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:

• (a) ‘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 ([^E0001]);

• (b) ‘competent authorities’ means the competent authorities of the Member States as identified on the websites listed in Annex I;

• (c) ‘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;

• (d) ‘brokering services’ means:
• (i) 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
• (ii) 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;

• (e) ‘investment services’ means the following services and activities:
• (i) reception and transmission of orders in relation to one or more financial instruments;
• (ii) execution of orders on behalf of clients;
• (iii) dealing on own account;
• (iv) portfolio management;
• (v) investment advice;
• (vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis;
• (vii) placing of financial instruments without a firm commitment basis;
• (viii) any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;

• (f) ‘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:
• (i) shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares,
• (ii) bonds or other forms of securitised debt, including depositary receipts in respect of such securities,
• (iii) 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;

• (g) ‘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;

• (h) ‘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;

• (i) ‘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;

• (j) ‘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 ([^E0002]);

• (k) ‘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:
• (i) 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 ([^E0003]), 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;
• (ii) its principal is not repayable at par;
• (iii) its principal is only repayable at par under a particular guarantee or agreement provided by the credit institution or a third party;

• (l) ‘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;

• (m) ‘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;

• (n) ‘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);

• (o) ‘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;

• (p) ‘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;

• (q) ‘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;

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

• (s) ‘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;

• (t) ‘credit rating activities’ means data and information analysis and the evaluation, approval, issuing and review of credit ratings;

• (u) ‘energy sector’ means a sector covering the following activities with the exception of civil nuclear related activities, such as the Paks II project:
• (i) 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;
• (ii) the manufacture or distribution within Russia of solid fossil fuel products, refined petroleum products or gas; or
• (iii) 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;

• (v) ‘public procurement Directives’ means Directives 2014/23/EU ([^E0004]), 2014/24/EU ([^E0005]), 2014/25/EU ([^E0006]) and 2009/81/EC ([^E0007]) of the European Parliament and of the Council;

• (w) ‘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;

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

• (y) ‘critical entities’ means entities as defined in Article 2(1) of Directive (EU) 2022/2557 of the European Parliament and of the Council ([^E0008]);

• (z) ‘critical infrastructure’ means infrastructure as defined in Article 2(a) of Council Directive 2008/114/EC ([^E0009]) and Article 2(4) of Directive (EU) 2022/2557;

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

• (zb) ‘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;

• (zc) ‘partner country for importation of iron and steel’ means a country applying a set of restrictive measures on imports of iron and steel substantially equivalent to those set out in Article 3g, and a set of import control measures substantially equivalent to those set out in that Article, as identified in Annex XXXVI;

• (zd) ‘funds’ means financial assets and benefits of every kind, including, but not limited to:
• (i) cash, cheques, claims on money, drafts, money orders and other payment instruments;
• (ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;
• (iii) publicly- and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;
• (iv) interest, dividends or other income on or value accruing from or generated by assets;
• (v) credit, right of set-off, guarantees, performance bonds or other financial commitments;
• (vi) letters of credit, bills of lading, bills of sale; and
• (vii) documents showing evidence of an interest in funds or financial resources;

• (ze) ‘non-governmental organisation’ means a voluntary self-governing body or organisation established to pursue the essentially non-profit-making objectives of its founders or members;

• (zf) ‘transshipment operation’ means:
• (i) ship-to-ship transfer, which is a simultaneous unloading and reloading operation with direct transfer from one liquefied natural gas vessel to another liquefied natural gas vessel; or
• (ii) ship-to-shore transfer and reloading, which includes activities such as the unloading of liquefied natural gas from a vessel to a terminal tank, the stocking of liquefied natural gas into the tank, and the reloading onto a vessel; those activities can be commercialised as individual services or as bundled services;

• (zg) ‘partner country for importation of petroleum products’ means a country applying a set of restrictive measures on imports of crude oil and petroleum products substantially equivalent to those provided for in Article 3m, as set out in Annex LI;

• (zh) ‘crypto-asset’ means crypto-asset as defined in Article 3(1), point (5), of Regulation (EU) 2023/1114 of the European Parliament and of the Council ([^E0010]);

• (zi) ‘payment services’ means services as defined in Article 4(3) of Directive (EU) 2015/2366 of the European Parliament and of the Council ([^E0011]);

• (zj) ‘services directly related to tourism activities’ means the following services:
• (i) travel agency and tour operator services, including services rendered for passenger travel by travel agencies and tour operators, and similar services; travel information, advice and planning services; services related to the arrangement of tours, accommodation, passenger and baggage transportation; ticket issuance services;
• (ii) tourist guide services;
• (iii) advertising services related to the services referred to in points (i) and (ii).

• (zk) ‘LNG terminal services’ means services provided by liquified natural gas (LNG) system operators to customers, in particular offloading, storage, sending out, berthing (loading and unloading), regassification, backhaul liquefaction, truck loading, bunkering of LNG falling under CN code 2711 11 00 , and including ancillary services and temporary storage necessary for the re-gasification process and subsequent delivery to the transmission system;

• (zl) ‘managed security service’ means a managed security service as defined in point (14a) of Article 2 of Regulation (EU) 2019/881 of the European Parliament and of the Council ([^E0012]).

Article 2

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.

• (a) 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;

• (b) 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;

• (c) 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.

• (a) 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; or

• (b) medical or pharmaceutical purposes, provided that they are not listed in Annex XL to this Regulation.

The exporter shall declare in the customs declaration that the items are being exported under the relevant exemption 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 per recipient in Russia of the relevant exemption.

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 paragraph 3 of this Article.

3b. Member States shall provide for reporting requirements attached to the use of exemptions under paragraph 3 and any additional information on items exported under those exemptions that the Member State where the exporter is resident or established requires.

• (b) intergovernmental cooperation in space programmes;

• (c) the operation, maintenance, fuel reprocessing and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;

• (d) maritime safety;

• (e) civilian electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;

• (f) 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;

• (g) the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;

• (h) ensuring cyber security and information security for legal persons, entities and bodies in Russia which are 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;

• (i) software updates;

• (j) use as consumer communication devices; or

• (k) medical or pharmaceutical purposes, provided that they are listed in Annex XL to this Regulation.

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) (h), and (k) of paragraph 4 of this Article.

• (i) 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 of this Article or the provision of related technical or financial assistance is allowed under point (a) of Article 2b(1b);

• (ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 of this Article or the provision of related technical or financial assistance is intended for aviation or the space industry; or

• (iii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 of this Article 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 and paragraph 4a of Article 3k.

Article 2a

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.

1aa. Without prejudice to the prohibition on indirect exports in paragraph 1 of this Article and Article 4 of Regulation (EU) 2021/821, an authorisation shall be required for the export of 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 to this Regulation, to any third country other than Russia, if the exporter has been informed by the competent authority of the Member State where the exporter is resident or established that the items in question are or may be intended, in their entirety or in part, for any natural or legal person, entity or body in Russia, or for use in Russia.

• (a) 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;

• (b) 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;

• (c) 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.

• (a) 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; or

• (b) medical or pharmaceutical purposes, provided that they are not listed in Annex XL to this Regulation.

The exporter shall declare in the customs declaration that the items are being exported under the relevant exemption 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 per recipient in Russia of the relevant exemption.

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 paragraph 3.

3b. Member States shall provide for reporting requirements attached to the use of exemptions under paragraph 3 and any additional information on items exported under those exemptions that the Member State where the exporter is resident or established requires.

• (b) intergovernmental cooperation in space programmes;

• (c) the operation, maintenance, fuel reprocessing and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;

• (d) maritime safety;

• (e) civilian electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;

• (f) 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;

• (g) the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;

• (h) ensuring cyber-security and information security for legal persons, entities and bodies in Russia which are 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;

• (i) 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;

• (j) software updates;

• (k) use as consumer communication devices; or

• (l) medical or pharmaceutical purposes, provided that they are listed in Annex XL to this Regulation.

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), (h) and (l) of paragraph 4 of this Article.

6a. Where an authorisation is required in accordance with paragraph 1aa, the competent authorities shall proceed in accordance with the rules and procedures laid down in Article 4 of Regulation (EU) 2021/821, which shall apply mutatis mutandis.

• (i) 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 of this Article or the provision of related technical or financial assistance is allowed under point (a) of Article 2b(1b);

• (ii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 of this Article or the provision of related technical or financial assistance is intended for aviation or the space industry; or

• (iii) the sale, supply, transfer or export of goods and technology referred to in paragraph 1 of this Article 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 and paragraph 4a of Article 3k.

Article 2aa

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.

• (a) 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;

• (b) 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;

• (c) 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

1a. It shall be prohibited to:

• (a) 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 listed in Annex IV;

• (b) 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 listed in Annex IV;

• (c) 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 listed in Annex IV.

1b. By way of derogation from paragraphs 1 and 1a of this Article, and without prejudice to the authorisation requirements pursuant to Regulation (EU) 2021/821, the competent authorities may allow the sale, supply, transfer or export of dual-use goods and technology, as well as goods and technology as listed in Annex VII, or the provision of related technical or financial assistance only after having determined that:

• (a) 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

• (b) 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 2c

Article 2d

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.

3a. When a Member State grants an authorisation in accordance with Articles 2(4)(d), 2a(4)(d) and 3f(4) for the sale, supply, transfer or export of the goods and technology intended for maritime safety, it shall inform the other Member States and the Commission within two weeks of the authorisation.

Article 2e

• (a) binding financing or financial assistance commitments established prior to 26 February 2022;

• (c) the provision of public financing or financial assistance for trade in food, and for agricultural, medical or humanitarian purposes.

2a. By way of derogation from paragraph 1, the competent authorities may authorise, under such conditions as they deem appropriate, 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.

Article 2f

1a. The prohibition in paragraph 1 shall also apply to online content of a legal person, entity or body that operates as a mirror entity of a legal person, entity or body referred to in paragraph 1, where at least two of the following criteria are met:

• (a) substantially identical content or feeds;

• (b) continuity of branding, design or user interface;

• (c) overlapping ownership, control or management;

• (d) redirection or migration of users from a legal person, entity or body referred to in paragraph 1;

• (e) continuity of technical infrastructure, including use of the same code base, domains or applications.

Article 3

1a. It shall be prohibited to sell, supply, transfer, export or provide, directly or indirectly, software as listed in Annex II to any natural or legal person, entity or body in Russia, including its Exclusive Economic Zone and Continental Shelf, or for use in Russia, including its Exclusive Economic Zone and Continental Shelf.

• (a) provide technical assistance, brokering services or other services related to the software referred to in paragraph 1a and to the provision, manufacture, maintenance and use of that software, directly or indirectly to any natural or legal person, entity or body in Russia, or for use in Russia;

• (b) provide financing or financial assistance related to the software referred to in paragraph 1a for any sale, supply, transfer or export of that software, 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;

• (c) 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 software referred to in paragraph 1a and to the provision, manufacture, maintenance and use of that software, directly or indirectly to any natural or legal person, entity or body in Russia or for use in Russia.

• (a) the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 3m or 3n, from or through Russia into the Union; or

• (b) the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.

• (a) it is necessary for ensuring critical energy supply within the Union; or

• (b) 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 3a

• (a) 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, including projects under construction for the production of liquified natural gas;

• (b) 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;

• (c) 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;

• (d) provide investment services directly related to the activities referred to in points (a), (b) and (c).

• (a) 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 mining and quarrying sector in Russia;

• (b) 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 mining and quarrying sector in Russia, or for the documented purpose of financing such a legal person, entity or body;

• (c) 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 mining and quarrying sector in Russia;

• (d) provide investment services directly related to the activities referred to in points (a), (b) and (c).

• (a) it is necessary to ensure critical energy supply within the Union, as well as the transport of natural gas and oil, including refined petroleum products, unless prohibited under Article 3m or 3n, from or through Russia into the Union; or

• (b) 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.

3a. By way of derogation from point (b) of paragraph 1 of this Article, the competent authorities may authorise, under such conditions as they deem appropriate, any activity referred to therein after having determined that, in accordance with point (b) of Article 5aa(3), such an activity is necessary to ensure the operation of a deep-water offshore gas project in the Mediterranean Sea in which a legal person, entity or body listed in Annex XIX was a minority shareholder before 31 October 2017 and remains so, provided that the project is solely or jointly controlled or operated by a legal person incorporated or constituted under the law of a Member State.

3b. By way of derogation from paragraph 2, the competent authorities may authorise mining and quarrying activities that yield their highest value from, or have as their primary objective, the production of any of the materials listed in Annex XXX.

Article 3b

• (a) 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.

• (b) 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;

• (c) 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.

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

1a. The transit via the territory of Russia of goods and technology suited for use in aviation or the space industry, as listed in Annex XI, and of jet fuel and fuel additives, as listed in Annex XX, exported from the Union, shall be prohibited.

• (a) 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.

• (b) 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.

• (c) 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.

• (a) 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 Regulation; and

• (b) 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.

6a. By way of derogation from paragraphs 1 and 4, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods listed in Part B of Annex XI, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is necessary for the production of titanium goods required in the aeronautic industry, for which no alternative supply is available.

6b. By way of derogation from paragraph 4, the competent authorities may authorise, under such conditions as they deem appropriate, the provision of technical assistance, related to the use of the goods and technology referred to in paragraph 1, after having determined that the provision of such technical assistance is necessary for avoiding collision between satellites, or their unintended re-entry into the atmosphere.

6c. By way of derogation from paragraphs 1 and 4, the competent authorities may authorise, under such conditions as they deem appropriate, the sale, supply, transfer or export of the goods falling under CN codes 8517 71 00 , 8517 79 00 and 9026 00 00 listed in Part B of Annex XI, or related technical assistance, brokering services, financing or financial assistance, after having determined that it is necessary for medical or pharmaceutical purposes, or 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.

When deciding on requests for authorisations for medical, pharmaceutical or humanitarian purposes in accordance with this paragraph, the national competent authorities shall not grant an authorisation for exports to any natural or legal person, entity or body in Russia or for use in Russia, if they have reasonable grounds to believe that the goods might have a military end-use.

6d. By way of derogation from paragraph 1a, the competent authorities may authorise the transit via the territory of Russia of goods and technology suited for use in aviation or the space industry, as listed in Annex XI, and of jet fuels and fuel additives as listed in Annex XX, after having determined that such goods or technology are intended for the purposes set out in paragraphs 6a, 6b and 6c of this Article.

6e. By way of derogation from paragraph 1, the competent authorities may authorise the sale, supply, transfer or export of the goods listed in Part B of Annex XI, if the goods are 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.

6f. By way of derogation from paragraphs 1, 2 and 4, the competent authorities may authorise, under such conditions as they deem appropriate, the export and transfer of the goods falling under CN code 9026 00 00, as listed in Part B of Annex XI, that are physically located in the Union as of 25 June 2024 for the purposes of maintenance or repairs, or the provision of related technical assistance, brokering services or other services, insurance or reinsurance, or financing or financial assistance, after having determined that it is strictly necessary for the functioning of the Sakhalin-2 (Сахалин-2) Project to ensure Japan’s energy security.

Article 3d

1a. Without prejudice to paragraph 5, aircraft operators shall provide, for non-scheduled flights, information needed for the purpose of verifying compliance with paragraph 1, including among other information:

• (a) credible and satisfactory information regarding the actual ultimate beneficial owner of the aircraft and, where applicable, of the natural or legal person, entity or body ultimately chartering the aircraft; and

• (b) a general declaration, passenger manifest and other official documents displaying the full names, birth dates, birth places and nationalities of all passengers and the crew members, where reasonable grounds to suspect circumvention of the prohibition in paragraph 1 exist, based on factors such as routing and origin of the flight, or information about the relevant operator.

The information shall be provided upon request of the competent authorities of the Member State of departure, destination or overflying.

The information shall be provided in advance of landing in, taking off from or overflying the territory of the Union, within a deadline set by the competent authorities of the Member State or Member States concerned.

Any processing of personal data pursuant to this paragraph shall be carried out in accordance with this Regulation and with Regulation (EU) 2016/679 of the European Parliament and of the Council ([^E0015]) and Regulation (EU) 2018/1725 of the European Parliament and of the Council ([^E0016]) and only in so far as necessary for the application of this Regulation.

1b. It shall be prohibited for air carriers operating domestic flights within Russia or selling, supplying, transferring or exporting, directly or indirectly, aircraft, or any of the goods or technology referred to in Article 3c(1) to a Russian air carrier or for flights within Russia, as listed in Annex XLVI, as well as for any entity owned or controlled by such air carrier, to land in, take off from or overfly the territory of the Union.

3a. By way of derogation from paragraph 1 of this Article, unmanned aircraft operated in the ‘open’ category, as defined in Article 4 of Commission Implementing Regulation (EU) 2019/947 ([^E0017]), and used for private, non-commercial, non-corporate flights carried out within Union territory and airspace for recreational purposes, may be authorised by the competent authorities, under such conditions as they deem appropriate, to land in, take off from or overfly the territory of the Union.

Article 3e

Article 3ea

1a. The prohibition in paragraph 1 shall also apply, after 8 April 2023, to any vessel certified by the Russian Maritime Register of Shipping.

• (a) a ship falling within the scope of the relevant international conventions, including replicas of historical ships;

• (b) a yacht, of 15 metres in length or more, which does not carry cargo and carrying no more than 12 passengers; or

• (c) recreational craft or personal watercraft as defined in Directive 2013/53/EU of the European Parliament and of the Council ([^E0018]).

• (a) unless prohibited under Article 3m or 3n, 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 as listed in Annex XXIV;

• (b) 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 Regulation;

• (c) humanitarian purposes; or

• (d) transport of nuclear fuel and other goods strictly necessary for the functioning of civil nuclear capabilities.

5a. By way of derogation from paragraph 2, the competent authorities may authorise vessels that have changed their Russian flag or their registration, to the flag or register of any other State prior to 16 April 2022, to access a port or a lock, under such conditions as they deem appropriate, after having determined that:

• (a) a Russian flag or registration was required by contract; and

• (b) the access is necessary for operations strictly necessary for the completion of renewable energy projects in the Union.

5b. By way of derogation from paragraph 2, the competent authorities may authorise, under such conditions as they deem appropriate, a vessel to access a port or lock provided that it:

• (a) has flown the Russian Federation flag under a bareboat charter registration initially effected prior to 24 February 2022;

• (b) has resumed its right to fly the flag of the underlying Member State registry before 31 January 2023; and

• (c) is not owned, chartered, operated or otherwise controlled by a Russian national or any legal person, entity or body incorporated or constituted under the law of the Russian Federation.

5c. By way of derogation from paragraph 2, the competent authorities may authorise vessels that have changed their Russian flag to the flag of any other State prior to 16 April 2022, to access a port or a lock, under such conditions as they deem appropriate, after having determined that the vessel:

• (a) was declared abandoned under the law of a Member State prior to 24 February 2022;

• (b) was subject to a forced sale by the competent national authorities of a Member State prior to 24 February 2022; and

• (c) was physically located in the territory of a Member State at the time of the forced sale.

Article 3eb

Article 3ec

Article 3f

• (a) 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.