accordance with the JCPOA; and
(b) except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.]
[F42a. If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.]
3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.]
Textual Amendments
F2 Inserted by Council Regulation (EU) 2015/1861 of 18 October 2015 amending Regulation (EU) No 267/2012 concerning restrictive measures against Iran.
1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annex III or any other item that the Member State determines could contribute to the development of nuclear weapon delivery systems, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran.
2. Annex III shall list the items, including goods and technology, contained in the Missile Technology Control Regime list.
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It shall be prohibited:
to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annex III, or related to the provision, manufacture, maintenance and use of goods listed in Annex III, to any Iranian person, entity or body or for use in Iran;
to provide financing or financial assistance related to the goods and technology listed in Annex 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;
to enter into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex III.
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It shall be prohibited to purchase, import or transport from Iran, directly or indirectly, the goods and technology listed in Annex III whether the item concerned originates in Iran or not.]
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It shall be prohibited:
to provide technical assistance, brokering services and other services related to the goods and technology listed in the Common Military List of the European Union ( ‘ Common Military List ’ ), and to the provision, manufacture, maintenance and use of goods and technology on that list, directly or indirectly to any Iranian person, entity or body or for use in Iran;
to provide financing or financial assistance related to the goods and technology listed in the Common Military List, 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 or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran.
to enter into any arrangement for the participation or increase in participation in any Iranian person, entity or body engaged in the manufacture of goods or technology listed in the Common Military List, be that independently or as part of a joint venture or other partnership. This shall include the making of loans or credit to such a person, entity or body.]
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1. A prior authorisation shall be required for:
(a) the sale, supply, transfer or export of the software listed in Annex VIIA, to any Iranian person, entity or body or for use in Iran.
(b) the provision of technical assistance or brokering services related to the software listed in Annex VIIA or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;
(c) the provision of financing or financial assistance related to the software listed in Annex VIIA, 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 or brokering services to any Iranian person, entity or body, or for use in Iran.
2. The competent authorities shall not grant any authorisation under this Article if:
(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the software is or may be intended for use in connection with the following:
reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA;
Iran's military or ballistic missile programme; or
the direct or indirect benefit of the Iranian Revolutionary Guard Corps;
(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.
3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.
4. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.
5. Before a competent authority of a Member State grants an authorisation in accordance with this Article 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, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.]
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1. A prior authorisation shall be required for:
(a) the sale, supply, transfer or export of graphite and raw or semi-finished metals as listed in Annex VIIB, to any Iranian person, entity or body or for use in Iran;
(b) the provision of technical assistance or brokering services related to graphite and raw or semi-finished metals listed in Annex VIIB or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;
(c) the provision of financing or financial assistance related to graphite and raw or semi-finished metals listed in Annex VIIB, 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 or brokering services to any Iranian person, entity or body, or for use in Iran.
2. The competent authorities shall not grant any authorisation under this Article if:
(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the graphite and raw or semi-finished metals is or may be intended for use in connection with the following:
reprocessing- or enrichment-related, heavy water-related, or other nuclear related activities inconsistent with the JCPOA;
Iran's military or ballistic missile programme; or
the direct or indirect benefit of the Iranian Revolutionary Guard Corps;
(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.
3. The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.
4. Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.
5. Before a competent authority of a Member State grants an authorisation in accordance with this Article 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, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.
6. The provisions in paragraphs 1 to 3 shall not apply in relation to the goods listed in Annexes I, II and III or in relation to Annex I to Regulation (EC) No 428/2009.]
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[F2Council 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 ( OJ L 82, 22.3.1997, p. 1 ).]