ISSN 1977-0677 |
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Official Journal of the European Union |
L 49 |
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English edition |
Legislation |
Volume 65 |
Contents |
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II Non-legislative acts |
page |
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REGULATIONS |
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EN |
Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period. The titles of all other Acts are printed in bold type and preceded by an asterisk. |
II Non-legislative acts
REGULATIONS
25.2.2022 |
EN |
Official Journal of the European Union |
L 49/1 |
COUNCIL REGULATION (EU) 2022/328
of 25 February 2022
amending Regulation (EU) No 833/2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,
Having regard to Decision (CFSP) 2022/327 (1) of 25 February 2022 amending Decision 2014/512/CFSP concerning restrictive measures in view of Russia’s actions destabilising the situation in Ukraine,
Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the European Commission,
Whereas:
(1) |
On 31 July 2014, the Council adopted Regulation (EU) No 833/2014 (2). |
(2) |
Regulation (EU) No 833/2014 gives effect to certain measures provided for in Council Decision 2014/512/CFSP (3) and prohibits the sale, supply, transfer or export of dual-use goods and technology to any person, entity or body in Russia or for use in Russia, if those items are for military use or for military end-users. It also bans the sale of such goods and technology to specified legal persons in Russia and prohibits the provision of technical assistance and other related services as well as financing and financial assistance related to such goods and technology. In addition, it requires operators to obtain a prior authorisation for the sale, supply, transfer or export of certain technologies for the oil industry in Russia and prohibits the provision of associated services necessary for deep-water oil exploration and production, arctic oil exploration and production or shale oil projects in Russia, including its Exclusive Economic Zone and Continental Shelf. It also prohibits the provision of technical assistance related to the goods and technology listed in the Common Military List of the European Union or related to the provision, manufacture, maintenance and use of such goods. It also imposes restrictions on access to the Union capital market for certain Russian financial institutions, entities as well as Russia, its Government and its Central Bank. |
(3) |
On 24 January 2022, recalling the December 2021 European Council conclusions, the Council reiterated that any further military aggression by Russia against Ukraine would have massive consequences and severe costs. |
(4) |
In view of the gravity of the situation, on 25 February 2022 the Council adopted Decision (CFSP)2022/327, amending Decision 2014/512/CFSP and imposing further restrictive measures in various sectors, particularly defence, energy, aviation and finance. |
(5) |
Decision (CFSP) 2022/327 imposes further restrictions on exports of dual-use goods and technology and on the provision of related services, as well as restrictions on exports of certain goods and technology which might contribute to Russia’s technological enhancement of its defence and security sector. It also introduces restrictions on the provision of related services. Limited exemptions to such restrictions are envisioned for legitimate and pre-determined purposes. Furthermore, that Decision prohibits the provision of public financing or financial assistance for trade with, or investment in, Russia, subject to certain exceptions. |
(6) |
Decision (CFSP) 2022/327 also prohibits the sale, supply, transfer or export to Russia of specific goods and technologies for use in oil refining, together with restrictions on the provision of related services. |
(7) |
Furthermore, Decision (CFSP) 2022/327 introduces an export ban covering goods and technology suited for use in aviation and the space industry and prohibits the provision of insurance and reinsurance and maintenance services in relation to those goods and technology. It also prohibits the provision of technical assistance and other related services as well as financing and financial assistance in relation to the goods and technology subject to this prohibition. |
(8) |
Decision (CFSP) 2022/327 further expands the existing financial restrictions, in particular those on access by certain Russian entities to the capital markets. It also prohibits the listing and provision of services in relation to shares of Russian state-owned entities on Union trading venues. In addition, it introduces new measures which significantly limit the financial inflows from Russia to the Union by prohibiting the acceptance of deposits exceeding certain values from Russian nationals or residents, the holding of accounts of Russian clients by the Union central securities depositories as well as the selling of euro-denominated securities to Russian clients. |
(9) |
These measures fall within the scope of the Treaty and, therefore, in particular with a view to ensuring their uniform application in all Member States, regulatory action at the level of the Union is necessary. |
(10) |
In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. |
(11) |
The Commission will monitor the application of these measures. To ensure the effectiveness of export controls on Union goods and technology which might contribute to Russia’s technological enhancement of its defence and security sector, the Commission will act in coordination with Member States, and as the case may be with partner countries, with a view, in justified and documented cases, to adapting the list of those goods and technology as appropriate. |
(12) |
Regulation (EU) No 833/2014 should therefore be amended accordingly, |
HAS ADOPTED THIS REGULATION:
Article 1
Regulation (EU) 833/2014 is amended as follows:
(1) |
Article 1 is replaced by the following: ‘Article 1 For the purposes of this Regulation, the following definitions apply:
(*1) 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)." (*2) 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)." (*3) Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).’;" |
(2) |
Article 2 is replaced by the following: ‘Article 2 1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, dual-use goods and technology, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia. 2. It shall be prohibited to:
3. Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibitions in paragraphs 1 and 2 of this Article 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:
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. 4. 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:
5. 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 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. 6. All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union. 7. When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:
8. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.’; |
(3) |
Article 2a is replaced by the following: ‘Article 2a 1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology which might contribute to Russia’s military and technological enhancement, or the development of the defence and security sector, as listed in Annex VII, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia. 2. It shall be prohibited to:
3. The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of the 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:
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. 4. By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of the 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:
5. By way of derogation from paragraphs 1 and 2, the competent authorities may authorise the sale, supply, transfer or export of the 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 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. 6. All authorisations required under this Article shall be granted by the competent authorities in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union. 7. When deciding on requests for authorisations referred to in paragraphs 4 and 5, the competent authorities shall not grant an authorisation if they have reasonable grounds to believe that:
8. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraphs 4 and 5 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation.’; |
(4) |
The following Articles are inserted: ‘Article 2b 1. With regard to the entities listed in Annex IV, by way of derogation from Article 2(1) and (2) and Article 2a(1) and (2), and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may only authorise the sale, supply, transfer or export of dual-use goods and technology and goods and technology listed in Annex VII, or the provision of related technical or financial assistance after having determined that:
2. All authorisations required under this Article shall be granted by the competent authorities of the Member State in accordance with the rules and procedures laid down in Regulation (EU) 2021/821, which shall apply mutatis mutandis. The authorisation shall be valid throughout the Union. 3. The competent authorities may annul, suspend, modify or revoke an authorisation which they have granted pursuant to paragraph 1 if they deem that such annulment, suspension, modification or revocation is necessary for the effective implementation of this Regulation. Article 2c 1. The notification to the competent authority referred to in Articles 2(3) and 2a(3) shall be submitted by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX. 2. All authorisations referred to in Articles 2, 2a and 2b shall be issued by electronic means, whenever possible, on forms containing at least all the elements of, and in the order provided for in, the models set out in Annex IX. Article 2d 1. The competent authorities shall exchange information on authorisations granted and denials issued pursuant to Articles 2, 2a and 2b with the other Member States and the Commission without delay. The exchange of information shall be carried out using the electronic system provided pursuant to Article 23(6) of Regulation (EU) 2021/821. 2. Information received as a result of the application of this Article shall be used only for the purpose for which it was requested, including the exchanges mentioned in paragraph 4. Member States and the Commission shall ensure the protection of confidential information acquired in application of this Article in accordance with Union law and the respective national law. Member States and the Commission shall ensure that classified information provided or exchanged under this Article is not downgraded or declassified without the prior written consent of the originator. 3. Before a Member State grants an authorisation in accordance with Articles 2, 2a and 2b 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 and the Commission thereof, providing all relevant information to explain the decision. 4. The Commission, in consultation with the Member States shall, where appropriate, exchange information with partner countries, with a view to supporting the effectiveness of export control measures under this Regulation and the consistent application of export control measures applied by partner countries. Article 2e 1. It shall be prohibited to provide public financing or financial assistance for trade with, or investment in, Russia. 2. The prohibition in paragraph 1 shall not apply to:
|
(5) |
in paragraph 2 of Article 3, ‘Article 11 of Regulation (EC) No 428/2009’ is replaced with ‘Article 14 of Regulation (EU) No 2021/821’; |
(6) |
the following Articles are inserted: ‘Article 3b 1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology suited for use in oil refining, as listed in Annex X, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia. 2. It shall be prohibited to:
3. The prohibitions in paragraphs 1 and 2 shall not apply to the execution until 27 May 2022 of contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such contracts. 4. 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 of the goods and technology listed in Annex X or the provision of related technical or financial assistance, after having determined that such goods or technology or the provision of 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. 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 3c 1. It shall be prohibited to sell, supply, transfer or export, directly or indirectly, goods and technology suited for use in aviation or the space industry, as listed in Annex XI, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia. 2. It shall be prohibited to provide insurance and reinsurance, directly or indirectly, in relation to goods and technology listed in Annex XI to any person, entity or body in Russia or for use in Russia. 3. It shall be prohibited to provide any one or any combination of the following activities: overhaul, repair, inspection, replacement, modification or defect rectification of an aircraft or component, with the exception of pre-flight inspection, in relation to the goods and technology listed in Annex XI, directly or indirectly, to any natural or legal person, entity or body in Russia or for use in Russia. 4. It shall be prohibited to:
5. With regard to the goods listed in Annex XI, the prohibitions in paragraphs 1 and 4 shall not apply to the execution until 28 March 2022 of contracts concluded before 26 February 2022, or ancillary contracts necessary for the execution of such contracts.’; |
(7) |
in paragraph 2 of Article 4, ‘EU’ is replaced by ‘Union’; |
(8) |
Article 5 is replaced by the following: ‘Article 5 1. 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 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:
2. 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:
3. 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:
4. 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:
5. It shall be prohibited to list and provide services as of 12 April 2022 on trading venues registered or recognised in the Union for the transferable securities of any legal person, entity or body established in Russia and with over 50 % public ownership. 6. It shall be prohibited to directly or indirectly make or be part of any arrangement to make
The prohibition shall not apply to:
7. 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:
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.’; |
(9) |
the following Articles are inserted: ‘Article 5b 1. It shall be prohibited to accept any deposits from Russian nationals or natural persons residing in Russia, or legal persons, entities or bodies established in Russia, if the total value of deposits of the natural or legal person, entity or body per credit institution exceeds 100 000 EUR. 2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State, 3. Paragraph 1 shall not apply to deposits which are necessary for non-prohibited cross-border trade in goods and services between the Union and Russia. Article 5c 1. By way of derogation from Article 5b(1), the competent authorities may authorise the acceptance of such a deposit, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit is:
2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 1(a), (b) and (d) within two weeks of the authorisation. Article 5d 1. By way of derogation from Article 5b(1), the competent authorities may authorise the acceptance of such a deposit, under such conditions as they deem appropriate, after having determined that the acceptance of such a deposit is:
2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation. Article 5e 1. It shall be prohibited for Union central securities depositories to provide any services as defined in the Annex of Regulation (EU) No 909/2014 for transferable securities issued after 12 April 2022 to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia. 2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State. Article 5f 1. It shall be prohibited to sell euro denominated transferable securities issued after 12 April 2022 or units in collective investment undertakings providing exposure to such securities, to any Russian national or natural person residing in Russia or any legal person, entity or body established in Russia. 2. Paragraph 1 shall not apply to nationals of a Member State or natural persons having a temporary or permanent residence permit in a Member State. Article 5g 1. Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, credit institutions shall:
|
(10) |
Articles 6 and 7 are replaced by the following: ‘Article 6 1. The Member States and the Commission shall inform each other of the measures taken under this Regulation and share any other relevant information at their disposal in connection with this Regulation, in particular information in respect of:
2. The Member States shall immediately inform each other and the Commission of any other relevant information at their disposal which might affect the effective implementation of this Regulation. 3. Any information provided or received in accordance with this Article shall be used for the purposes for which it was provided or received, including ensuring the effectiveness of the measures set out in this Regulation. Article 7 The Commission shall be empowered to amend Annexes I and IX on the basis of information supplied by Member States.’; |
(11) |
Articles 11 and 12 are replaced by the following: ‘Article 11 1. 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 Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:
2. In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim. 3. This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation. Article 12 It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent prohibitions in this Regulation including by acting as a substitute for natural or legal persons, entities or bodies referred to in Articles 5, 5a, 5b, 5e and 5f or by acting to their benefit by using the exceptions in Articles 5(6), 5a(2) 5b(2), 5e(2) or 5f(2).’; |
(12) |
The following Article is inserted: ‘Article 12a 1. The Commission shall process personal data in order to carry out its tasks under this Regulation. These tasks include the handling of information on deposits and information on authorisations granted by the competent authorities. 2. For the purposes of this Regulation, the Commission service listed in Annex I is designated as “controller” for the Commission within the meaning of Article 3(8) of Regulation (EU) 2018/1725 (*4) in relation to the processing activities necessary to accomplish the tasks referred to in paragraph 1. (*4) 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).’;" |
(13) |
Annex I is replaced by Annex I to this Regulation; |
(14) |
Annex III is amended in accordance with Annex II to this Regulation; |
(15) |
Annex IV is replaced by Annex III to this Regulation; |
(16) |
Annex V is amended in accordance with Annex IV to this Regulation; |
(17) |
Annex VI is amended in accordance with Annex V to this Regulation; |
(18) |
Annex VII is inserted in accordance with Annex VI to this Regulation; |
(19) |
Annex VIII is inserted in accordance with Annex VII to this Regulation; |
(20) |
Annex IX is inserted in accordance with Annex VIII to this Regulation; |
(21) |
Annex X is inserted in accordance with Annex IX to this Regulation; |
(22) |
Annex XI is inserted in accordance with Annex X to this Regulation; |
(23) |
Annex XII is inserted in accordance with Annex XI to this Regulation; |
(24) |
Annex XIII is inserted in accordance with Annex XII to this Regulation. |
Article 2
This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 25 February 2022.
For the Council
The President
J. BORRELL FONTELLES
(2) Council Regulation (EU) No 833/2014 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. 1).
(3) 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).
ANNEX I
‘ANNEX I
Websites for information on the competent authorities and address for notification to the European Commission
BELGIUM
https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties
https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions
https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions
BULGARIA
https://www.mfa.bg/en/101
CZECH REPUBLIC
www.financnianalytickyurad.cz/mezinarodni-sankce.html
DENMARK
http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/
GERMANY
http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html
ESTONIA
http://www.vm.ee/est/kat_622/
IRELAND
http://www.dfa.ie/home/index.aspx?id=28519
GREECE
http://www.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html
SPAIN
http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunidadesRiesgos/Paginas/SancionesInternacionales.aspx
FRANCE
http://www.diplomatie.gouv.fr/fr/autorites-sanctions/
CROATIA
http://www.mvep.hr/sankcije
ITALY
https://www.esteri.it/mae/it/politica_estera/politica_europea/misure_deroghe
CYPRUS
http://www.mfa.gov.cy/mfa/mfa2016.nsf/mfa35_en/mfa35_en?OpenDocument
LATVIA
http://www.mfa.gov.lv/en/security/4539
LITHUANIA
http://www.urm.lt/sanctions
LUXEMBOURG
https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/organisations-economiques-int/mesures-restrictives.html
HUNGARY
https://kormany.hu/kulgazdasagi-es-kulugyminiszterium/ensz-eu-szankcios-tajekoztato
MALTA
https://foreignaffairs.gov.mt/en/Government/SMB/Pages/Sanctions-Monitoring-Board.aspx
NETHERLANDS
https://www.rijksoverheid.nl/onderwerpen/internationale-sancties
AUSTRIA
http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=
POLAND
https://www.gov.pl/web/dyplomacja
PORTUGAL
http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restritivas/medidas-restritivas.aspx
ROMANIA
http://www.mae.ro/node/1548
SLOVENIA
http://www.mzz.gov.si/si/omejevalni_ukrepi
SLOVAKIA
https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu
FINLAND
http://formin.finland.fi/kvyhteistyo/pakotteet
SWEDEN
http://www.ud.se/sanktioner
Address for notifications to the European Commission:
European Commission |
Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA) |
Rue de Spa 2 |
B-1049 Brussels, Belgium |
E-mail: relex-sanctions@ec.europa.eu
ANNEX II
The title of Annex III to Regulation (EU) No 833/2014 is replaced by the following:
‘ANNEX III
List of legal persons, entities and bodies referred to in Article 5(1)(a)
[…]
ANNEX III
‘ANNEX IV
List of natural or legal persons, entities or bodies, referred to in Article 2(7), 2a(7) and 2b(1)
JSC Sirius |
OJSC Stankoinstrument |
OAO JSC Chemcomposite |
JSC Kalashnikov |
JSC Tula Arms Plant |
NPK Technologii Maschinostrojenija |
OAO Wysokototschnye Kompleksi |
OAO Almaz Antey |
OAO NPO Bazalt |
Admiralty Shipyard JSC |
Aleksandrov Scientific Research Technological Institute NITI |
Argut OOO |
Communication center of the Ministry of Defense
Federal Research Center Boreskov Institute of Catalysis |
Federal State Budgetary Enterprise of the Administration of the President of Russia |
Federal State Budgetary Enterprise Special Flight Unit Rossiya of the Administration of the President of Russia |
Federal State Unitary Enterprise Dukhov Automatics Research Institute (VNIIA) |
Foreign Intelligence Service (SVR) |
Forensic Center of Nizhniy Novgorod Region Main Directorate of the Ministry of Interior Affairs |
International Center for Quantum Optics and Quantum Technologies (the Russian Quantum Center) |
Irkut Corporation |
Irkut Research and Production Corporation Public Joint Stock Company |
Joint Stock Company Scientific Research Institute of Computing Machinery |
JSC Central Research Institute of Machine Building (JSC TsNIIMash) |
JSC Kazan Helicopter Plant Repair Service |
JSC Shipyard Zaliv (Zaliv Shipbuilding yard) |
JSC Rocket and Space Centre – Progress |
Kamensk-Uralsky Metallurgical Works J.S. Co. |
Kazan Helicopter Plant PJSC |
Komsomolsk-na-Amur Aviation Production Organization (KNAAPO) |
Ministry of Defence RF |
Moscow Institute of Physics and Technology |
NPO High Precision Systems JSC |
NPO Splav JSC |
OPK Oboronprom |
PJSC Beriev Aircraft Company |
PJSC Irkut Corporation |
PJSC Kazan Helicopters |
POLYUS Research Institute of M.F. Stelmakh Joint Stock Company |
Promtech-Dubna, JSC |
Public Joint Stock Company United Aircraft Corporation |
Radiotechnical and Information Systems (RTI) Concern |
Rapart Services LLC; Rosoboronexport OJSC (ROE) |
Rostec (Russian Technologies State Corporation) |
Rostekh – Azimuth |
Russian Aircraft Corporation MiG |
Russian Helicopters JSC |
SP KVANT (Sovmestnoe Predpriyatie Kvantovye Tekhnologii) |
Sukhoi Aviation JSC |
Sukhoi Civil Aircraft |
Tactical Missiles Corporation JSC |
Tupolev JSC |
UEC-Saturn |
United Aircraft Corporation |
JSC AeroKompozit |
United Engine Corporation |
UEC-Aviadvigatel JSC |
United Instrument Manufacturing Corporation |
United Shipbuilding Corporation |
JSC PO Sevmash |
Krasnoye Sormovo Shipyard |
Severnaya Shipyard |
Shipyard Yantar |
UralVagonZavod |
ANNEX IV
The title of Annex V to Regulation (EU) No 833/2014 is replaced by the following:
‘ANNEX V
List of legal persons, entities and bodies referred to in Article 5(3)(a)
[…]
ANNEX V
The title of Annex VI to Regulation (EU) No 833/2014 is replaced by the following:
‘ANNEX VI
List of legal persons, entities and bodies referred to in Article 5(3)(b)
[…]
ANNEX VI
‘ANNEX VII
List of goods and technology referred to in Articles 2a(1) and 2b(1)
General Notes, Acronyms and Abbreviations, and Definitions in Annex I to Regulation (EU) 2021/821 apply to this Annex, with the exception of “Part I - General Notes, Acronyms and Abbreviations, and Definitions, General Notes to Annex I, point 2.”.
Definitions of Terms used in the Common Military List (CML) of the European Union (2020/C 85/01) apply to this Annex.
Without prejudice to Article 12 of this regulation, non-controlled items containing one or more components listed in this Annex are not subject to the controls under Art. 2b of this Regulation.
Category I - Electronics
X.A.I.001 |
Electronic devices and components.
|
X.A.I.002 |
General purpose "electronic assemblies", modules and equipment.
|
X.A.I.003 |
Specific processing equipment, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:
|
X.B.I.001 |
Equipment for the manufacture of electronic components or materials, as follows and specially designed components and accessories therefor.
|
X.B.I.002 |
Equipment for the inspection or testing of electronic components and materials, and specially designed components and accessories therefor.
|
X.C.I.001 |
Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths between 370 and 193 nm. |
X.D.I.001 |
“Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 and X.B.I.002; or “software” specially designed for the “use” of equipment controlled by 3B001.g and 3B001.h (9). |
X.E.I.001 |
“Technology” for the “development”, “production” or “use” of electronic devices or components controlled by X.A.I.001, general purpose electronic equipment controlled by X.A.I.002, or manufacturing and test equipment controlled by X.B.I.001 or X.B.I.002, or materials controlled by X.C.I.001. |
Category II – Computers
Note: |
Category II does not control goods for the personal use of the natural persons. |
X.A.II.001 |
Computers, “electronic assemblies” and related equipment, not controlled by 4A001 or 4A003 (10), and specially designed components therefor. |
Note: |
The control status of the “digital computers” and related equipment described in X.A.II.001 is determined by the control status of other equipment or systems provided:
|
X.D.II.001 |
“Program” proof and validation “software”, “software” allowing the automatic generation of “source codes”, and operating system “software” that are specially designed for “real-time processing” equipment.
|
X.D.II.002 |
“Software” other than that controlled in 4D001 (13) specially designed or modified for the “development”, “production” or “use” of equipment controlled by 4A101 (14), X.A.II.001. |
X.E.II.001 |
“Technology” for the “development”, “production” or “use” of equipment controlled by X.A.II.001, or “software” controlled by X.D.II.001 or X.D.II.002. |
X.E.II.001 |
“Technology” for the “development” or “production” of equipment designed for 'multi-data-stream processing'.
|
Category III. Part 1 – Telecommunications
Note: |
Category III.Part 1 does not control goods for the personal use of the natural persons. |
X.A.III.101 |
Telecommunication equipment.
|
X.B.III.101 |
Telecommunications test equipment, other than those specified in the CML or in Regulation (EU) 2021/821. |
X.C.III.101 |
Preforms of glass or of any other material optimised for the manufacture of optical fibres controlled by X.A.III.101. |
X.D.III.101 |
“Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.III.101 and X.B.III.101, and dynamic adaptive routing software as described as follows:
|
X.E.III.101 |
“Technology” for the “development”, “production” or “use” of equipment controlled by X.A.III.101 or X.B.III.101, or “software” controlled by X.D.III.101, and other “technologies” as follows:
|
Category III. Part 2 - Information Security
Note: |
Category III.Part 2 does not control goods for the personal use of the natural persons. |
X.A.III.201 |
Equipment as follows:
|
X.D.III.201 |
“Information Security”“software” as follows: |
Note: |
This entry does not control “software” designed or modified to protect against malicious computer damage, e.g., viruses, where the use of “cryptography” is limited to authentication, digital signature and/or the decryption of data or files.
|
X.E.III.201 |
“Information Security”“technology” according to the General Technology Note, as follows:
|
Category IV – Sensors and Lasers
X.A.IV.001 |
Marine or terrestrial acoustic equipment, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821. |
X.A.IV.002 |
Optical Sensors as follows:
|
X.A.IV.003 |
Cameras as follows:
|
X.A.IV.004 |
Optics as follows:
|
X.A.IV.005 |
“Lasers” as follows:
|
X.A.IV.006 |
“Magnetometers”, “Superconductive” electromagnetic sensors, and specially designed components therefor, as follows:
|
X.A.IV.007 |
Gravity meters (gravimeters) for ground use, other than those specified in the CML or in Regulation (EU) 2021/821, as follows:
|
X.A.IV.008 |
Radar systems, equipment and major components, other than those specified in the CML or in Regulation (EU) 2021/821, and specially designed components therefor, as follows:
|
X.A.IV.009 |
Specific processing equipment, as follows:
|
X.B.IV.001 |
Equipment, including tools, dies, fixtures or gauges, and other specially designed components and accessories therefor, specially designed or modified for any of the following:
|
X.C.IV.001 |
Optical sensing fibres that are modified structurally to have a “beat length” of less than 500 mm (high birefringence) or optical sensor materials not described in 6C002.b (19) and having a zinc content of equal to or more than 6 % by “mole fraction.”
|
X.C.IV.002 |
Optical materials, as follows:
|
X.D.IV.001 |
“Software”, other than those specified in the CML or in Regulation (EU) 2021/821, specially designed for the “development”, “production”, or “use” of goods controlled by 6A002, 6A003 (21), X.A.IV.001, X.A.IV.006, X.A.IV.007, or X.A.IV.008. |
X.D.IV.002 |
“Software” specially designed for the “development” or “production” of equipment controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005. |
X.D.IV.003 |
Other “software”, as follows:
|
X.E.IV.001 |
“Technology” for the “development”, “production” or “use” of equipment controlled by X.A.IV.001, X.A.IV.006, X.A.IV.007, X.A.IV.008 or X.A.IV.009.c. |
X.E.IV.002 |
“Technology” for the “development” or “production” of equipment, materials or “software” controlled by X.A.IV.002, X.A.IV.004, or X.A.IV.005, X.B.IV.001, X.C.IV.001, X.C.IV.002, or X.D.IV.003. |
X.E.IV.003 |
Other “technology” as follows:
|
Category V – Navigation and Avionics
X.A.V.001 |
Airborne communication equipment, all "aircraft" inertial navigation systems, and other avionic equipment, including components, other than those specified in the CML or in Regulation (EU) 2021/821.
|
X.B.V.001 |
Other equipment specially designed for the test, inspection, or “production” of navigation and avionics equipment. |
X.D.V.001 |
“Software”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production”, or “use” of navigation, airborne communication and other avionics. |
X.E.V.001 |
“Technology”, other than specified in the CML or in Regulation (EU) 2021/821, for the “development”, “production” or “use” of navigation, airborne communication, and other avionics equipment. |
Category VI – Marine
X.A.VI.001 |
Vessels, marine systems or equipment, and specially designed components therefor, components and accessories as follows:
|
X.D.VI.001 |
“Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by X.A.VI.001. |
X.D.VI.002 |
“Software” specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry. |
X.E.VI.001 |
“Technology” for the “development”, “production” or “use” of equipment controlled by X.A.VI.001. |
Category VII – Aerospace and Propulsion
X.A.VII.001 |
Diesel engines, and tractors and specially designed components therefor, other than those specified in the CML or in Regulation (EU) 2021/821.
|
X.A.VII.002 |
Gas turbine engines and components, other than those specified in the CML or in Regulation (EU) 2021/821.
|
X.B.VII.001 |
Vibration test equipment and specially designed components, other than those specified in the CML or in Regulation (EU) 2021/821.
|
X.B.VII.002 |
Specially designed “equipment”, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:
|
X.D.VII.001 |
“Software”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” of equipment controlled by X.A.VII.001 or X.B.VII.001. |
X.D.VII.002 |
“Software”, for the “development” or “production” of equipment controlled by X.A.VII.002 or X.B.VII.002. |
X.E.VII.001 |
“Technology”, other than those specified in the CML or in Regulation (EU) 2021/821, for the “development” or “production” or “use” of equipment controlled by X.A.VII.001 or X.B.VII.001. |
X.E.VII.002 |
“Technology”, for the “development”, “production” or “use” of equipment controlled by X.A.VII.002 or X.B.VII.002. |
X.E.VII.003 |
Other “technology”, not described by 9E003 (23), as follows:
|
(1) Ref. Annex I to Regulation (EU) 2021/821
(2) Ref. Annex I to Regulation (EU) 2021/821
(3) Ref. Annex I to Regulation (EU) 2021/821
(4) Ref. Annex I to Regulation (EU) 2021/821
(5) Ref. Annex I to Regulation (EU) 2021/821
(6) Ref. Annex I to Regulation (EU) 2021/821
(7) Ref. Annex I to Regulation (EU) 2021/821
(8) Ref. Annex I to Regulation (EU) 2021/821
(9) Ref. Annex I to Regulation (EU)2021/821
(10) Ref. Annex I to Regulation (EU) 2021/821
(11) Ref. Annex I to Regulation (EU) 2021/821
(12) Ref. Annex I to Regulation (EU) 2021/821
(13) Ref. Annex I to Regulation (EU) 2021/821
(14) Ref. Annex I to Regulation (EU) 2021/821
(15) Ref. Annex I to Regulation (EU) 2021/821
(16) Ref. Annex I to Regulation (EU) 2021/821
(17) Ref. Annex I to Regulation (EU) 2021/821
(18) Ref. Annex I to Regulation (EU) 2021/821
(19) Ref. Annex I to Regulation (EU) 2021/821
(20) Ref. Annex I to Regulation (EU) 2021/821
(21) Ref. Annex I to Regulation (EU) 2021/821
(22) Ref. Annex I to Regulation (EU) 2021/821
(23) Ref. Annex I to Regulation (EU) 2021/821
ANNEX VII
‘ANNEX VIII
List of partner countries referred to in Articles 2(4), 2a(4) and 2d(4)
THE UNITED STATES OF AMERICA
ANNEX VIII
‘ANNEX IX
A. Model for supply, transfer or export notification, application and authorisation forms
(referred to in Article 2c of this Regulation)
The export authorisation is valid in all Member States of the European Union until its expiry date.
EUROPEAN UNION |
EXPORT AUTHORISATION / NOTIFICATION (Reg. (EU) 2022/328) |
|||||||||||||||||||
If notifying pursuant to Article 2(3) or 2a(3) of Regulation XXX/XXX, indicate what point(s) applies/apply:
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For authorisations, indicate if this has been requested pursuant to Article 2(4), 2(5), 2a(4), 2a(5) or 2b(1) of Regulation XXX/XXX: |
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For authorisations pursuant to Article 2(4) or 2a(4) of Regulation XXX/XXX, indicate what point(s) applies/apply:
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For authorisations pursuant to Article 2b(1) of Regulation XXX/XXX, indicate what point applies:
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Code (2) |
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Confirm that the end user is non military |
Yes/No |
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Confirm that the end use is non military |
Yes/No |
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Stamp |
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EUROPEAN UNION |
(Reg. (EU) 2022/328) |
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Note: In part 1 of column 24, write the quantity still available and in part 2 of column 24, write the quantity deducted on this occasion. |
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B. Model for brokering services/ technical assistance notification, application and authorisation forms
(referred to in Article 2c of this Regulation)
EUROPEAN UNION |
PROVISION OF TECHNICAL ASSISTANCE (Reg. (EU) 2022/328) |
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If notifying pursuant to Article 2(3) or 2a(3) of Regulation XXX/XXX, indicate what point(s) applies/apply:
|
For authorisations, indicate if this has been requested pursuant to Article 2(4), 2(5), 2a(4), 2a(5) or 2b(1) of Regulation XXX/XXX: |
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For authorisations pursuant to Article 2(4) or 2a(4) of Regulation XXX/XXX, indicate what point(s) applies/apply:
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For authorisations pursuant to Article 2b(1) of Regulation XXX/XXX, indicate what point applies:
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Confirm that the end use is non military |
Yes/No |
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Available for pre-printed information At discretion of Member States |
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Stamp |
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(1) See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).
(2) If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate the exact number of attachments in this box. The description should be as precise as possible and integrate, where relevant, the CAS or other references for chemical items in particular.
(3) If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate the exact number of attachments in this box. The description should be as precise as possible and integrate, where relevant, the CAS or other references for chemical items in particular.
(4) See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).
ANNEX IX
‘ANNEX X
List of goods and technologies referred to in Article 3b(1)
CN |
Product |
8479 89 97 or 8543 70 90 |
Alkylation and isomerization units |
8479 89 97 or 8543 70 90 |
Aromatic hydrocarbon production units |
8419 40 00 |
Atmospheric-vacuum crude distillation units (CDU) |
8479 89 97 or 8543 70 90 |
Catalytic reforming / cracker units |
8419 89 98 , 8419 89 30 or 8419 89 10 |
Delayed cokers |
8419 89 98 , 8419 89 30 or 8419 89 10 |
Flexicoking units |
8479 89 97 |
Hydrocracking reactors |
8419 89 98 , 8419 89 30 , 8419 89 10 , or 8479 89 97 |
Hydrocracking reactor vessels |
8479 89 97 or 8543 70 90 |
Hydrogen generation technology |
8421 39 15 , 8421 39 25 , 8421 39 35 , 8421 39 85 , 8479 89 97 or 8543 70 90 |
Hydrogen recovery and purification technology |
8479 89 97 or 8543 70 90 |
Hydrotreatment technology/units |
8479 89 97 or 8543 70 90 |
Naphtha isomerisation units |
8479 89 97 or 8543 70 90 |
Polymerisation units |
8419 89 10 , 8419 89 30 , or 8419 89 98 , 8479 89 97 or 8543 70 90 |
Refinery fuel gas treatment and sulphur recovery technology (including amine scrubbing units, sulphur recovery units, tail gas treatment units) |
8456 90 00 , 8479 89 97 or 8543 70 90 |
Solvent de-asphalting units |
8479 89 97 or 8543 70 90 |
Sulphur production units |
8479 89 97 or 8543 70 90 |
Sulphuric acid alkylation and sulphuric acid regeneration units |
8419 89 10 , 8419 89 30 , or 8419 89 98 , 8479 89 97 or 8543 70 90 |
Thermal cracking units |
8479 89 97 or 8543 70 90 |
[Toluene and heavy aromatics] Transalkylation units |
8479 89 97 or 8543 70 90 |
Visbreakers |
8479 89 97 or 8543 70 90 |
Vacuum gas oil hydrocracking units |
ANNEX X
‘ANNEX XI
List of goods and technologies referred to in Article 3c(1)
CN Code |
Description |
88 |
Aircraft, spacecraft, and parts thereof |
ANNEX XI
‘ANNEX XII
List of legal persons, entities and bodies referred to in Article 5(2)(c)
Alfa Bank; |
Bank Otkritie; |
Bank Rossiya; and |
Promsvyazbank |
ANNEX XII
‘ANNEX XIII
List of legal persons, entities and bodies referred to in Article 5(4)(a)
Almaz-Antey; |
Kamaz; |
Novorossiysk Commercial Sea Port; |
Rostec (Russian Technologies State Corporation); |
Russian Railways; |
JSC PO Sevmash; |
Sovcomflot; and |
United Shipbuilding Corporation |