Russia

The Russian Federation has been under EU arms embargo since July 2014 (Decision 2014/512/CFSP and Regulation 833/2014).

In view of the military aggression by Russia against Ukraine in February 2022, on 25 February 2022 the Council adopted Decision 2022/327/CFSP, amending Decision 2014/512/CFSP and imposing further restrictive measures in various sectors, particularly defence, energy, aviation and finance. It also adopted Regulation 2022/328, amending Regulation 833/2014 on dual-use goods and technology.

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, provides for a set of general sanctions and a set of targeted sanctions against individuals and entities.

1. Conventional weapons

Prohibitions

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• The direct or indirect sale, supply, transfer or export of arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and spare parts therefor, to Russia (Decision 2014/512/CFSP, art.2, para.1). It also prohibits the provision of technical assistance, brokering services, financial assistance or financing related to military activities and to the provision, manufacture, maintenance and use of the items aforementioned (Decision 2014/512/CFSP, art.2, para.2 and Regulation 833/2014, art.4, para. 1, a and b).
• The direct or indirect sale, supply, transfer or export of firearms, their parts and essential components and ammunition as listed in Annex I to Regulation 258/2012 firearms and other arms as listed in Annex XXXV to this Regulation, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.3aa, para.1 and Regulation 833/2014, art. 2aa, para.1). It also prohibits the provision of technical assistance, brokering services, financial assistance or financing related to military activities and to the provision, manufacture, maintenance and use of the items aforementioned (Decision 2014/512/CFSP, art.3aa, para.2 and Regulation 833/2014, art. 2aa, para.2).
• The direct or indirect import, purchase or transport of arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and spare parts therefor, from Russia (Decision 2014/512/CFSP, art.2, para.3).

Exceptions

However, the sanctions regime provides for several exceptions :

• The provision of spare parts and services necessary for the maintenance, repair and safety of existing capabilities within the Union (Decision 2014/512/CFSP, art.2, para.4a and Regulation 833/2014, art.4, para.2, b).

2. Dual use items

Prohibitions

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• The direct or indirect sale, supply, transfer or export of all dual-use goods and technology listed in Annex I to Regulation 2021/821 to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.3, para.1 and Regulation 833/2014, art.2, para.1).
• The provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.3, para.2 and Regulation 833/2014, art.2, para.2).

Exceptions

However, the sanctions regime provides for several exceptions :

• The direct or indirect sale, supply, transfer or export of all 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 (Decision 2014/512/CFSP, art.3, para.3 and Regulation 833/2014, art.2, para.3) :
  • humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;
  • medical or pharmaceutical purposes;
  • temporary export of items for use by news media;
  • software updates;
  • use as consumer communication devices; or
  • personal use by natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

With the exception of the last point, 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 (Decision 2014/512/CFSP, art.3, para.3 and Regulation 833/2014, art.2, para.3).

• 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 (Decision 2014/512/CFSP, art.3, para.4 and Regulation 833/2014, art.2, para.4) :
  • intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;
  • intended for intergovernmental cooperation in space programmes;
  • intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;
  • intended for maritime safety;
  • intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;
  • intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country;
  • intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;
  • 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.

3. Others Prohibitions

Prohibitions on goods and technology which might contribute to Russia’s military and technological enhancement

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• The direct or indirect sale, supply, transfer or export of goods and technology which might contribute to Russia’s military and technological enhancement, or the development of the defence and security sector, whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.3a, para.1 and Regulation 833/2014, art.2a, para.1). These goods and technology are listed in Annex VII of Regulation 833/2014. It also prohibits the provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.3a, para.2 and Regulation 833/2014, art.2a, para.2).

The direct or indirect sale, supply, transfer or export of sensitive dual-use goods and technology, or goods and technology that might contribute to the enhancement of Russia’s military, technological or industrial capacities or to the development of Russia’s defence and security sector to any natural or legal person, entity or body in the third country specified in Annex XV (Decision 2014/512/CFSP, art.5a, para.1). These goods and technologies are listed in Annex XIV of Decision 2014/512/CFSP. It also prohibits the provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.5a, para.2).

Exceptions for goods and technology which might contribute to Russia’s military and technological enhancement

However, the sanctions regime provides for several exceptions :

• The direct or indirect sale, supply, transfer or 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 well as the provision of related technical assistance and financial aid, for non-military use and for a non-military end-user, intended for (Decision 2014/512/CFSP, art.3a, para.3 and Regulation 833/2014, art.2a, para.3) :
  • humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters;
  • medical or pharmaceutical purposes;
  • temporary export of items for use by news media;
  • software updates;
  • use as consumer communication devices; or
  • personal use of natural persons travelling to Russia or members of their immediate families travelling with them, and limited to personal effects, household effects, vehicles or tools of trade owned by those individuals and not intended for sale.

With the exception of the last point, 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 (Decision 2014/512/CFSP, art.3a, para.3 and Regulation 833/2014, art.2a, para.3).

• The direct or indirect sale, supply, transfer or export of goods and technology aforementioned, as well as the provision of related technical assistance and financial aid, 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 (Decision 2014/512/CFSP, art.3a, para.4 and Regulation 833/2014, art.2a, para.4):
  • intended for cooperation between the Union, the governments of Member States and the government of Russia in purely civilian matters;
  • intended for intergovernmental cooperation in space programmes;
  • intended for the operation, maintenance, fuel retreatment and safety of civil nuclear capabilities, as well as civil nuclear cooperation, in particular in the field of research and development;
  • intended for maritime safety;
  • intended for civilian non-publicly available electronic communications networks which are not the property of an entity that is publicly controlled or with over 50 % public ownership;
  • intended for the exclusive use of entities owned, or solely or jointly controlled by a legal person, entity or body which is incorporated or constituted under the law of a Member State or of a partner country;
  • intended for the diplomatic representations of the Union, Member States and partner countries, including delegations, embassies and missions;
  • 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.
  • 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.

Prohibitions on maritime navigation goods and technology

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• The direct or indirect sale, supply, transfer or export of maritime navigation goods and technology, whether or not originating in the Union, to any natural or legal person, entity or body in Russia, for use in Russia, or for the placing on board of a Russian-flagged vessel (Decision 2014/512/CFSP, art.4h, para.1 and Regulation 833/2014, art.3f, para.1).
• The provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.4h, para.2 and Regulation 833/2014, art.3f, para.2).

Exceptions for maritime navigation goods and technology

However, the sanctions regime provides for several exceptions :

• the sale, supply, transfer or export of the goods and technology aforementioned or to the related provision of technical and financial assistance, for non-military use and for a non-military end-user, intended for humanitarian purposes, health emergencies, the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or the environment, or as a response to natural disasters (Decision 2014/512/CFSP, art.4h, para.3 and Regulation 833/2014, art.3f, para.3).
• the sale, supply, transfer or export of the goods and technology aforementioned or the provision of related technical or financial assistance, for non-military use and for a non-military end-user, after having determined that such goods or technology or the related technical or financial assistance are intended for maritime safety (Decision 2014/512/CFSP, art.4h, para.4 and Regulation 833/2014, art.3f, para.4).

Prohibitions on goods and technology suited for use in aviation or the space industry

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• the sale, supply, transfer or export of goods and technology suited for use in aviation or the space industry (listed in Annex XI of Regulation 833/2014), as well as jet fuel and fuel additives (listed in Annex XX of Regulation 833/2014), whether or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.4d, para.1 and Regulation 833/2014, art.3c, para.1).
• The provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.4d, para.4 and Regulation 833/2014, art.3c, para.4).

Exceptions for goods and technology suited for use in aviation or the space industry

However, the sanctions regime provides for several exceptions :

• 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 (Decision 2014/512/CFSP, art.4d, para.6a and Regulation 833/2014, art.3c, para.6a).
• 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 évacuations (Decision 2014/512/CFSP, art.4d, para.6c and Regulation 833/2014, art.3c, para.6c).

Prohibitions on goods which could contribute to the enhancement of Russia’s industrial capacities

The current sanctions regime, as detailed in the updated versions of Decision 2014/512/CFSP and Regulation 833/2014, prohibits:

• the sale, supply, transfer or export of goods which could contribute in particular to the enhancement of Russia’s industrial capacities (listed in Annex XXIII of Regulation 833/2014) to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.4m, para.1 and Regulation 833/2014, art.3k, para.1), as well as the provision of technical assistance, brokering services, financial assistance or financing, as well as the sale or transfer of intellectual property rights or trade secrets, related to the items aforementioned, to any natural or legal person, entity or body in Russia or for use in Russia (Decision 2014/512/CFSP, art.4m, para.2 and Regulation 833/2014, art.3k, para.2).

Exceptions for goods which could contribute to the enhancement of Russia’s industrial capacities

However, the sanctions regime provides for several exceptions :

• the prohibitions shall not apply to goods which are necessary for the official purposes of diplomatic or consular missions of Member States or partner countries in Russia or of international organisations enjoying immunities in accordance with international law, or to the personal effects of their staff (Decision 2014/512/CFSP, art.4m, para.4 and Regulation 833/2014, art.3k, para.4).
• The competent authorities of the Member States may authorise, under the conditions they deem appropriate, the sale, supply, transfer or export of the goods and technology listed in Annex XXIII, 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 (Decision 2014/512/CFSP, art.4m, para.5 and Regulation 833/2014, art.3k, para.5):
  • 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; or
  • 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; or
  • the establishment, operation, maintenance, fuel supply and retreatment and safety of civil nuclear capabilities, and the continuation of design, construction and commissioning required for the completion of civil nuclear facilities, the supply of precursor material for the production of medical radioisotopes and similar medical applications, or critical technology for environmental radiation monitoring, as well as for civil nuclear cooperation, in particular in the field of research and development.

Others

Actions by natural or legal persons, entities or bodies shall not give rise to liability of any kind on their part, “if they did not know, and had no reasonable cause to suspect, that their actions would infringe the measures” set out in the regime of sanctions (Decision 2014/512/CFSP, art.6 and Regulation 833/2014, art.10).

On 29 January 2024, the European sanctions were extended until 31 Jully 2024.