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Council Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran

Council Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Articles 60 and 301 thereof,

Having regard to Council Common Position 2007/140/CFSP of 27 February 2007 concerning restrictive measures against Iran(1),

Having regard to the proposal from the Commission,

Whereas:

  1. On 23 December 2006, the United Nations Security Council adopted Resolution 1737 (2006) (UNSCR 1737 (2006)) deciding that Iran should without further delay suspend all enrichment-related and reprocessing activities, as well as work on all heavy water-related projects, and take certain steps required by the International Atomic Energy Agency (IAEA) Board of Governors, which the United Nations Security Council deems essential to build confidence in the exclusively peaceful purpose of Iran's nuclear programme. In order to persuade Iran to comply with this mandatory decision, the United Nations Security Council decided that all Member States of the United Nations should apply a number of restrictive measures.

  2. In line with UNSCR 1737 (2006), Common Position 2007/140/CFSP provides for certain restrictive measures against Iran. These measures include restrictions on exports and imports of goods and technology which could contribute to Iran's enrichment-related, reprocessing, or heavy water-related activities, or to the development of nuclear weapon delivery systems, a ban on the provision of related services, a ban on investment related to such goods and technology, a ban on procurement of relevant goods and technology from Iran, as well as the freezing of funds and economic resources of persons, entities and bodies engaged in, directly associated with or providing support for such activities or development.

  3. These measures fall within the scope of the Treaty establishing the European Community and, therefore, notably with a view to ensuring their uniform application by economic operators in all Member States, Community legislation is necessary in order to implement them as far as the Community is concerned.

  4. This Regulation derogates from existing Community legislation that provides for general rules on exports to, and imports from, third countries, and in particular from Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community regime for the control of exports of dual-use items and technology(2), in so far as this Regulation covers the same goods and technology.

  5. For reasons of expediency, the Commission should be empowered to publish the list of banned goods and technology and any amendments to it that will be adopted by the Sanctions Committee or the United Nations Security Council, and to amend the lists of persons, entities and bodies whose funds and economic resources should be frozen on the basis of decisions reached by the United Nations Security Council or by the Sanctions Committee.

  6. As regards the procedure for establishing and amending the list referred to in Article 7(2) of this Regulation, the Council should exercise the corresponding implementing powers itself in view of the objectives of UNSCR 1737 (2006), notably to constrain Iran's development of sensitive technologies in support of its nuclear and missile programmes, and the proliferation-sensitive nature of the activities undertaken by the persons and entities supporting these programmes.

  7. Member States should determine the penalties applicable to infringements of the provisions of this Regulation. The penalties provided for should be proportionate, effective and dissuasive.

  8. In order to ensure that the measures provided for in this Regulation are effective, the latter should enter into force on the day of its publication,

HAS ADOPTED THIS REGULATION:

Article 1

For the purposes of this Regulation only, the following definitions shall apply:

  1. ‘Sanctions Committee’ means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of UNSCR 1737 (2006);

  2. ‘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;

  3. the term ‘goods’ includes items, materials and equipment;

  4. the term ‘technology’ includes software;

  5. ‘investment’ means acquisition or extension of a participation in enterprises, including the acquisition in full of such enterprises and the acquisition of shares and securities of a participating nature;

  6. ‘brokering services’ means activities of persons, entities and partnerships acting as intermediaries by buying, selling or arranging the transfer of goods and technology, or negotiating or arranging transactions that involve the transfer of goods or technology;

  7. ‘funds’ means financial assets and benefits of every kind, including but not limited to:

    1. cash, cheques, claims on money, drafts, money orders and other payment instruments;

    2. deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

    3. publicly- and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

    4. interest, dividends or other income on or value accruing from or generated by assets;

    5. credit, right of set-off, guarantees, performance bonds or other financial commitments;

    6. letters of credit, bills of lading, bills of sale; and

    7. documents showing evidence of an interest in funds or financial resources;

  8. ‘freezing of funds’ means preventing any moving, 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;

  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;

  10. ‘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;

  11. ‘territory of the Community’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace.

Article 2

1.

It shall be prohibited:

  1. to sell, supply, transfer or export, directly or indirectly, the following goods and technology, whether or not originating in the Community, to any natural or legal person, entity or body in, or for use in, Iran:

    1. all goods and technology contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists. These goods and technology are listed in Annex I;

    2. other goods and technology determined by the Sanctions Committee or the United Nations Security Council as goods and technology which could contribute to Iran's enrichment-related, reprocessing, or heavy water-related activities, or to the development of nuclear weapon delivery systems. These goods and technology are also listed in Annex I;

  2. to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibition referred to in point (a).

2.

Annex I shall not include goods and technology included in the Common Military List of the European Union(3).

Article 3

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 II, whether or not originating in the Community, to any natural or legal person, entity or body in, or for use in, Iran.

2.

Annex II shall include any goods and technology other than those included in Annex I, 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 identified as outstanding.

3.

Exporters shall supply the competent authorities with all relevant information required for their application for an export authorisation.

4.

The competent authorities of the Member States, as indicated in the websites listed in Annex III, shall not grant any authorisation for any sale, supply, transfer or export of the goods or technology included in Annex II, if they determine that the sale, supply, transfer or export thereof would contribute to one of the following activities:

  1. Iran's enrichment-related, reprocessing or heavy water-related activities;

  2. the development of nuclear weapon delivery systems by Iran; or

  3. the pursuit by Iran of activities related to other topics about which the IAEA has expressed concerns or identified as outstanding.

5.

Under the conditions set out in paragraph 4, the competent authorities of the Member States, as indicated in the websites listed in Annex III, may annul, suspend, modify or revoke an export authorisation which they have already granted.

6.

Where they refuse to grant an authorisation, or annul, suspend, substantially limit or revoke an authorisation in accordance with paragraph 4, the Member States 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(4).

7.

Before a Member State grants an export authorisation which has been denied by another Member State or States, in accordance with paragraph 4, for an essentially identical transaction and for which the denial is still valid, it will first consult the Member State or States which issued the denial as provided for in paragraphs 5 and 6. 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.

Article 4

It shall be prohibited to purchase, import or transport the goods and technology listed in Annex I, from Iran, whether the item concerned originates in Iran or not.

Article 5

Article 6

Article 7

Article 8

Article 9

Article 10

Article 11

Article 12

Article 13

Article 14

Article 15

Article 16

Article 17

Article 18

Article 19

ANNEX IGoods and technology referred to in Articles 2, 4 and 5(1)

ANNEX II

ANNEX III

ANNEX IV

ANNEX V