Ga verder naar contentGa verder naar content en skip ook inhoudsopgave
SduIn- en Uitvoer
Home

Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

Article 1

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

  1. ‘dual-use goods and technology’ means the items listed in Annex I to Regulation (EU) 2021/821 of the European Parliament and of the Council(1);

  2. ‘competent authorities’ means the competent authorities of the Member States as identified on the websites listed in Annex I;

  3. ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including verbal forms of assistance;

  4. ‘brokering services’ means:

    1. the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country, or

    2. the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country;

  5. ‘investment services’ means the following services and activities:

    1. reception and transmission of orders in relation to one or more financial instruments;

    2. execution of orders on behalf of clients;

    3. dealing on own account;

    4. portfolio management;

    5. investment advice;

    6. underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;

    7. placing of financial instruments without a firm commitment basis;

    8. any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

  6. ‘transferable securities’ means the following classes of securities, including in the form of crypto-assets, which are negotiable on the capital market, with the exception of instruments of payment:

    1. shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares,

    2. bonds or other forms of securitised debt, including depositary receipts in respect of such securities,

    3. any other securities giving the right to acquire or sell any such transferable securities or giving rise to a cash settlement determined by reference to transferable securities;

  7. ‘money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers and excluding instruments of payment;

  8. ‘credit institution’ means an undertaking, the business of which is to take deposits or other repayable funds from the public and to grant credit for its own account;

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

  10. ‘central securities depository’ means a legal person as defined in point 1 of Article 2(1) of Regulation (EU) No 909/2014 of the European Parliament and of the Council(2);

  11. ‘deposit’ means a credit balance which results from funds left in an account or from temporary situations deriving from normal banking transactions and which a credit institution is required to repay under the legal and contractual conditions applicable, including a fixed-term deposit and a savings deposit, but excluding a credit balance where:

    1. its existence can only be proven by a financial instrument as defined in Article 4(1)(15) of Directive 2014/65/EU of the European Parliament and of the Council(3), unless it is a savings product which is evidenced by a certificate of deposit made out to a named person and which exists in a Member State on 2 July 2014;

    2. its principal is not repayable at par;

    3. its principal is only repayable at par under a particular guarantee or agreement provided by the credit institution or a third party;

  12. ‘investor citizenship schemes’ (or ‘golden passports’) means the procedures put in place by a Member State, which allow third-country nationals to acquire its nationality in exchange for pre-determined payments and investments;

  13. ‘investor residence schemes’ (or ‘golden visas’) means the procedures put in place by a Member State, which allow third-country nationals to obtain a residence permit in a Member State in exchange for pre-determined payments and investments;

  14. ‘trading venue’, as defined in Article 4(1)(24) of Directive 2014/65/EU, means a regulated market, a multilateral trading facility (MTF) or an organised trading facility (OTF);

  15. ‘financing or financial assistance’ means any action, irrespective of the particular means chosen, whereby the person, entity or body concerned, conditionally or unconditionally, disburses or commits to disburse its own funds or economic resources, including but not limited to grants, loans, guarantees, suretyships, bonds, letters of credit, supplier credits, buyer credits, import or export advances and all types of insurance and reinsurance, including export credit insurance; payment as well as terms and conditions of payment of the agreed price for a good or a service, made in line with normal business practice, do not constitute financing or financial assistance;

  16. ‘partner country’ means a country applying a set of export control measures substantially equivalent to those set out in this Regulation, as identified in Annex VIII;

  17. ‘consumer communication devices’ means devices used by private individuals such as personal computers and peripherals (including hard drives and printers), mobile telephones, smart televisions, memory devices (USB drives), and consumer software for all of these items;

  18. ‘Russian air carrier’ means an air transport undertaking holding a valid operating licence or equivalent issued by the competent authorities of the Russian Federation;

  19. ‘credit rating’ means an opinion regarding the creditworthiness of an entity, a debt or financial obligation, debt security, preferred share or other financial instrument, or of an issuer of such a debt or financial obligation, debt security, preferred share or other financial instrument, issued using an established and defined ranking system of rating categories;

  20. ‘credit rating activities’ means data and information analysis and the evaluation, approval, issuing and review of credit ratings;

  21. ‘energy sector’ means a sector covering the following activities with the exception of civil nuclear related activities:

    1. the exploration, production, distribution within Russia or mining of crude oil, natural gas or solid fossil fuels, the refining of fuels, the liquefaction of natural gas or regasification;

    2. the manufacture or distribution within Russia of solid fossil fuel products, refined petroleum products or gas; or

    3. the construction of facilities or installation of equipment for, or the provision of services, equipment or technology for, activities related to power generation or electricity production;

  22. ‘public procurement Directives’ means Directives 2014/23/EU(4), 2014/24/EU(5), 2014/25/EU(6) and 2009/81/EC(7) of the European Parliament and of the Council;

  23. ‘road transport undertaking’ means any natural or legal person, entity or body engaged with a commercial purpose in the transport of freight by means of motor vehicles or combinations of vehicles;

  24. ‘mining and quarrying sector’ means a sector covering the location, extraction, management and processing activities relating to non-energy producing materials;

  25. ‘critical entities’ means entities as defined in Article 2(1) of Directive (EU) 2022/2557 of the European Parliament and of the Council(8);

  26. ‘critical infrastructure’ means infrastructure as defined in Article 2(a) of Council Directive 2008/114/EC(9) and Article 2(4) of Directive (EU) 2022/2557;

  27. ‘European critical infrastructure’ means infrastructure as defined in Article 2(b) of Directive 2008/114/EC;

  28. ‘owners or operators of critical infrastructures’ means those entities responsible for investments in, and/or day- to-day operation of, a particular asset, system or part thereof designated as critical infrastructure or European critical infrastructure.

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.

1a.

The transit via the territory of Russia of the dual-use goods and technology, as referred to in paragraph 1, exported from the Union shall be prohibited.

2.

It shall be prohibited to:

  1. 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;

  2. 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;

  3. sell, license or transfer in any other way intellectual property rights or trade secrets as well as grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets 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.

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:

  1. 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;

  2. medical or pharmaceutical purposes;

  3. temporary export of items for use by news media;

  4. software updates;

  5. use as consumer communication devices; or

  6. 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 point (g) of the first subparagraph, 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.

3a.

Without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the prohibition in paragraph 1a of this Article shall not apply to the transit via the territory of Russia of dual-use goods and technology intended for the purposes set out in points (a) to (e) of paragraph 3 of this Article.

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:

  1. intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

  2. intended for intergovernmental cooperation in space programmes;

  3. 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;

  4. intended for maritime safety;

  5. 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;

  6. 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;

  7. intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;

  8. intended for 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.

4a.

By way of derogation from paragraph 1a, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may authorise the transit via the territory of Russia of dual-use goods and technology after having determined that such goods or technology are intended for the purposes set out in points (b), (c), (d), and (h) of paragraph 4 of this Article.

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:

  1. 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 2b;

  2. 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

  3. 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 3.

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.

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.

1a.

The transit via the territory of Russia of goods and technology which might contribute to Russia’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex VII, exported from the Union, shall be prohibited.

2.

It shall be prohibited to:

  1. 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 these goods and technology, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;

  2. 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;

  3. sell, license or transfer in any other way intellectual property rights or trade secrets as well as grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets 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.

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:

  1. 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;

  2. medical or pharmaceutical purposes;

  3. temporary export of items for use by news media;

  4. software updates;

  5. use as consumer communication devices; or

  6. 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 point (g) of the first subparagraph, 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.

3a.

The prohibition in paragraph 1a shall not apply to the transit via the territory of Russia of goods and technology which might contribute to Russia’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex VII, intended for the purposes set out in points (a) to (e) of paragraph 3.

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:

  1. intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;

  2. intended for intergovernmental cooperation in space programmes;

  3. 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;

  4. intended for maritime safety;

  5. 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;

  6. 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

  7. intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;

  8. intended for 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

  9. intended for the exclusive use and under the full control of the authorising Member State and in order to fulfil its maintenance obligations in areas which are under a long-term lease agreement between that Member State and the Russian Federation.

4a.

By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Russia of goods and technology which might contribute to Russia’s military and technological enhancement or to the development of its defence and security sector, as listed in Annex VII, after having determined that such goods or technology are intended for the purposes set out in points (b), (c), (d), and (h) of paragraph 4.

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:

  1. 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 2b;

  2. 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

  3. 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 3.

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.

Article 2aa

1.

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, firearms, their parts and essential components and ammunition as listed in Annex I to Regulation (EU) No 258/2012 of the European Parliament and of the Council(10) and firearms and other arms as listed in Annex XXXV to this Regulation, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia.

1a.

The transit via the territory of Russia of firearms, their parts and essential components and ammunition, as referred to in paragraph 1, exported from the Union shall be prohibited.

2.

It shall be prohibited to:

  1. provide technical assistance, brokering services or other services related to the goods referred to in paragraph 1 and to the provision, manufacture, maintenance and use of those goods, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia;

  2. provide financing or financial assistance related to the goods referred to in paragraph 1 for any sale, supply, transfer or export of those goods, 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;

  3. sell, license or transfer in any other way intellectual property rights or trade secrets as well as grant rights to access or re-use any material or information protected by means of intellectual property rights or constituting trade secrets 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.

Article 2b

1.

With regard to the natural or legal persons, entities or bodies 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:

  1. 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

  2. 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.

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

Article 2d

Article 2e

Article 2f

Article 3

Article 3a

Article 3b

Article 3c

Article 3d

Article 3e

Article 3ea

Article 3eb

Article 3ec

Article 3f

Article 3g

Article 3h

Article 3i

Article 3k

Article 3l

Article 3m

Article 3n

Article 3o

Article 4

Article 5

Article 5a

Article 5aa

Article 5b

Article 5c

Article 5d

Article 5e

Article 5f

Article 5g

Article 5h

Article 5i

Article 5j

Article 5k

Article 5l

Article 5m

Article 5n

Article 5o

Article 5p

Article 5q

Article 6

Article 6a

Article 6b

Article 7

Article 7a

Article 8

Article 9

Article 10

Article 11

Article 12

Article 12a

Article 12b

Article 12c

Article 12d

Article 12e

Article 12f

Article 13

Article 14

ANNEX I

ANNEX IIList of items referred to in Article 3

ANNEX IIIList of legal persons, entities and bodies referred to in Article 5(1)(a)

ANNEX IV

ANNEX VList of legal persons, entities and bodies referred to in Article 5(3)(a)

ANNEX VIList of legal persons, entities and bodies referred to in Article 5(3)(b)

ANNEX VIIList of goods and technology referred to in Articles 2a(1) and 2b(1)

ANNEX VIIIList of partner countries referred to in Articles 2(4), 2a(4), 2d(4), 3h(3), 3k(4) and 5n(7)

ANNEX IX

ANNEX XList of goods and technologies referred to in Article 3b(1)

ANNEX XI

ANNEX XIIList of legal persons, entities and bodies referred to in Article 5(2)

ANNEX XIIIList of legal persons, entities and bodies referred to in Article 5(4)(a)

ANNEX XIV

ANNEX XVList of legal persons, entities or bodies referred to in article 2f

ANNEX XVIList of goods and technology referred to in article 3f

ANNEX XVIIList of iron and steel products referred to in Article 3g

ANNEX XVIIIList of luxury goods referred to in Article 3h

ANNEX XIX

ANNEX XX

ANNEX XXIList of goods and technology referred to in Article 3i

ANNEX XXIIIList of goods and technolgy as referred to in Article 3k

ANNEX XXIVList of goods as referred to in Article 3ea(5)(a)

ANNEX XXV

ANNEX XXVIList of goods as referred to in article 3o(1) and (2)

ANNEX XXVIIList of goods as referred to in article 3o(3)

ANNEX XXVIIIPrices referred to in Article 3n(6)(a)

ANNEX XXIXList of projects referred to in Article 3n(6)(c)

ANNEX XXX

ANNEX XXXI

ANNEX XXXII

ANNEX XXXIIIList of goods and technology and countries as referred to in Article 12f

ANNEX XXXVList of firearms and other arms referred to in Article 2aa