Consolidated version on the implementation of Council Regulation No 833/2014 and Council Regulation No 269/2014 [Version of 26 July 2023]

The EC has published an updated consolidated version of its FAQs on the implementation of Council Regulation No 833/2014 and Council Regulation No 269/2014 in light of the ongoing conflict in Ukraine. The consolidated version includes FAQs concerning EU sanctions adopted following Russia’s military aggression against Ukraine.
Below we would like to present the new questions in full, together with a short summary of the corresponding answers:
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Section B „INDIVIDUAL FINANCIAL MEASURES.“, topic 1 „ASSET FREEZE AND PROHIBITION TO MAKE FUNDS AND ECONOMIC RESOURCES AVAILABLE“ (starting on page 21)
New Question 42 (p. 39) What is a firewall?
Answer: A ‚firewall‘ prevents designated persons from controlling EU entities‘ assets, allowing business operations while preventing funds access to designated persons. It’s authorized by NCAs based on Regulation Article 5.
New Question 43 (p. 39) Why was a derogation needed in connection to a firewall?
Answer: Asset freeze and funds prohibition (Article 2) hindered firewall setup. Derogation was required to provide necessary services and payments for firewall implementation.
New Question 44 (p. 40) When does the firewall derogation apply? What are the consequences if a derogation is granted but the firewall does not effectively decouple the listed person and the EU-based company?
Answer: Derogation permits frozen asset release or service provision, if firewall criteria met. Ineffective firewall means continued freezing. Non-compliance incurs penalties.
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Section D „TRADE AND CUSTOMS.“, topic 1 „CUSTOM-RELATED MATTERS“ (starting on page 102)
Amended Question 13 (p. 111) Until the adoption of the 11th sanctions package, Article 3j of Regulation (EU) No 833/2014 prohibited to purchase, import, or transfer, directly or indirectly, coal and other solid fossil fuels, as listed in Annex XXII into the Union if they originate in Russia or are exported from Russia. Have these restrictions been lifted? Does this prohibition applies to all CN-codes previously mentioned in the Annex XXII? Regardless, if: a) the products are coal-based or not? b) the products are solid or not?
Answer: Article 3j and Annex XXII were deleted, but coal import ban remains under Article 3i and Annex XXI. Deleted transitional periods don’t affect past contracts.
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Section D „TRADE AND CUSTOMS.“, topic 4 „LUXURY GOODS“ (starting on page 156)
New Question 9 (p. 159) Has the 11th sanctions package removed products from the ban on luxury goods?
Answer: Certain products were removed from Annex XVIII, but trade restrictions continue under different annexes, maintaining the ban on luxury goods.
New Question 10 (p. 160) What did the 11th sanctions package change to the export ban on luxury cars?
Answer: Luxury car bans moved to Annex XXIII, based on engine size. Electric and hybrid cars have full export bans. Some vehicles remain in Annex XVIII.
New Question 11 (p. 160) What happened to codes CN 401130 and CN 84110000 in the 11th sanctions package?
Answer: Codes 401130 (aircraft tires) and 84110000 (turbines) were removed from Annex XVIII. They remain banned under Annex XI irrespective of value.
New Question 12 (p. 160) Why is there a ban on technical assistance, brokering services, financing and financial assistance?
Answer: Article 3h prohibits exporting certain goods to Russia. The 11th package added bans on assistance, services, and financing to prevent circumvention.
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Section D „TRADE AND CUSTOMS.“, topic 5 „IMPORT, PURCHASE AND TRANSFER OF LISTED GOODS“ topic 6 „TRANSIT OF LISTED GOODS VIA RUSSIA“ (starting on page 161 / 170)
!Question 1-4 / 13-14 are just formal corrections
New Question 12 (p.168) How were the import bans amended in the 11th package?
Answer: Overlaps in iron and steel lists were removed in Annex XVII and XXI. Transitional periods expired, and certain coal import ban elements were deleted.
New Question 15 (p. 171) Is the transit of goods mentioned in Articles 2, 2a, 2aa, and 3c of Council Regulation No. 833/2014 from the Union through Russian territory to a third country allowed?
Answer: Transit through Russia is prohibited for certain goods (dual-use, military, aviation-related) under specific articles. Direct exports to third countries aren’t banned.
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Section E „ENERGY.“, topic 5 „OIL PRICE CAP“ (starting on page 197)
New Question 18c (p. 208) Can a vessel transporting Russian oil or petroleum products receive bunkering services?
Answer: EU ports prohibit tankers carrying Russian oil or petroleum products due to Article 3m of Regulation 833/2014. Access is possible if Russian products are purchased below the G7 Price Cap Coalition’s limit and are destined for a third country, complying with EU sanctions.
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Section G „SECTOR SPECIFIC QUESTIONS.“, topic 3 „ACCESS TO EU PORTS“ (starting on page 249)
New Question 13 (p. 253) In Article 3ea, paragraph 1a restricts access to ports and locks in the territory of the Union to any vessel certified by the Russian Maritime Register of Shipping. How should ‘vessel’ be understood?
Answer: Article 3ea’s prohibition applies to all vessels certified by the Russian Maritime Register of Shipping. The specific definition of ‚vessel‘ in paragraph 3 does not affect this provision, applying to all vessel types and sizes.
New Question 14 (p. 254) In Article 3ea, paragraph 1a, how should ‘certified’ by the Russian Maritime Register of Shipping be understood?
Answer: Article 3ea includes vessels with statutory or classification certification from the Russian Maritime Register of Shipping. EU-flagged vessels can’t have these certificates, and non-EU flagged vessels with them are barred from Union ports.
New Question 15 (p. 254) Can access to ports and locks in the territory of the Union be granted to a vessel that has changed its Russian flag or its registration, to the flag or register of any other State after 24 February 2022, in case it is in need of assistance seeking a place of refuge, or in case of an emergency port call for reasons of maritime safety, or for saving life at sea?
Answer: Article 3ea, paragraph 4, allows port access for vessels in need of refuge, emergency port calls, or life-saving reasons, even if they previously flew the Russian flag before 24 February 2022.
New Question 16 (p. 254) Do the prohibitions to access ports and locks in Article 3ea, 3eb and 3ec apply to anchorage areas?
Answer: Prohibitions apply to vessels at ports and anchorage within Member States‘ jurisdictions. The Gulf of Finland’s prohibitions extend to territorial and internal waters. Definitions from Directive 2009/16/EC apply, including anchored ships.
New Question 17 (p. 255) Which vessels are concerned by the prohibitions set out in Articles 3eb and 3ec?
Answer: The prohibitions apply to vessels, regardless of registration flag, calling into EU ports with Russian crude oil or petroleum products cargo.
New Question 18 (p. 255) Articles 3eb and 3ec refer to ship-to-ship transfers or AIS interference at “any point of a given voyage to a Member State’s ports or locks”, how should ‘voyage’ be understood?
Answer: ‚Voyage‘ refers to the route from loading the Russian oil cargo until arriving at an EU port. It includes direct, indirect, and deviations from loading to arrival.
New Question 19 (p. 255) How long is a vessel prohibited from accessing ports and locks in the territory of the Union if it is suspected of breaching the prohibitions in Article 3m and 3n by operating a ship-to-ship transfer or turned off its AIS navigation system, by application of Articles 3eb and 3ec?
Answer: Vessels suspected of breaching Articles 3m and 3n cannot access EU ports until suspicion is cleared or cargo is unloaded.
New Question 20 (p. 255) If a ship-to-ship transfer takes place and the competent authority has reasonable grounds to suspect a breach of Articles 3m or 3n, are all vessels involved in this operation prohibited from accessing ports and locks in the territory of the Union?
Answer: Yes, vessels involved in the transfer are suspected of breaching the prohibition, barring access to EU ports.
New Question 21 (p. 256) How do the prohibitions in Articles 3eb and 3ec relate to other maritime safety provisions and prohibitions, such as the banning under the port State control Directive 2009/18/EC or the banning of single hull oil tankers in Regulation (EU) No 530/2012?
Answer: Other maritime safety provisions remain applicable regardless of the prohibitions. Maritime safety laws, including port State control and single hull oil tanker bans, still apply to voyages and port calls in EU states.
New Question 22 (p. 256) If a vessel was involved in a breach of the port access ban prohibitions in Articles 3eb or 3ec, but is later sold on to another owner or chartered to another company, can it access ports and locks in the territory of the Union?
Answer: If suspicion clears or cargo is unloaded, the prohibition ends, even with a new owner. Sale during suspicion or cargo transport maintains the prohibition.
New Question 23 (p. 257) Are vessels calling into ports and locks in the territory of the Union under an obligation to notify ship-to-ship transfers under the Sanctions Regulation?
Answer: Vessels must notify scheduled ship-to-ship transfers at least 48 hours in advance. Lack of notification can lead to port access denial.
New Question 24 (p. 257) Can a vessel that has been refused access in a Member States’ port or lock on the basis of Articles 3eb or 3ec call into another port or lock in the territory of the Union?
Answer: Refusals trigger notifications to other authorities to prevent port shopping, fostering mutual trust and cooperation.
New Question 25 (p. 257) How should ‘illegally interfering, switching off or otherwise disabling the automatic identification system’ be understood in Article 3ec?
Answer: It covers deliberate AIS false information or turning off, except in imminent danger. Short incidents may be accidental; long disablement suggests suspicious activity. Legitimate reasons for AIS off are accepted.
New Question 26 (p. 258) How should Member States competent authorities monitor ship-to-ship transfers or the illegal interfering or turning off of a vessel’s AIS?
Answer: The Commission, with EMSA, supports monitoring. Union Maritime Information and Exchange System and national systems aid continuous surveillance and information sharing.
New Question 27 (p. 258) Articles 3eb and 3ec provide that port access should not be granted if a competent authority has « reasonable cause to suspect » that the vessel is in breach of the relevant prohibitions. How should Member States competent authorities assess a suspicious ship-to-ship transfer or interference/turning off a vessel’s navigation system?
Answer: Competent authorities conduct risk assessments, considering indicators and risk factors for suspicion of breaches.
New Question 28 (p. 258) What should Member States competent authorities’ consider when making such a risk analysis?
Answer: Various indicators inform risk assessments: port and route history, insurance coverage, cargo details, compliance history, and AIS operations, among others.
New Question 29 (p. 259) What sort of notification obligations can a competent authority take into account when assessing whether it has reasonable cause to suspect a breach of Articles 3m and 3n?
Answer: Vessels‘ compliance with reporting obligations under Union and international law is assessed to determine suspicions, considering AIS, ship-to-ship transfers, and security notifications.
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Section G „SECTOR SPECIFIC QUESTIONS.“, topic 8 „PROVISION OF SERVICES“ (starting on page 289)
New Question 33 (p. 308) Why was a derogation needed from the prohibition to provide certain services to Russian companies in connection with firewalls?
Answer: The services prohibitions under Article 5n of Regulation (EU) No 833/2014 prevent providing specific services beneficial to Russian entities for firewall setup. A derogation allows national competent authorities to permit restricted services if strict conditions are met, including necessity for firewall setup, control removal over non-listed EU assets, and prevention of accruing benefits for listed persons. See also related FAQs on asset freeze and prohibition.