2006E0795 — EN — 04.08.2009 — 001.001

This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents

Amended by:









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COUNCIL COMMON POSITION 2006/795/CFSP

of 20 November 2006

concerning restrictive measures against the Democratic People's Republic of Korea







THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on European Union, and in particular Article 15 thereof, Whereas: (1) On 15 July 2006, the United Nations Security Council adopted Resolution 1695 (2006) (‘UNSCR 1695 (2006)’) in which it condemned the multiple launches by the Democratic People's Republic of Korea (‘DPRK’) of ballistic missiles on 5 July 2006. (2) On 14 October 2006 the United Nations Security Council adopted Resolution 1718 (2006), (‘UNSCR 1718 (2006)’ in which it condemned the nuclear test proclaimed by the DPRK on 9 October 2006, and expressed its gravest concern at the challenge such a test constituted to the Treaty on the Non-Proliferation of Nuclear Weapons and to international efforts aimed at strengthening the global regime of non-proliferation of nuclear weapons, and the danger it posed to peace and stability in the region and beyond. The UN Security Council determined therefore a clear threat to international peace and security. (3) On 17 October 2006, the Council of the European Union strongly condemned the test of a nuclear explosive device by the DPRK and urged the DPRK to return immediately to the Six-Party talks, to abandon all nuclear weapons and existing nuclear programmes, and to comply with its obligations under the Treaty on the Non-Proliferation of Nuclear Weapons, including submitting all its nuclear activities to International Atomic Energy Agency verification. The Council also stated that it would fully implement the provisions of all relevant UNSC Resolutions and notably those of UNSCR 1695 (2006) and UNSCR 1718 (2006). (4) UNSCR 1718 (2006) prohibits the direct or indirect supply, sale or transfer to the DPRK by nationals of Member States or from the territories of Member States, or using their flag vessels or aircraft, of certain conventional weapons as defined for the purpose of the UN register on Conventional Arms, or related materiel including spare parts, or items as determined by the UN Security Council or the Committee established pursuant to paragraph 12 of UNSCR 1718 (2006) (‘the Committee’). The Council considers it appropriate also to cover other conventional weapons, including at least all goods and technology on the EU Common List of Military Equipment. (5) UNSCR 1718 (2006) also prohibits the direct or indirect supply, sale or transfer to the DPRK by nationals of Member States or from the territories of Member States, or using their flag vessels or aircraft, of items as listed in the relevant UN documents, which notably comprise the items contained in the Nuclear Suppliers Group and Missile Technology Control Regime lists; and of other materials, equipment, goods and technology related to nuclear, ballistic missile or other weapons of mass destruction programmes. (6) UNSCR 1718 (2006) also prohibits the provision of technical training, services and assistance in relation to the items referred to in recitals (4) and (5), the prohibition of which should also cover financing or financial assistance. (7) UNSCR 1718 (2006) also prohibits the procurement of the items referred to in recitals (4) and (5) from the DPRK. (8) UNSCR 1718 (2006) also prohibits the supply, sale or transfer of luxury goods to the DPRK. (9) UNSCR 1718 (2006) also imposes measures to prevent the entry into, or transit through their territories of the persons designated by the Committee or by the UN Security Council as being responsible for, including through supporting or promoting, DPRK policies in relation to DPRK's nuclear-related, ballistic missile-related and other weapons of mass destruction-related programmes, together with their family members. (10) UNSCR 1718 (2006) furthermore imposes a freeze of funds, other financial assets and economic resources, owned or controlled directly or indirectly by the persons or entities designated by the Committee or by the UN Security Council as being engaged in or providing support for, including through other illicit means, DPRK's nuclear-related, other weapons of mass destruction-related and ballistic missiles-related programmes, or by persons or entities acting on their behalf or at their direction; and an obligation that no funds, financial assets or economic resources are made available to or for the benefit of such persons or entities. (11) This Common Position may be amended if the Council deems it appropriate to apply the restrictive measures to additional persons, entities or items, or to other categories of persons, entities or items. (12) Action by the Community is needed in order to implement certain measures, Whereas: HAS ADOPTED THIS COMMON POSITION:







Article 1

1. The direct or indirect supply, sale or transfer of the following items and technology, including software, to the DPRK by nationals of Member States or through or from the territories of Member States, or using their flag vessels or aircraft, shall be prohibited whether or not originating in their territories:

(a) arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment and spare parts for the aforementioned, with the exception of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection, intended solely for protective use of personnel of the EU and its Member States in the DPRK;

(b) all items, materials, equipment, goods and technology as determined by the UN Security Council or the Committee in accordance with paragraph 8(a)(ii) of UNSCR 1718 (2006), which could contribute to dprk's nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes;

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(c) certain other items, materials, equipment, goods and technology which could contribute to DPRK’s nuclear-related, ballistic missile-related or other weapons of mass destruction-related programmes. The European Community shall take the necessary measures in order to determine the relevant items to be covered by this provision.

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2. It shall also be prohibited to:

(a) provide technical training, advice, services, assistance or brokering services, related to items and technology set out in paragraph 1 and to the provision, manufacture, maintenance and use of these items, directly or indirectly to any person, entity or body in, or for use in the DPRK;

(b) provide financing or financial assistance related to items and technology referred to in paragraph 1, including, in particular, grants, loans and export credit insurance, for any sale, supply, transfer or export of these items, or for the provision of related technical training, advice, services, assistance, or brokering services, directly or indirectly to any person, entity or body in, or for use in the DPRK;

(c) to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibition referred to in points (a) and (b).

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3. The procurement by nationals of Member States, or using their flag vessels or aircraft, of items and technology referred to in paragraph 1 from the DPRK, as well as the provision to nationals of Member States by DPRK of technical training, advice, services, assistance, financing and financial assistance referred to in paragraph 2, shall also be prohibited, whether or not originating in the territory of the DPRK.

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Article 1a

1. Member States shall not enter into new commitments for grants, financial assistance and concessional loans to the DPRK, including through their participation in international financial institutions, except for humanitarian and developmental purposes directly addressing the need of the civilian population or the promotion of denuclearisation. Member States shall also exercise vigilance with a view to reducing current commitments and, if possible, putting an end to them.

2. Member States shall not provide public financial support for trade with DPRK, including the granting of export credits, guarantees or insurance, to their nationals or entities involved in such trade, where such financial support could contribute to the DPRK’s nuclear-related or ballistic missile-related or other weapons of mass destruction-related programmes or activities.

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Article 2

The direct or indirect supply, sale or transfer of luxury goods to the DPRK by nationals of Member States or through or from the territories of member states, or using their flag vessels or aircraft, shall be prohibited whether originating or not in their territories.

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Article 3

1. Member States shall take the necessary measures to prevent the entry into, or transit through, their territories of:

(a) the persons designated by the Committee or by the UN Security Council as being responsible for, including through supporting or promoting, DPRK policies in relation to DPRK’s nuclear-related, ballistic missile-related and other weapons of mass destruction-related programmes, together with their family members, as listed in Annex I;

(b) persons not covered by Annex I who are responsible for, including through supporting or promoting, DPRK's nuclear-related, ballistic missile-related and other weapons of mass destruction-related programmes, as listed in Annex II;

(c) persons not covered by Annex I or Annex II who provide financial services or the transfer to, through, or from the territory of Member States, or involving nationals of Member States or entities organised under their laws, or persons or financial institutions in their territory, of any financial or other assets or resources that could contribute to the DPRK’s nuclear-related, ballistic missile-related, or other weapons of mass destruction-related programmes, as listed in Annex III.

2. Paragraph 1(a) shall not apply where the Committee determines on a case-by-case basis that such travel is justified on the grounds of humanitarian need, including religious obligations, or where the Committee concludes that an exemption would otherwise further the objectives of UNSCR 1718 (2006) or UNSCR 1874 (2009).

3. Paragraph 1 shall not oblige a Member State to refuse its own nationals entry into its territory.

4. Paragraph 1 shall be without prejudice to cases where a Member State is bound by an obligation of international law, namely:

(i) as a host country of an international intergovernmental organisation;

(ii) as a host country to an international conference convened by, or under the auspices of, the United Nations;

(iii) under a multilateral agreement conferring privileges and immunities;

(iv) under the 1929 Treaty of Conciliation (Lateran pact) concluded by the Holy See (State of the Vatican City) and Italy.

5. Paragraph 4 shall be considered as applying also in cases where a Member State is host country of the Organisation for Security and Cooperation in Europe (OSCE).

6. The Council shall be duly informed in all cases where a Member State grants an exemption pursuant to paragraph 4 or 5.

7. Member States may grant exemptions from the measures imposed in paragraph 1 where travel is justified on the grounds of urgent humanitarian need, or on grounds of attending intergovernmental meetings, including those promoted by the European Union, or hosted by a Member State holding the Chairmanship in office of the OSCE, where a political dialogue is conducted that directly promotes democracy, human rights and the rule of law in DPRK.

8. A Member State wishing to grant exemptions referred to in paragraph 7 shall notify the Council thereof in writing. The exemption shall be deemed to be granted unless one or more of the Council Members raise an objection in writing within two working days of receiving notification of the proposed exemption. Should one or more of the Council members raise an objection, the Council, acting by a qualified majority, may decide to grant the proposed exemption.

9. In cases where, pursuant to paragraphs 4, 5 and 7, a Member State authorises the entry into, or transit through, its territory of persons listed in Annexes I, II or III, the authorisation shall be limited to the purpose for which it is given and to the persons concerned thereby.

10. Member States shall notify the Committee of the entry into or transit through, their territories of the persons set out in Annex I, if an exception has been granted.

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Article 4

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1. All funds and economic resources belonging to, owned, held or controlled, directly or indirectly, by:

(a) the persons and entities designated by the Committee or by the UN Security Council as being engaged in or providing support for, including through illicit means, DPRK’s nuclear-related, other weapons of mass destruction-related and ballistic missiles-related programmes, as listed in Annex I;

(b) the persons and entities not covered by Annex I that are responsible for DPRK’s nuclear-related, ballistic missile-related and other weapons of mass destruction-related programmes or persons or entities acting on their behalf or at their direction, or entities owned or controlled by them, as listed in Annex II;

(c) the persons and entities not covered by Annex I or Annex II that provide financial services or the transfer to, through, or from the territory of Member States, or involving nationals of Member States or entities organised under their laws, or persons or financial institutions in their territory, of any financial or other assets or resources that could contribute to the DPRK’s nuclear-related, ballistic missile-related, or other weapons of mass destruction-related programmes, or persons or entities acting on their behalf or at their direction, or entities owned or controlled by them, as listed in Annex III,

shall be frozen.

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2. No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of persons and entities referred to in paragraph 1.

3. Exemptions may be made for funds and economic resources which are:

(a) necessary to satisfy basic needs, including payment for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

(b) intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or

(c) intended exclusively for payment of fees or service charges, in accordance with national laws, for routine holding or maintenance of frozen funds and economic resources,

after notification by the Member State concerned to the Committee of the intention to authorise, where appropriate, access to such funds, other financial assets and economic resources and in the absence of a negative decision by the Committee within five working days of such notification.

4. Exemptions may also be made for funds and economic resources which are:

(a) necessary for extraordinary expenses, after notification by the Member State concerned to and approval by the Committee; or

(b) the subject of a judicial, administrative or arbitral lien or judgment, in which case the funds and economic resources may be used to satisfy that lien or judgment, provided that the lien or judgment was entered prior to the date of UNSCR 1718 (2006), and is not for the benefit of a person or entity referred to in paragraph 1, after notification by the Member State concerned to the Committee.

5. Paragraph 2 shall not apply to the addition to frozen accounts of:

(a) interest or other earnings on those accounts; or

(b) payments due under contracts, agreements or obligations that were concluded or arose prior to 14 October 2006,

provided that any such interest, other earnings and payments continue to be subject to paragraph 1.

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Article 4a

1. In order to prevent the provision of financial services or the transfer to, through, or from the territory of Member States, or to or by nationals of Member States or entities organised under their laws, or persons or financial institutions within their jurisdiction, of any financial or other assets or resources that could contribute to the DPRK’s nuclear-related, ballistic missile-related, or other weapons of mass destruction-related programmes or activities, Member States shall exercise enhanced monitoring of the activities of financial institutions within their jurisdiction with:

(a) banks domiciled in DPRK;

(b) branches and subsidiaries within the jurisdiction of the Member States of banks domiciled in DPRK, as listed in Annex IV;

(c) branches and subsidiaries outside the jurisdiction of the Member States of banks domiciled in DPRK, as listed in Annex V; and

(d) financial entities that are neither domiciled in DPRK nor within the jurisdiction of the Member States but are controlled by persons and entities domiciled in DPRK, as listed in Annex V;

in order to avoid such activities contributing to the DPRK’s nuclear-related, ballistic missile-related, or other weapons of mass destruction-related programmes or activities.

2. For the above purpose, financial institutions shall be required, in their activities with banks and financial entities set out in paragraph 1, to:

(a) exercise continuous monitoring over account activity, including through their programmes on customer due diligence and under their obligations relating to money-laundering and financing of terrorism;

(b) require that all information fields of payment instructions which relate to the originator and beneficiary of the transaction in question be completed; and if that information is not supplied, refuse the transaction;

(c) maintain all records of transactions for a period of five years and make them available to national authorities on request;

(d) if they suspect or have reasonable grounds to suspect that funds could contribute to the DPRK’s nuclear-related, ballistic missile-related, or other weapons of mass destruction-related programmes or activities, promptly report their suspicions to the Financial Intelligence Unit (FIU) or another competent authority designated by the Member State concerned. The FIU or such other competent authority shall have access, directly or indirectly, on a timely basis to the financial, administrative and law enforcement information that it requires to undertake this function properly, including the analysis of suspicious transaction reports.

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Article 5

1. Member States shall inspect, in accordance with their national authorities and legislation and consistent with international law, all cargo to and from the DPRK in their territory, including at their airports and seaports, if they have information that provides reasonable grounds to believe that the cargo contains items whose supply, sale, transfer or export is prohibited under this Common Position.

2. Member States shall inspect vessels, with the consent of the flag State, on the high seas, if they have information that provides reasonable grounds to believe that the cargo of such vessels contains items whose supply, sale, transfer or export is prohibited under this Common Position.

3. Member States shall cooperate, in accordance with their national legislation, with inspections pursuant to paragraphs 1 and 2.

4. Aircrafts and vessels transporting cargo to and from the DPRK shall be subject to the requirement of additional pre-arrival or pre-departure information for all goods brought into or out of a Member State.

5. In cases where inspection referred to in paragraphs 1 and 2 is undertaken, Member States shall seize and dispose of items whose supply, sale, transfer or export is prohibited under this Common Position in accordance with paragraph 14 of UNSCR 1874 (2009).

6. The provision by nationals of Member States or from the territories of Member States of bunkering or ship supply services, or other servicing of vessels, to DPRK vessels shall be prohibited if they have information that provides reasonable grounds to believe that the vessels carry items whose supply, sale, transfer or export is prohibited under this Common Position unless provision of such services is necessary for humanitarian purposes or until the cargo has been inspected, and seized and disposed of if necessary, in accordance with paragraphs 1, 2 and 4.

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Article 5a

Member States shall take the necessary measures to exercise vigilance and prevent specialised teaching or training of DPRK nationals, within their territories or by their nationals, of disciplines which would contribute to DPRK’s proliferation-sensitive nuclear activities and the development of nuclear weapon delivery systems.

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Article 6

1. The Council shall establish the list contained in Annex I and implement any modifications thereto on the basis of the determinations made by the Committee or the Security Council.

2. The Council, acting by unanimity on a proposal from a Member State or the Commission, shall establish the lists in Annexes II, III, IV and V and adopt modifications thereto.;

Article 7

1. This Common Position shall be reviewed, and, if necessary, amended, notably as regards the categories of persons, entities or items or additional persons, entities or items to be covered by the restrictive measures, or taking into account relevant Security Council Resolutions.

2. The measures referred to in Article 3(1)(b) and (c) and 4(1)(b) and (c) shall be reviewed at regular intervals and at least every 12 months. They shall cease to apply in respect of the persons and entities concerned if the Council determines, in accordance with the procedure referred to in Article 6(2), that the conditions for their application are no longer met.

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Article 8

This Common Position shall take effect on the date of its adoption.

Article 9

This common position shall be published in the Official Journal of the European Union.

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ANNEX

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ANNEX I







(a) List of persons referred to in Articles 3(1)(a) and 4(1)(a) Name Alias Date of birth Date of designation Other information 1. Yun Ho-jin a.k.a. Yun Ho-chin 13.10.1944 16.7.2009 Director of Namchongang Trading Corporation; oversees the import of items needed for the uranium enrichment programme. 2. Ri Je-son a.k.a. Ri Che-son 1938 16.7.2009 Director of the General Bureau of Atomic Energy (GBAE), chief agency directing the Democratic People’s Republic of Korea’s nuclear programme; Facilitates several nuclear endeavours, including GBAE’s management of Yongbyon Nuclear Research Centre and Namchongang Trading Corporation. 3. Hwang Sok-hwa 16.7.2009 Director in the General Bureau of Atomic Energy (GBAE); involved in the Democratic People’s Republic of Korea’s nuclear programme; as Chief of the Scientific Guidance Bureau in the GBAE, served on the Science Committee inside the Joint Institute for Nuclear Research. 4. Ri Hong-sop 1940 16.7.2009 Former director, Yongbyon Nuclear Research Centre, oversaw three core facilities that assist in the production of weapons-grade plutonium: the Fuel Fabrication Facility, the Nuclear Reactor, and the Reprocessing Plant. 5. Han Yu-ro 16.7.2009 Director of Korea Ryongaksan General Trading Corporation; involved in the Democratic People’s Republic of Korea’s ballistic missile programme.







(b) List of entities referred to in Article 4(1)(a) Name Alias Location Date of designation Other information 1. Korea Mining Development Trading Corporation a.k.a. CHANGGWANG SINYONG CORPORATION; a.k.a. EXTERNAL TECHNOLOGY GENERAL CORPORATION; a.k.a. DPRKN MINING DEVELOPMENT TRADING COOPERATION; a.k.a. ‘KOMID’ Central District, Pyongyang, DPRK. 24.4.2009 Primary arms dealer and main exporter of goods and equipment related to ballistic missiles and conventional weapons. 2. Korea Ryonbong General Corporation a.k.a. KOREA YONBONG GENERAL CORPORATION; f.k.a. LYONGAKSAN GENERAL TRADING CORPORATION Pot’onggang District, Pyongyang, DPRK; Rakwon-dong, Pothonggang District, Pyongyang, DPRK. 24.4.2009 Defence conglomerate specialising in acquisition for DPRK defence industries and support to that country’s military-related sales. 3. Tanchon Commercial Bank f.k.a. CHANGGWANG CREDIT BANK; f.k.a. KOREA CHANGGWANG CREDIT BANK Saemul 1-Dong Pyongchon District, Pyongyang, DPRK. 24.4.2009 Main DPRK financial entity for sales of conventional arms, ballistic missiles, and goods related to the assembly and manufacture of such weapons. 4. Namchongang Trading Corporation a.k.a. NCG; a.k.a. NAMCHONGANG TRADING; a.k.a. NAM CHON GANG CORPORATION; a.k.a. NOMCHONGANG TRADING CO.; a.k.a. NAM CHONG GAN TRADING CORPORATION Pyongyang, DPRK. 16.7.2009 Namchongang is a DPRK trading company subordinate to the General Bureau of Atomic Energy (GBAE). Namchongang has been involved in the procurement of Japanese-origin vacuum pumps that were identified at a DPRK nuclear facility, as well as nuclear-related procurement associated with a German individual. It has further been involved in the purchase of aluminium tubes and other equipment specifically suitable for a uranium enrichment programme from the late 1990s. Its representative is a former diplomat who served as DPRK’s representative for the International Atomic Energy Agency (IAEA) inspection of the Yongbyon nuclear facilities in 2007. Namchongang’s proliferation activities are of grave concern given the DPRK’s past proliferation activities. 5. Hong Kong Electronics a.k.a. HONG KONG ELECTRONICS KISH CO Sanaee St., Kish Island, Iran. 16.7.2009 Owned or controlled by, or acts or purports to act for or on behalf of Tanchon Commercial Bank and KOMID. Hong Kong Electronics has transferred millions of dollars of proliferation-related funds on behalf of Tanchon Commercial Bank and KOMID (both designated by the Committee in April 2009) since 2007. Hong Kong Electronics has facilitated the movement of money from Iran to the DPRK on behalf of KOMID. 6. Korea Hyoksin Trading Corporation a.k.a. KOREA HYOKSIN EXPORT AND IMPORT CORPORATION Rakwon-dong, Pothonggang District, Pyongyang, DPRK. 16.7.2009 A DPRK company based in Pyongyang that is subordinate to Korea Ryonbong General Corporation (designated by the Committee in April 2009) and is involved in the development of weapons of mass destruction. 7. General Bureau of Atomic Energy (GBAE) a.k.a. General Department of Atomic Energy (GDAE) Haeudong, Pyongchen District, Pyongyang, DPRK. 16.7.2009 The GBAE is responsible for the DPRK’s nuclear programme, which includes the Yongbyon Nuclear Research Centre and its 5 MWe (25 MWt) plutonium production research reactor, as well as its fuel fabrication and reprocessing facilities. The GBAE has held nuclear-related meetings and discussions with the International Atomic Energy Agency. GBAE is the primary DPRK Government agency that oversees nuclear programmes, including the operation of the Yongbyon Nuclear Research Centre. 8. Korean Tangun Trading Corporation Pyongyang, DPRK. 16.7.2009 Korea Tangun Trading Corporation is subordinate to DPRK’s Second Academy of Natural Sciences and is primarily responsible for the procurement of commodities and technologies to support DPRK’s defence research and development programmes, including, but not limited to, weapons of mass destruction and delivery system programmes and procurement, including materials that are controlled or prohibited under relevant multilateral control regimes.

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Annex II

List of persons and entities referred to in Articles 3(1)(b) and 4(1)(b)

Annex III

List of persons and entities referred to in Articles 3(1)(c)and 4(1)(c)

Annex IV

List of branches and subsidiaries referred to in Article 4a(1)(b)

Annex V

List of branches, subsidiaries and financial entities referred to in Article 4a(1)(c) and (d)