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Document 02014D0512-20220604
Council Decision 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine
Consolidated text: Council Decision 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine
Council Decision 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine
02014D0512 — EN — 04.06.2022 — 022.001
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COUNCIL DECISION 2014/512/CFSP of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine (OJ L 229 31.7.2014, p. 13) |
Amended by:
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Official Journal |
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date |
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L 271 |
54 |
12.9.2014 |
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L 349 |
58 |
5.12.2014 |
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L 157 |
50 |
23.6.2015 |
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L 257 |
42 |
2.10.2015 |
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L 334 |
22 |
22.12.2015 |
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L 178 |
21 |
2.7.2016 |
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L 345 |
65 |
20.12.2016 |
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L 166 |
35 |
29.6.2017 |
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L 316 |
20 |
1.12.2017 |
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L 343 |
77 |
22.12.2017 |
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L 172 |
3 |
9.7.2018 |
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L 331 |
224 |
28.12.2018 |
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L 175 |
38 |
28.6.2019 |
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L 330 |
71 |
20.12.2019 |
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L 207 |
37 |
30.6.2020 |
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L 430 |
26 |
18.12.2020 |
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L 247 |
99 |
13.7.2021 |
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L 9 |
43 |
14.1.2022 |
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L 42I |
95 |
23.2.2022 |
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L 48 |
1 |
25.2.2022 |
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L 57 |
4 |
28.2.2022 |
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L 63 |
5 |
2.3.2022 |
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L 65 |
5 |
2.3.2022 |
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L 81 |
8 |
9.3.2022 |
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L 87I |
56 |
15.3.2022 |
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L 111 |
70 |
8.4.2022 |
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L 153 |
128 |
3.6.2022 |
COUNCIL DECISION 2014/512/CFSP
of 31 July 2014
concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine
Article 1
It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or any other dealing with bonds, equity, or similar financial instruments with a maturity exceeding 90 days, issued after 1 August 2014 to 12 September 2014, or with a maturity exceeding 30 days, issued after 12 September 2014 to 12 April 2022 or any transferable securities and money market instruments issued after 12 April 2022 by:
major credit institutions or finance development institutions established in Russia with over 50 % public ownership or control as of 1 August 2014, as listed in Annex I;
any legal person, entity or body established outside the Union owned for more than 50 % by an entity listed in Annex I; or
any legal person, entity or body acting on behalf, or at the direction, of an entity within the category referred to in point (b) of this paragraph or listed in Annex I.
It shall be prohibited to directly or indirectly, purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments issued after 12 April 2022 by:
any major credit institution, or other institution with over 50 % public ownership or control as of 26 February 2022 or any other credit institution having a significant role in supporting the activities of Russia and its Government and of the Russian Central Bank and established in Russia, as listed in Annex V;
a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex V; or
a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.
It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 30 days, issued after 12 September 2014 to 12 April 2022 or any transferable securities and money market instruments issued after 12 April 2022 by:
a legal person, entity or body established in Russia, as listed in Annex II, predominantly engaged and with major activities in the conception, production, sales or export of military equipment or services, except legal persons, entities or bodies active in the space and nuclear energy sectors;
a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership which have estimated total assets of over RUB 1 trillion and whose estimated revenues originate for at least 50 % from the sale or transportation of crude oil or petroleum products, as listed in Annex III;
a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in point (a) or (b) of this paragraph; or
a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a), (b) or (c) of this paragraph.
It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance of, or otherwise deal with transferable securities and money-market instruments, issued after 12 April 2022 by:
a legal person, entity or body established in Russia, which is publicly controlled or with over 50 % public ownership and in which Russia, its Government or Central Bank has the right to participate in profits or with which Russia, its Government or Central Bank has other substantial economic relationships, as listed in Annex VI;
a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex VI; or
a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.
It shall be prohibited to directly or indirectly make or be part of any arrangement to make:
new loans or credit with a maturity exceeding 30 days to any legal person, entity or body referred to in paragraph 1 or 3, after 12 September 2014 to 26 February 2022; or
any new loans or credit to any legal person, entity or body referred to in paragraph 1, 2, 3 or 4 after 26 February 2022.
The prohibition shall not apply to:
loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of goods and non-financial services between the Union and any third State, including the expenditure for goods and services from another third State that is necessary for executing the export or import contracts; or
loans that have a specific and documented objective to provide emergency funding to meet solvency and liquidity criteria for legal persons established in the Union, whose proprietary rights are owned for more than 50 % by any entity referred to in Annex I.
The prohibition in paragraph 6 shall not apply to drawdown or disbursements made under a contract concluded before 26 February 2022, provided that the following conditions are met:
all the terms and conditions of such drawdown or disbursements:
were agreed before 26 February 2022; and
have not been modified on or after that date; and
before 26 February 2022, a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract; and
at the time of its conclusion the contract was not in breach of the prohibitions laid down in this Decision.
The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.
Article 1a
The direct or indirect purchase or sale of, the direct or indirect provision of investment services for or assistance in the issuance of, or any other dealing with transferable securities and money-market instruments issued after 9 March 2022 by:
Russia and its Government;
the Russian Central Bank; or,
a legal person, entity or body acting on behalf of, or at the direction of, the entity referred to in point (b),
shall be prohibited.
The prohibition in paragraph 2 shall not apply to drawdown or disbursements made under a contract concluded before 23 February 2022 provided that the following conditions are met:
all the terms and conditions of such drawdown or disbursements:
were agreed before 23 February 2022; and
have not been modified on or after that date; and
before 23 February 2022 a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation of all the commitments, rights and obligations under the contract.
The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method, and the maximum amount.
Article 1aa
It shall be prohibited to directly or indirectly engage in any transaction with:
a legal person, entity or body established in Russia, which is publically controlled or with over 50 % public ownership or in which Russia, its Government or the Russian Central Bank has the right to participate in profits or with which Russia, its Government or the Russian Central Bank has other substantial economic relationship, as listed in Annex X;
a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by an entity listed in Annex X; or
a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph.
The prohibition in paragraph 1 shall not apply to:
unless prohibited under Article 4o or 4p, transactions which are strictly necessary for the direct or indirect purchase, import or transport of natural gas and oil, including refined petroleum products, as well as titanium, aluminium, copper, nickel, palladium and iron ore from or through Russia into the Union, a country member of the European Economic Area, Switzerland, or the Western Balkans;
transactions related to energy projects outside Russia in which a legal person, entity or body listed in Annex X is a minority shareholder;
transactions for the purchase, import or transport into the Union of coal and other solid fossil fuels until 10 August 2022;
transactions, including sales, which are strictly necessary for the wind-down, by 5 September 2022, of a joint venture or similar legal arrangement concluded before 16 March 2022, involving a legal person, entity or body referred to in paragraph 1;
transactions related to the provision of electronic communication services, data center services and the provision of services and equipment necessary for their operation, maintenance, security, including the provision of firewalls, and call center services, to a legal person, entity or body listed in Annex X.
Article 1b
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the acceptance of such a deposit or the provision of wallet, account or custody services, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit or the provision of wallet, account or custody service is:
necessary to satisfy the basic needs of natural or legal persons, entities or bodies referred to in paragraph 1 and their dependent family members, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;
intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services;
intended exclusively for the payment of fees or service charges for the routine holding or maintenance of frozen funds or economic resources;
necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation; or
necessary for official purposes of a diplomatic mission or consular post or international organisation.
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under points (a), (b), (c) or (e) of this paragraph within two weeks of the authorisation.
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the acceptance of such a deposit or provision of wallet, account or custody service, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit or provision of wallet, account or custody service is:
necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or
necessary for civil society activities that directly promote democracy, human rights or the rule of law in Russia.
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this paragraph within two weeks of the authorisation.
Article 1c
Article 1d
Article 1e
Article 1f
The prohibition in paragraph 1 shall not apply to the sale, supply, transfer or export of banknotes denominated in any official currency of a Member State provided that such sale, supply, transfer or export is necessary for:
the personal use of natural persons travelling to Russia or members of their immediate families travelling with them; or
the official purposes of diplomatic missions, consular posts or international organisations in Russia enjoying immunities in accordance with international law.
Article 1g
Article 1h
It shall be prohibited to award or continue the execution of any public or concession contract falling within the scope of Directives 2014/23/EU ( 2 ), 2014/24/EU ( 3 ), 2014/25/EU ( 4 ), 2009/81/EC ( 5 ) of the European Parliament and of the Council, as well as Article 10, paragraphs 1, 3, 6(a) to 6(e), 8, 9 and 10, Articles 11, 12, 13 and 14 of Directive 2014/23/EU, Article 7 and 8, Article 10 (b) to (f) and (h) to ( j) of Directive 2014/24/EU, Article 18, Article 21 (b) to (e) and (g) to (i), Articles 29 and 30 of Directive 2014/25/EU, and Article 13 (a) to (d), (f) to (h) and (j) of Directive 2009/81/EC, to or with:
a Russian national, or a natural or legal person, entity or body established in Russia;
a legal person, entity or body whose proprietary rights are directly or indirectly owned for more than 50 % by an entity referred to in point (a) of this paragraph; or
a natural or legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a) or (b) of this paragraph,
including, where they account for more than 10 % of the contract value, subcontractors, suppliers or entities whose capacities are being relied on within the meaning of Directives 2014/23/EU, 2014/24/EU, 2014/25/EU, 2009/81/EC.
By way of derogation from paragraph 1, the competent authorities may authorise the award and continued execution of contracts intended for:
the operation, maintenance, decommissioning and radioactive waste management, fuel supply and retreatment and safety of civil nuclear capabilities, and the continuation of design, construction and commissioning required for the completion of civil nuclear facilities, as well as the supply of precursor material for the production of medical radioisotopes and similar medical applications, critical technology for environmental radiation monitoring, as well as civil nuclear cooperation, in particular in the field of research and development;
intergovernmental cooperation in space programmes;
the provision of strictly necessary goods or services which can only be provided, or which can only be provided in sufficient quantities, by the persons referred to in paragraph 1;
the functioning of diplomatic and consular representations of the Union and of the Member States in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law;
unless prohibited under Article 4o or 4p, the purchase, import or transport of natural gas and oil, including refined petroleum products, as well as titanium, aluminium, copper, nickel, palladium and iron ore from or through Russia into the Union; or
the purchase, import or transport into the Union of coal and other solid fossil fuels until 10 August 2022.
Article 1i
The prohibition in paragraph 1 shall not apply to:
humanitarian purposes, public health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;
phytosanitary and veterinary programmes;
intergovernmental cooperation in space programmes and under the International Thermonuclear Experimental Reactor Agreement;
the operation, maintenance, decommissioning and radioactive waste management, fuel supply and retreatment and safety of civil nuclear capabilities, as well as supply of precursor material for the production of medical radioisotopes and similar medical applications, critical technology for environmental radiation monitoring, as well as civil nuclear cooperation, in particular in the field of research and development;
mobility exchanges for individuals and people-to-people contacts;
climate and environmental programmes, with the exception of support in the context of research and innovation;
the functioning of diplomatic and consular representations of the Union and of the Member States in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law.
Article 1j
It shall be prohibited to register, provide a registered office, business or administrative address as well as management services to, a trust or any similar legal arrangement having as a trustor or a beneficiary:
Russian nationals or natural persons residing in Russia;
legal persons, entities or bodies established in Russia;
legal persons, entities or bodies whose proprietary rights are directly or indirectly owned for more than 50 % by a natural or legal person, entity or body referred to in points (a) or (b);
legal persons, entities or bodies controlled by a natural or legal person, entity or body referred to in points (a), (b) or (c);
a natural or legal person, entity or body acting on behalf or at the direction of a natural or legal person, entity or body referred to in points (a), (b), (c) or (d).
By way of derogation from paragraph 2, the competent authorities may authorise, under such conditions as they deem appropriate, the services referred to in paragraph 2 to continue beyond 5 July 2022, for:
the completion by 5 September 2022 of operations strictly necessary for the termination of contracts referred to in paragraph 3, provided that such operations were initiated before 11 May 2022; or
other reasons, provided that the service providers do not accept from, or make available to, the persons referred to in paragraph 1 any funds or economic resources, directly or indirectly, or otherwise provide such persons with any benefit from assets placed in a trust.
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the services referred to in those paragraphs, under such conditions as they deem appropriate, after having determined that this is necessary for:
humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations;
civil society activities that directly promote democracy, human rights or the rule of law in Russia; or
the operation of trusts whose purpose is the administration of occupational pension schemes, insurance policies or employee share scheme, charities, amateur sports clubs, and funds for minors or vulnerable adults.
Article 1k
It shall be prohibited to provide, directly or indirectly, accounting, auditing, including statutory audit, bookkeeping or tax consulting services, or business and management consulting or public relations services to:
the Government of Russia; or
legal persons, entities or bodies established in Russia.
By way of derogation from paragraph 1, the competent authorities may authorise the services referred to therein, under such conditions as they deem appropriate, after having determined that this is necessary for:
humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations; or
civil society activities that directly promote democracy, human rights or the rule of law in Russia.
Article 2
It shall be prohibited:
to provide technical assistance, brokering services or other services related to military activities and to the provision, manufacture, maintenance and use of arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and spare parts therefor, directly or indirectly to any natural or legal person, entity or body in, or for use in Russia;
to provide financing or financial assistance related to military activities, including in particular grants, loans and export credit insurance or guarantee, as well as insurance and reinsurance for any sale, supply, transfer or export of arms and related materiel, or for the provision of related technical assistance, brokering services or other services directly or indirectly to any person, entity or body in, or for use in Russia.
The prohibitions in paragraphs 1 and 3 shall not apply to:
the sale, supply, transfer or export and to the import, purchase or transport of hydrazine (CAS 302-01-2) in concentrations of 70 per cent or more;
the import, purchase or transport of unsymmetrical dimethyl hydrazine (CAS 57-14-7);
the sale, supply, transfer or export and to the import, purchase or transport of monomethyl hydrazine (CAS 60-34-4);
for use of launchers operated by European launch service providers, or for the use of launches of European space programmes, or for the fuelling of satellites by European satellites manufacturers.
The amount of any export of hydrazine shall be calculated in accordance with the launch or launches or the satellites for which it is made and shall not exceed a total quantity of 800 kg for each individual launch or satellite. The amount of any export of monomethyl hydrazine shall be calculated in accordance with the launch or launches or the satellites for which it is made.
The prohibitions in paragraphs 1 and 3 shall not apply to the sale, supply, transfer or export and to the import, purchase or transport of hydrazine (CAS 302-01-2) in concentrations of 70 % or more for the tests and flight of ExoMars descent module and for the flight of ExoMars carrier module in the framework of the ExoMars 2020 mission, under the following conditions:
the amount of hydrazine destined for the tests and flight of the ExoMars descent module in the framework of the ExoMars 2020 mission, calculated in accordance with the needs of each phase of that mission, is not to exceed a total of 5 000 kg for the entire duration of the mission;
the amount of hydrazine destined for the flight of the ExoMars carrier module in the framework of the ExoMars 2020 mission is not to exceed a total of 300 kg.
Article 3
It shall be prohibited:
to provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;
to provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.
Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of dual-use goods and technology or to the related provision of technical and financial assistance, for non-military use and for a non-military end user, intended for:
humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;
medical or pharmaceutical purposes;
temporary export of items for use by news media;
software updates;
use as consumer communication devices;
ensuring cyber-security and information security for individuals and entities in Russia except for its government and undertakings directly or indirectly controlled by that government; or
personal use by natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.
With the exception of points (f) and (g)of this paragraph, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.
By way of derogation from paragraphs 1 and 2 of this Article, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the sale, supply, transfer or export of dual-use goods and technology or the provision of related technical or financial assistance, for non-military use and for a non-military end user, after having determined that such goods or technology or the related technical or financial assistance are:
intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;
intended for intergovernmental cooperation in space programmes;
intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;
intended for maritime safety;
intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;
intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country;
intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.
When deciding on requests for authorisations in accordance with paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:
the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use, unless the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is allowed under paragraph 1(a) of Article 3b;
the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry, unless such sale, supply, transfer or export or the provision of related technical or financial assistance is allowed under paragraph 4(b); or
the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for the energy sector, unless such a sale, supply, transfer or export or the related technical or financial assistance is allowed under the exceptions referred to in paragraphs 3 to 6 of Article 4.
Article 3a
It shall be prohibited:
to provide technical assistance, brokering services or other services related to goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;
to provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.
The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for:
humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;
medical or pharmaceutical purposes;
temporary export of items for use by news media;
software updates;
use as consumer communication devices;
ensuring cyber-security and information security for natural and legal persons, entities and bodies in Russia except for its government and undertakings directly or indirectly controlled by that government; or
personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.
With the exception of points (f) and (g) above, the exporter shall declare in the customs declaration that the items are being exported under the relevant exception set out in this paragraph and shall notify the competent authority of the Member State where the exporter is resident or established of the first use of the relevant exception within 30 days from the date when the first export took place.
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are:
intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;
intended for intergovernmental cooperation in space programmes;
intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;
intended for maritime safety;
intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;
intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country; or
intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions.
When deciding on requests for authorisations in accordance with paragraphs 4 and 5 of this Article, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:
the end-user might be a military end-user, a natural or legal person, entity or body in Annex IV or that the goods might have a military end-use, unless the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is allowed under paragraph 1 of Article 3b;
the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for aviation or the space industry, unless such sale, supply, transfer or export or the provision of related technical or financial assistance is allowed under paragraph 4(b); or
the sale, supply, transfer or export of goods and technology referred to in paragraph 1 or the provision of related technical or financial assistance is intended for the energy sector, unless such a sale, supply, transfer or export or the related technical or financial assistance is allowed under the exceptions referred to in paragraphs 3 to 6 of Article 4.
Article 3b
With regard to the natural or legal persons, entities or bodies listed in Annex IV, by way of derogation from Articles 3 and 3a of this Decision, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities of the Member States may only authorise the sale, supply, transfer or export of dual-use goods and technology and the goods and technology referred to in Article 3a of this Decision, or the provision of related technical or financial assistance after having determined:
that such goods or technology or the related technical or financial assistance are necessary for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment; or
that such goods or technology or the related technical or financial assistance are due under contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such a contract, provided that the authorisation is requested before 1 May 2022.
Article 4
The Union shall take the necessary measures in order to determine the relevant items to be covered by this paragraph.
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.
The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of goods or technology, or to the provision of technical or financial assistance, necessary for:
the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 4o or 4p, from or through Russia into the Union; or
the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.
By way of derogation from paragraphs 1 and 2, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export and the provision of technical or financial assistance, after having determined that:
it is necessary for ensuring critical energy supply within the Union; or
it is intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State.
Article 4a
It shall be prohibited to:
acquire any new or extend any existing participation in any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia;
grant or be part of any arrangement to grant any new loan or credit or otherwise provide financing, including equity capital, to any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia, or for the documented purpose of financing such a legal person, entity or body;
create any new joint venture with any legal person, entity or body incorporated or constituted under the law of Russia or any other third country and operating in the energy sector in Russia;
provide investment services directly related to the activities referred to in points (a), (b) and (c).
By way of derogation from paragraph 1 the competent authorities may authorise, under such conditions as they deem appropriate, any activity referred to in paragraph 1 after having determined that:
it is necessary for ensuring critical energy supply within the Union, as well as the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 4o or 4p, from or through Russia into the Union; or
it exclusively concerns a legal person, entity or body operating in the energy sector in Russia owned by a legal person, entity or body which is incorporated or constituted under the law of a Member State.
Article 4b
The prohibition in paragraph 1 shall not apply to:
binding financing or financial assistance commitments established prior to 26 February 2022;
the provision of public financing or financial assistance up to the total value of EUR 10 000 000 per project benefiting small and medium-sized enterprises established in the Union; or
the provision of public financing or financial assistance for trade in food, and for agricultural, medical or humanitarian purposes.
Article 4c
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any person, entity or body in Russia or for use in Russia.
In duly justified cases of emergency, the sale, supply, transfer or export may proceed without prior authorisation, provided that the exporter notifies the competent authority within five working days after the sale, supply, transfer or export has taken place, providing detail about the relevant justification for the sale, supply, transfer or export without prior authorisation.
Article 4d
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;
provide financing or financial assistance related to goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.
By way of derogation from paragraphs 1 and 4, the national competent authorities may authorise, under such conditions as they deem appropriate, the execution of an aircraft financial lease concluded before 26 February 2022 after having determined that:
it is strictly necessary to ensure lease re-payments to a legal person, entity or body incorporated or constituted under the law of a Member State which does not fall under any of the restrictive measures provided for in this Decision; and
no economic resources will be made available to the Russian counterpart, with the exception of the transfer of ownership of the aircraft after full reimbursement of the financial lease.
Article 4e
Article 4f
Article 4g
Article 4h
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.
Article 4ha
For the purposes of this Article, a vessel means:
a ship falling within the scope of the relevant international conventions;
a yacht, of 15 metres in length or more, which does not carry cargo and carrying no more than 12 passengers; or
recreational craft or personal watercraft as defined in Directive 2013/53/EU of the European Parliament and of the Council ( 8 ).
By way of derogation from paragraph 1, the competent authorities may authorise a vessel to access a port, under such conditions as they deem appropriate, after having determined that the access is necessary for:
unless prohibited under Article 4o or 4p, the purchase, import or transport into the Union of natural gas and oil, including refined petroleum products, titanium, aluminium, copper, nickel, palladium and iron ore, as well as certain chemical and iron products;
the purchase, import or transport of pharmaceutical, medical, agricultural and food products, including wheat and fertilisers whose import, purchase and transport is allowed under this Decision;
humanitarian purposes;
transport of nuclear fuel and other goods strictly necessary for the functioning of civil nuclear capabilities; or
the purchase, import or transport into the Union of coal and other solid fossil fuels, until 10 August 2022.
The Union shall take the necessary measures in order to determine the relevant items to be covered by this Article.
Article 4i
It shall be prohibited:
to import, directly or indirectly, iron and steel products into the Union if they:
originate in Russia; or
have been exported from Russia;
to purchase, directly or indirectly, iron and steel products which are located or which originated in Russia;
to transport iron and steel products if they originated in Russia or are being exported from Russia to any other country;
to provide, directly or indirectly, technical assistance, brokering services, financing or financial assistance, including financial derivatives, as well as insurance and re-insurance, related to the prohibitions in points (a), (b) and (c).
The Union shall take the necessary measures in order to determine the relevant items to be covered by this paragraph.
Article 4j
Article 4k
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly in relation to the prohibition in paragraph 1;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any purchase, import or transfer of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly in relation to the prohibition in paragraph 1.
As of 10 July 2022, the prohibitions in paragraphs 1 and 2 shall not apply to the import, purchase or transport, or the related technical or financial assistance, necessary for the import into the Union, of:
837 570 metric tonnes of potassium chloride of CN 3104 20 between 10 July of a given year and 9 July of the following year;
1 577 807 metric tonnes combined of the other products under CN 3105 20 , 3105 60 and 3105 90 between 10 July of a given year and 9 July of the following year.
Article 4l
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly in relation to the prohibition in paragraph 1;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any purchase, import or transfer of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly in relation to the prohibition in paragraph 1.
Article 4m
It shall be prohibited to:
provide technical assistance, brokering services or other services related to the goods and technology referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;
provide financing or financial assistance related to the goods and technology referred to in paragraph 1 for any sale, supply, transfer or export of those goods and technology, or for the provision of related technical assistance, brokering services or other services, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia.
Article 4n
The prohibition in paragraph 1 shall not apply to road transport undertakings transporting:
mail as a universal service;
goods in transit though the Union between the Kaliningrad Oblast and Russia, provided that the transport of such goods is not otherwise prohibited under this Decision.
The prohibition in paragraph 1 shall not apply until 16 April 2022 to the transport of goods that started before 9 April 2022, provided that the vehicle of the road transport undertaking:
was already in the territory of the Union on 9 April 2022, or
needs to transit through the Union in order to return to Russia.
By way of derogation from paragraph 1, the competent authorities of a Member State may authorise the transport of goods by a road transport undertaking established in Russia if the competent authorities have determined that such transport is necessary for:
unless prohibited under Article 4o or 4p, the purchase, import or transport into the Union of natural gas and oil, including refined petroleum products, as well as titanium, aluminium, copper, nickel, palladium and iron ore;
the purchase, import or transport of pharmaceutical, medical, agricultural and food products, including wheat and fertilisers whose import, purchase and transport is allowed under this Decision;
humanitarian purposes;
the functioning of diplomatic and consular representations in Russia, including delegations, embassies and missions, or international organisations in Russia enjoying immunities in accordance with international law; or
the transfer or export to Russia of cultural goods which are on loan in the context of formal cultural cooperation with Russia.
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 4 within two weeks of the authorisation.
Article 4o
The prohibitions in paragraphs 1 and 2 shall not apply:
until 5 December 2022, to one-off transactions for near-term delivery, concluded and executed before that date, or to the execution of contracts for the purchase, import or transfer of crude oil, concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts, provided that those contracts have been notified by the relevant Member States to the Commission by 24 June 2022 and that the one-off transactions for near-term delivery be notified by the relevant Member States to the Commission within 10 days of their completion;
until 5 February 2023, to one-off transactions for near-term delivery, concluded and executed before that date, or to the execution of contracts for the purchase, import or transfer of petroleum products concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts, provided that those contracts have been notified by the relevant Member States to the Commission by 24 June 2022 and that the one-off transactions for near-term delivery be notified by the relevant Member States to the Commission within 10 days of their completion;
to the purchase, import or transfer of seaborne crude oil and of petroleum products where those goods originate in a third country and are only being loaded in, departing from, or transiting through Russia, provided that both the origin and the owner of those goods are non-Russian;
to crude oil which is delivered by pipeline from Russia into Member States, until the Council, acting by unanimity, on a proposal by the High Representative with the support of the Commission, decides that the prohibitions in paragraphs 1 and 2 shall apply.
As of 5 Feburary 2023, and by way of derogation from paragraphs 1 and 2, the competent authorities of Croatia may authorise until 31 December 2023 the purchase, import or transfer of vacuum gas oil originating in Russia or exported from Russia, provided that the following conditions are fulfilled:
no alternative supply of vacuum gas oil is available; and
Croatia has notified the Commission, at least two weeks prior to the authorisation, of the grounds on which it considers that a specific authorisation should be granted and the Commission has not objected within that time frame.
All consignments and containers of such crude oil shall be clearly marked as ‘REBCO: export prohibited’.
As from 5 Feburary 2023, where crude oil has been delivered by pipeline into a Member State as referred to in paragraph 3(d), it shall be prohibited to transfer or transport petroleum products which are obtained from such crude oil to other Member States or to third countries, or to sell such petroleum products to purchasers in other Member States or in third countries.
By way of temporary derogation, the prohibitions referred to in the third subparagraph shall apply as from 5 December 2023 to the import and transfer into Czechia, and to the sale to purchasers in Czechia, of petroleum products obtained from crude oil which has been delivered by pipeline into another Member State as referred to in paragraph 3(d). If alternative supplies for such petroleum products are made available to Czechia before that date, the Council, acting by unanimity, shall adopt a decision terminating that temporary derogation. During the period until 5 December 2023, the volumes of such petroleum products imported into Czechia from other Member States shall not exceed the average volumes imported into Czechia from those other Member States over the same period during the previous five years.
Article 4p
The prohibition in paragraph 1 shall not apply to:
the execution until 5 December 2022 of contracts concluded before 4 June 2022, or of ancillary contracts necessary for the execution of such contracts; or
the transport of crude oil or petroleum products where those goods originate in a third country and are only being loaded in, departing from or transiting through Russia, provided that both the origin and the owner of those goods are non-Russian.
Article 5
In order to maximise the impact of the measures referred to in this Decision, the Union shall encourage third States to adopt restrictive measures similar to those provided for herein.
Article 6
Actions by natural or legal persons, entities or bodies shall not give rise to liability of any kind on their part, if they did not know, and had no reasonable cause to suspect, that their actions would infringe the measures set out in this Decision.
Article 7
No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Decision, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, in particular 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:
legal persons, entities or bodies listed in the Annexes to this Decision or legal persons, entities or bodies established outside the Union whose proprietary rights are directly or indirectly owned for more than 50 % by them;
any other Russian person, entity or body; or
any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) or (b) of this paragraph.
Article 8
It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions set out in this Decision, including by acting as a substitute for the natural or legal persons, entities or bodies subject to those prohibitions, or by acting to their benefit by using any of the exceptions provided for in this Decision.
Article 8a
Article 9
Article 10
This Decision shall enter into force on the date following that of its publication in the Official Journal of the European Union.
ANNEX I
List of legal persons, entities and bodies referred to in Article 1(1)(a)
SBERBANK
VTB BANK
GAZPROMBANK
VNESHECONOMBANK (VEB)
ROSSELKHOZBANK
ANNEX II
List of legal persons, entities and bodies referred to in Article 1(3)(a)
ANNEX III
List of legal persons, entities and bodies referred to in Article 1(3)(b)
ANNEX IV
List of legal persons, entities and bodies referred to in Articles 3(7), 3a(7), and 3b(1)
ANNEX V
List of legal persons, entities and bodies referred to in Article 1(2)(a)
ANNEX VI
List of legal persons, entities and bodies referred to in Article 1(4)(a)
ANNEX VII
List of partner countries referred to in Article 3(9)
THE UNITED STATES OF AMERICA
JAPAN
United Kingdom
South Korea
ANNEX VIII
LIST OF LEGAL PERSONS, ENTITIES OR BODIES REFERRED TO IN ARTICLE 1e
Name of the legal person, entity or body |
Date of application |
Bank Otkritie |
12 March 2022 |
Novikombank |
12 March 2022 |
Promsvyazbank |
12 March 2022 |
Bank Rossiya |
12 March 2022 |
Sovcombank |
12 March 2022 |
VNESHECONOMBANK (VEB) |
12 March 2022 |
VTB BANK |
12 March 2022 |
Sberbank |
14 June 2022 |
Credit Bank of Moscow |
14 June 2022 |
Joint Stock Company Russian Agricultural Bank, JSC Rosselkhozbank |
14 June 2022 |
ANNEX IX
LIST OF LEGAL PERSONS, ENTITIES OR BODIES REFERRED TO IN ARTICLE 4g
ANNEX X
LIST OF STATE OWNED COMPANIES REFERRED TO IN ARTICLE 1aa
( 1 ) Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ L 257, 28.8.2014, p. 1).
( 2 ) Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (OJ L 94, 28.3.2014, p. 1).
( 3 ) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).
( 4 ) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243).
( 5 ) Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.8.2009, p. 76).
( 6 ) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
( 7 ) Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast) (OJ L 206, 11.6.2021, p. 1).
( 8 ) Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft and repealing Directive 94/25/EC (OJ L 354, 28.12.2013, p. 90).
( 9 ) Commission Implementing Regulation (EU) 2015/2447 of 24 November 2015 laying down detailed rules for implementing certain provisions of Regulation (EU) No 952/2013 of the European Parliament and of the Council laying down the Union Customs Code (OJ L 343, 29.12.2015, p. 558).
( 10 ) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).