Proposal for a Council Regulation imposing certain restrictive measures in respect of Uzbekistan
Date: 2005-10-20
Institutions: European Commission
Subjects: Uzbekistan, common foreign and security policy, economic sanctions, export restriction, human rights, international sanctions, repression, trade restriction

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 20.10.2005 
COM(2005) 524 final 

. 

Proposal for a 

COUNCIL REGULATION 

imposing certain restrictive measures in respect of Uzbekistan 

. 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

On  23  May  2005,  the  Council  strongly  condemned  the  “reported  excessive, 
disproportionate  and  indiscriminate  use  of  force  by  the  Uzbek  security  forces”  in 
Andijan, Eastern Uzbekistan,  earlier  that month.  The  Council called upon  the Uzbek 
authorities  to  respond  adequately  to  the  United  Nations’  call  for  an  independent 
international inquiry and on, 13 June 2005, urged these authorities to reconsider their 
position by the end of June 2005. 

In  view  of  the  absence  of  any  adequate  response  up  to  now,  Common  Position 
2005/…/CFSP provides, inter alia, for the immediate imposition of a ban on exports of 
internal repression equipment and of a ban on the provision of technical and financial 
assistance  related  to  such  equipment,  to  military  activities,  and  to  arms  and  military 
equipment. 

Since  these  restrictive  measures  fall  within  the  scope  of  the  Treaty  establishing  the 
European Community, the Commission proposes a Regulation in order to interrupt or 
to  reduce  economic  relations  with  Uzbekistan  to  the  extent  foreseen  in  the  Common 
Position. 

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Proposal for a 

COUNCIL REGULATION 

imposing certain restrictive measures in respect of Uzbekistan 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Articles 
60 and 301 thereof, 

Having regard to Common Position 2005/…/CFSP of … October 2005 concerning restrictive 
measures against Uzbekistan,1 

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

On  23  May  2005,  the  Council  strongly  condemned  the  “reported  excessive, 
disproportionate  and  indiscriminate  use  of  force  by  the  Uzbek  security  forces  in 
Andijan,  Eastern  Uzbekistan”,  earlier  that  month.  The  Council  expressed  its  deep 
regret  regarding  the  failure  of  the  Uzbek  authorities  to  respond  adequately  to  the 
United  Nations’  call  for  an  independent  international  inquiry.  On  13  June  2005,  it 
urged these authorities to reconsider their position by the end of June 2005.  

In  view  of  the  absence  of  any  adequate  response  up  to  now,  Common  Position 
2005/…/CFSP  provides  that  certain  restrictive  measures  should  be  imposed  for  an 
initial  period  of  one  year,  during  which  period  the  measures  will  be  kept  under 
constant review. 

The  restrictive  measures  provided  for  by  Common  Position  2005/…/CFSP  include, 
inter  alia,  a  ban  on  the  export  of  equipment  which  might  be  used  for  internal 
repression and a ban on technical assistance, financing and financial assistance related 
to military activities, to arms and related materiel, and to equipment which might be 
used for internal repression. 

These measures fall within the scope of the Treaty and, therefore, notably with a view 
to  ensuring  their  uniform  application  by  economic  operators  in  all  Member  States, 
Community  legislation  is  necessary  to  implement  them  as  far  as  the  Community  is 
concerned. For the purposes of this Regulation, the territory of the Community should 
be  deemed  to  encompass  the  territories  of  the  Member  States  to  which  the  Treaty  is 
applicable, under the conditions laid down in the Treaty. 

1 

OJ C […], […], p. […]. 

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(5) 

In due course, the list of equipment which might be used for internal repression should 
be supplemented by the reference numbers taken from the Combined Nomenclature as 
set out in Annex I to Council Regulation (EEC) No 2658/87 on the tariff and statistical 
nomenclature and on the Common Customs Tariff2. 

(6)  Member  States  should  determine  the  penalties  applicable  to  infringements  of  the 
provisions  of  this  Regulation.  The  penalties  provided  for  should  be  proportionate, 
effective and dissuasive. 

(7) 

In order to ensure that the measures provided for in this Regulation are effective, this 
Regulation should enter into force on the day following that of its publication, 

HAS ADOPTED THIS REGULATION: 

Article 1 

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

1. 

2. 

3. 

‘equipment  which  might  be  used  for  internal  repression’  means  the  goods  listed  in 
Annex I; 

“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;  technical  assistance  includes  verbal  forms  of 
assistance; 

‘territory of the Community’ means the territories of the Member States to which the 
Treaty is applicable, under the conditions laid down in the Treaty. 

It shall be prohibited: 

Article 2 

(a) 

(b) 

(c) 

to  sell,  supply,  transfer  or  export,  directly  or  indirectly,  equipment  which  might  be 
used  for  internal  repression,  whether  or  not  originating  in  the  Community,  to  any 
person, entity or body in, or for use in, Uzbekistan; 

to  provide,  directly  or  indirectly,  technical  assistance  related  to  the  equipment 
referred to in point (a), to any person, entity or body in, or for use in, Uzbekistan; 

to  provide,  directly  or  indirectly,  financing  or  financial  assistance  related  to  the 
equipment  referred  to  in  point  (a),  to  any  person,  entity  or  body  in,  or  for  use  in, 
Uzbekistan.  

2 

OJ  L  256,  7.9.1987,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  493/2005 
(OJ L 82, 31.3.2005, p. 1). 

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(d) 

to participate, knowingly and intentionally, in activities the object or effect of which 
is, directly or indirectly, to promote the transactions referred to in points (a), (b) or 
(c). 

It shall be prohibited: 

Article 3 

(a) 

(b) 

to provide, directly or indirectly, technical assistance related to military activities and 
to the provision, manufacture, maintenance and use of arms and related materiel of 
all  types,  including  weapons  and  ammunition,  military  vehicles  and  equipment, 
paramilitary equipment, and spare parts of the aforementioned, to any person, entity 
or body in, or for use in, Uzbekistan; 

to provide, directly or indirectly, financing or financial assistance related to military 
activities,  including  in  particular  grants,  loans  and  export  credit  insurance,  for  any 
sale, supply, transfer or export of arms and related materiel, or for any provision of 
related technical assistance and other services, to any person, entity or body in, or for 
use in, Uzbekistan.  

(c) 

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

1. 

By  way  of  derogation  from  Articles  2  and  3,  the  competent  authorities  of  the 
Member States as listed in Annex II, may authorise: 

Article 4 

(a) 

the  sale,  supply,  transfer  or  export  of  equipment  which  might  be  used  for 
internal repression, provided it is intended 

(i) 

for  use  by  the  forces  of  contributors  to  the  International  Security 
Assistance  Force  (ISAF)  and  “Operation  Enduring  Freedom”  (OEF)  to 
support and participate in operations in Afghanistan, or 

(ii) 

solely for humanitarian or protective use; 

(b) 

(c) 

the provision of financing, financial assistance or technical assistance related to 
equipment referred to at (a); 

the provision of financing, financial assistance and technical assistance related 
to: 

(i) 

non-lethal  military  equipment  intended  solely  for  humanitarian  or 
protective use, for institution building programmes of the United Nations, 
the  European  Union  and  the  Community,  or  for  EU  and  UN  crisis 
management operations; or 

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(ii)  military  equipment  for  use  by  the  forces  of  contributors  to  the 
International Security Assistance Force (ISAF) and “Operation Enduring 
Freedom” (OEF) to support and participate in operations in Afghanistan. 

2. 

No authorisations shall be granted for activities that have already taken place. 

Article 5 

Articles  2  and  3  shall  not  apply  to  protective  clothing,  including  flak  jackets  and  military 
helmets,  temporarily  exported  to  Uzbekistan  by  United  Nations  personnel,  personnel  of  the 
European  Union,  the  Community  or  its  Member  States,  representatives  of  the  media  and 
humanitarian and development workers and associated personnel for their personal use only. 

Article 6 

The  Commission  and  Member  States  shall  immediately  inform  each  other  of  the  measures 
taken under this Regulation and shall supply each other with any other relevant information at 
their  disposal  in  connection  with  this  Regulation,  in  particular  information  in  respect  of 
violation and enforcement problems and judgments handed down by national courts. 

The Commission shall be empowered to amend Annex II on the basis of information supplied 
by Member States. 

Article 7 

Article 8 

The Member  States  shall  lay  down  the  rules on penalties  applicable to  infringements  of the 
provisions  of  this  Regulation  and  shall  take  all  measures  necessary  to  ensure  that  they  are 
implemented. The penalties provided for must be effective, proportionate and dissuasive.  

The Member States shall notify the Commission of those rules without delay after the entry 
into force of this Regulation and shall notify it of any subsequent amendment. 

Article 9 

This Regulation shall apply: 

(a) 

(b) 

(c) 

(d) 

within the territory of the Community, including its airspace; 

on board any aircraft or any vessel under the jurisdiction of a Member State; 

to  any  natural  person  inside  or  outside  the  territory  of  the  Community  who  is  a 
national of a Member State; 

to any legal person, entity or body which is incorporated or constituted under the law 
of a Member State; 

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(e) 

to  any  legal  person,  entity  or  body  in  respect  of  any  business  done,  in  whole  or  in 
part, within the Community. 

This  Regulation  shall  enter  into  force  on  the  day  following  that  of  its  publication  in 
the Official Journal of the European Union. 

Article 10 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the Council 
The President 

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List  of  equipment  which  might  be  used  for  internal  repression  referred  to  in  Articles 
1(1) and 2(1) 

ANNEX I 

Note: 

The list below  does not comprise the  articles  that have  been specially  designed or  modified 
for military use. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

16. 

Helmets providing ballistic protection, anti-riot helmets, anti-riot shields and ballistic 
shields and specially designed components therefor. 

Specially designed fingerprint equipment. 

Power-controlled searchlights. 

Construction equipment provided with ballistic protection. 

Hunting knives. 

Specially designed production equipment to make shotguns. 

Ammunition hand-loading equipment. 

Communications intercept devices. 

Solid-state optical detectors. 

Image-intensifier tubes. 

Telescopic weapon sights. 

Smooth-bore  weapons  and  related  ammunition,  other  than  those  specially  designed 
for military use, and specially designed components therefor; except: 

— signal pistols; 

—  air-  and  cartridge-powered  guns  designed  as  industrial  tools  or  humane  animal 
stunners. 

Simulators  for  training  in  the  use  of  firearms  and  specially  designed  or  modified 
components and accessories therefor. 

Bombs  and  grenades,  other  than  those  specially  designed  for  military  use,  and 
specially designed components therefor. 

Body  armour,  other  than  that  manufactured  to  military  standards  or  specifications, 
and specially designed components therefor. 

All-wheel-drive utility vehicles capable of off-road use that have been manufactured 
or fitted with ballistic protection, and profiled armour for such vehicles. 

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17. 

18. 

19. 

20. 

21. 

22. 

23. 

Water cannon and specially designed or modified components therefor. 

Vehicles equipped with a water cannon. 

Vehicles  specially  designed  or  modified  to  be  electrified  to  repel  boarders  and 
components therefor specially designed or modified for that purpose. 

Acoustic  devices  represented  by  the  manufacturer  or  supplier  as  suitable  for  riot-
control purposes, and specially designed components therefor. 

Leg-irons,  gang-chains,  shackles  and  electric-shock  belts,  specially  designed  for 
restraining human beings, except 

—  handcuffs  for  which  the  maximum  overall  dimension  including  chain  does  not 
exceed 240mm when locked. 

Portable  devices  designed  or  modified  for  the  purpose  of  riot  control  or  self-
protection  by  the  administration  of  an  incapacitating  substance  (such  as  tear  gas  or 
pepper sprays), and specially designed components therefor. 

Portable  devices  designed  or  modified  for  the  purpose  of  riot  control  or  self-
protection by the administration of an electric shock (including electric-shock batons, 
electric  shock  shields,  stun  guns  and  electric  shock  dart  guns)  and  components 
therefor specially designed or modified for that purpose. 

24. 

Electronic  equipment  capable  of  detecting  concealed  explosives  and  specially 
designed components therefor, except 

— TV or X-ray inspection equipment. 

25. 

26. 

Electronic jamming equipment specially designed to prevent the detonation by radio 
remote control of improvised devices and specially designed components therefor. 

Equipment and devices specially designed to initiate explosions by electrical or non-
electrical  means,  including  firing  sets,  detonators,  igniters,  boosters  and  detonating 
cord, and specially designed components therefor, except  

— those specially designed for a specific commercial use consisting of the actuation 
or operation by explosive means of other equipment or devices the function of which 
is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of 
fire sprinkler actuators). 

27. 

Equipment and devices designed for explosive ordnance disposal; except: 

— bomb blankets; 

—  containers  designed  for  folding  objects  known  to  be,  or  suspected  of  being 
improvised explosive devices. 

28. 

Night  vision  and  thermal  imaging  equipment  and  image  intensifier  tubes  or  solid 
state sensors therefor. 

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29. 

30. 

Linear cutting explosive charges. 

Explosives and related substances as follows: 

— amatol, 

— nitrocellulose (containing more than 12,5% nitrogen), 

— nitroglycol, 

— pentaerythritol tetranitrate (PETN), 

— picryl chloride, 

— tinitorphenylmethylnitramine (tetryl), 2,4,6-trinitrotoluene (TNT) 

31. 

Software specially designed and technology required for all listed items. 

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ANNEX II 

List of competent authorities referred to in Article 4 

(to be completed by the Member States)  

BELGIUM 

CZECH REPUBLIC 

DENMARK 

GERMANY 

ESTONIA 

GREECE 

SPAIN 

FRANCE 

IRELAND 

ITALY 

CYPRUS 

LATVIA 

LITHUANIA 

LUXEMBOURG 

HUNGARY 

MALTA 

NETHERLANDS 

AUSTRIA 

POLAND 

PORTUGAL 

SLOVENIA 

SLOVAKIA 

FINLAND 

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SWEDEN 

UNITED KINGDOM 

EUROPEAN COMMUNITY 

Commission of the European Communities 
Directorate-General for External Relations 
Directorate Common Foreign and Security Policy (CFSP) and European Security and Defence 
Policy (ESDP): Commission Coordination and contribution 
Unit A.2: Legal and institutional matters, CFSP Joint Actions, Sanctions, Kimberley Process 
CHAR 12/163 
B - 1049 Bruxelles/Brussel 
Belgium 
Tel. (32-2) 296 25 56 
Fax (32-2) 296 75 63 
E-mail: relex-sanctions@cec.eu.int. 

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