Joint proposal for a COUNCIL REGULATION amending Regulation (EC) No 560/2005 imposing certain specific restrictive measures directed against certain persons and entities in view of the situation in Côte d’Ivoire
Date: 2011-01-10
Institutions: European Commission, High Representative of the Union
Subjects: Côte d'Ivoire, UN resolution, economic sanctions, foreign capital, international sanctions

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EUROPEAN COMMISSION 

HIGH REPRESENTATIVE OF  
THE EUROPEAN UNION FOR 
FOREIGN AFFAIRS AND 
SECURITY POLICY 

Brussels, 10.1.2011 
COM(2011) 7 final 

2011/0005 (NLE) 

Joint proposal for a 

COUNCIL REGULATION 

amending Regulation (EC) No 560/2005 imposing certain specific restrictive measures 
directed against certain persons and entities in view of the situation in Côte d’Ivoire 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

(4) 

Council Decision 2010/656/CFSP of 29 October 2010 provides for the application of 
restrictive  measures  against  certain  persons,  entities  and  bodies  who  have  been 
designated by the UN Security Council or a Sanctions Committee in accordance with 
UN  Security  Council  Resolution  1572  (2004)  concerning  Côte  d’Ivoire.  Taking  into 
account the current situation in Côte d’Ivoire the CFSP Decision was amended on 22 
December  2010  to  provide  for  restrictive  measures  against  certain  persons  not 
designated  by  the  UN,  who  are  obstructing  the  process  of  peace  and  national 
reconciliation in Côte d’Ivoire and in particular those who are jeopardising the proper 
outcome  of  the  electoral  process,  as  well  as  against  legal  persons,  entities  or  bodies 
owned  or  controlled  by  such  persons  and  persons,  entities  or  bodies  acting  on  their 
behalf or at their direction. 

The  High  Representative  of  the  EU  for  Foreign  Affairs  and  Security  Policy  and  the 
Commission  propose  to  freeze  the  funds  and  economic  resources  of  the  relevant 
natural or legal persons, entities and bodies by means of a Regulation based on Article 
215  of  the  Treaty  on  the  Functioning  of  the  European  Union  (TFEU)  and  to  amend 
Council Regulation (EC) No 560/2005 to that end. 

Article  291(2)  TFEU  provides  that,  where  uniform  conditions  for  implementing 
legally  binding  Union  acts  such  as  Regulations  based  on  Article  215  TFEU  are 
needed,  those  acts  shall  confer  implementing  powers  on  the  Commission  or,  in  duly 
justified specific cases, on the Council. 

The CFSP Decision provides for the Council to make available a statement of reasons 
to a listed individual, entity or body, for the opportunity to respond, and for a review 
procedure to be followed, when a natural or legal person, entity or body is included in 
the Annex to that Decision or when new evidence is presented. This is with a view to 
ensuring  respect,  in  particular,  for  the  rights  of  the  defence  and  the  right  to  judicial 
review. These rights should also be respected by the Regulation. 

(5) 

The Court of Justice has jurisdiction to review the decisions to designate a natural or 
legal person, entity or body pursuant to both the CFSP Decision and the Regulation in 
accordance with Article 275 and 263 TFEU, respectively.  

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2011/0005 (NLE) 

Proposal for a 

COUNCIL REGULATION 

amending Regulation (EC) No 560/2005 imposing certain specific restrictive measures 
directed against certain persons and entities in view of the situation in Côte d’Ivoire 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 215(2) thereof, 

Having  regard  to  Council  Decision  2010/656/CFSP  of  29  October  2010  renewing  the 
restrictive  measures  against  Côte  d’Ivoire1  as 
last  amended  by  Council  Decision 
2011/…/CFSP of … 20112, 

Having  regard  to  the  joint  proposal  from  the  High  Representative  of  the  Union  for  Foreign 
Affairs and Security Policy and the European Commission, 

After consulting the European Data Protection Supervisor, 

Whereas: 

(1) 

(2) 

(3) 

Council Decision 2010/656/CFSP as amended provides for the adoption of restrictive 
measures  against  certain  persons  who,  while  not  designated  by  the  UN  Security 
Council or the Sanctions Committee, are obstructing the process of peace and national 
reconciliation in Côte d’Ivoire and in particular those who are jeopardising the proper 
outcome  of  the  electoral  process,  as  well  as  against  legal  persons,  entities  or  bodies 
owned  or  controlled  by  such  persons  and  persons,  entities  or  bodies  acting  on  their 
behalf or at their direction. 

These measures fall within the scope of the Treaty on the Functioning of the European 
Union  and,  therefore,  notably  with  a  view  to  ensuring  their  uniform  application  by 
economic operators in all Member States, regulatory action at the level of the Union is 
necessary in order to implement them. 

This Regulation respects the fundamental rights and observes the principles recognised 
in particular by the Charter of Fundamental Rights of the European Union and notably 
the  right  to  an  effective  remedy  and  to  a  fair  trial  and  the  right  to  the  protection  of 
personal data. This Regulation should be applied in accordance with those rights and 
principles. 

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2 

OJ L 285, 30.10.2010, p. 28. 
OJ L …, …2011, p. … . 

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(4) 

(5) 

(6) 

Council  Decision  2010/656/CFSP  as  amended  requires  the  communication  of  the 
decision,  including  the  grounds  for  listing,  to  a  listed  person,  entity  or  body,  and 
provides  for  the  opportunity  to  respond,  and  for  a  review  procedure  to  be  followed, 
when a natural or legal person, entity or body included in the Annexes to that Decision 
submits  observations  or  when  new  evidence  is  presented.  This  is  with  a  view  to 
ensuring  respect,  in  particular,  for  the  rights  of  the  defence  and  the  right  to  judicial 
review. These rights should also be respected by the Regulation. 

It is appropriate to empower the Commission to amend the list of persons, entities and 
bodies  whose  funds  and  economic  resources  should  be  frozen.  It  should  review  its 
listing decisions in light of the observations and information submitted by the natural 
or legal person, entity or body concerned and by the Member States.  

For  the  implementation  of  this  Regulation,  and  in  order  to  create  maximum  legal 
certainty within the Union, the names and other relevant data concerning natural and 
legal persons, entities and bodies whose funds and economic resources must be frozen 
in accordance with this Regulation, must be made public. Any processing of personal 
data  should  respect  Regulation  (EC)  No  45/2001  of  the  European  Parliament  and  of 
the Council of 18 December 2000 on the protection of individuals with regard to the 
processing of personal data by the Community institutions and bodies and on the free 
movement  of  such  data3  and  Directive  95/46/EC  of  the  European  Parliament  and  of 
the  Council  of  24  October  1995  on  the  protection  of  individuals  with  regard  to  the 
processing of personal data and on the free movement of such data4. 

(7) 

In order to ensure that the measures provided for in this Regulation are effective, this 
Regulation must enter into force immediately, 

HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 560/2005 is amended as follows: 

(1) 

Article 2 is replaced by the following: 

“Article 2 

1.  All funds and economic resources belonging to, owned, held or controlled by 
the natural or legal persons, entities and bodies listed in Annex I or in Annex 
IA shall be frozen.  

2.  No funds or economic resources shall be made available, directly or indirectly, 
to or for the benefit of the natural or legal persons, entities or bodies listed in 
Annex I or in Annex IA. 

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OJ L 8, 12.1.2001, p. 1. 
OJ L 281, 23.11.1995, p. 31. 

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3. 

The participation, knowingly and intentionally, in activities the object or effect 
of  which  is,  directly  or  indirectly,  to  circumvent  the  measures  referred  to  in 
paragraphs 1 and 2 shall be prohibited. 

4.  Annex I shall consist of the natural or legal persons, entities and bodies 
referred  to  in  Article  5(1)(a)  of  Council  Decision  2010/656/CFSP  as 
amended.  

5.  Annex IA shall consist of the natural or legal persons, entities and bodies 
referred  to  in  Article  5(1)(b)  of  Council  Decision  2010/656/CFSP  as 
amended.” 

(2) 

The following Article is inserted: 

“Article 2a 

1.  Annexes I and IA shall include only the following information on listed natural 

persons: 

(a) 

for  identification  purposes:  surname  and  given  names  (including  alias 
names and titles, if any); date and place of birth; nationality; passport and 
identity  card  numbers;  tax  and  social  security  numbers;  sex;  address  or 
other information on whereabouts; function held or profession;  

(b) 

the date referred to in Articles 4(a) and 6(b); 

(c) 

the grounds for listing. 

2.  Annexes  I  and  IA  may  also  include  information  on  family  members  of  the 
persons listed, provided that the inclusion of this information is considered to 
be necessary in a specific case for the sole purpose of verifying the identity of 
the listed natural person in question.” 

(3) 

Articles 3 and 4 are replaced by the following: 

“Article 3 

1. 

By way of derogation from Article 2, the competent authorities in the Member 
States as listed in Annex II may authorise the release of certain frozen funds or 
economic  resources,  or  the  making  available  of  certain  funds  or  economic 
resources,  under  such  conditions  as  they  deem  appropriate,  after  having 
determined that the funds or economic resources are: 

(a) 

(b) 

necessary for basic expenses, including payments for foodstuffs, rent or 
mortgage, medicines and medical treatment, taxes, insurance  premiums, 
and public utility charges; 

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

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(c) 

intended  exclusively  for  payment  of  fees  or  service  charges  for  routine 
holding or maintenance of frozen funds or economic resources. 

If  it  concerns  a  person,  entity  or  body  listed  in  Annex  I  the  competent  authorities 
shall notify their intention to authorise access to such funds and economic resources 
to  the  Sanctions  Committee.  They  shall  not  authorise  such  access  if  they  have 
received a negative decision by the Sanctions Committee within two working days of 
such notification. 

2. 

3. 

By way of derogation from Article 2 and provided it concerns a person, entity 
or  body  listed  in  Annex  I,  the  competent  authorities  in  the  Member  States  as 
listed  in  Annex  II  may  authorise  the  release  of  certain  frozen  funds  or 
economic  resources,  or  the  making  available  of  certain  funds  or  economic 
resources,  under  such  conditions  as  they  deem  appropriate,  after  having 
determined 
the  funds  or  economic  resources  are  necessary  for 
extraordinary expenses, provided that they have notified that determination to 
the Sanctions Committee and that the determination has been approved by that 
Committee, under the conditions envisaged by paragraph 14(e) of UN Security 
Council Resolution 1572 (2004). 

that 

By way of derogation from Article 2 and provided it concerns a person, entity 
or body listed in Annex IA, the competent authorities in the Member States as 
listed  in  Annex  II  may  authorise  the  release  of  certain  frozen  funds  or 
economic  resources,  or  the  making  available  of  certain  funds  or  economic 
resources,  under  such  conditions  as  they  deem  appropriate,  after  having 
determined 
the  funds  or  economic  resources  are  necessary  for 
extraordinary  expenses,  provided  that  the  Member  State  has  notified  the 
grounds on which it considers that a specific authorisation should be granted to 
all  other  Member  States  and  to  the  Commission  at  least  two  weeks  prior  to 
authorisation. 

that 

Article 4 

By way of derogation from Article 2, the competent authorities in the Member States 
as listed in Annex II may authorise the release of certain frozen funds or economic 
resources, if the following conditions are met: 

(a) 

(b) 

the  funds  or  economic  resources  in  question  are  the  subject  of  a  judicial, 
administrative or arbitral lien established prior to the date on which the person, 
entity or body referred to in Article 2 became subject to this Regulation, or of a 
judicial, administrative or arbitral judgment rendered prior to that date; 

the funds or economic resources in question will be used exclusively to satisfy 
claims secured by such a lien or recognised as valid in such a judgment, within 
the limits set by applicable laws and regulations governing the rights of persons 
having such claims; 

(c) 

the lien or judgment is not for the benefit of a person, entity or body listed in 
Annex I or in Annex IA; 

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(d) 

(e) 

recognising the lien or judgment is not contrary to public policy in the Member 
State concerned; and 

if  it  concerns  a  person,  entity  or  body  listed  in  Annex  I,  the  competent 
authorities have notified the lien or judgment to the Sanctions Committee.” 

(4) 

Article 7 is replaced by the following: 

“Article 7 

Article  2(2)  shall  not  prevent  financial  or  credit  institutions  in  the  Union  from 
crediting  frozen  accounts  where  they  receive  funds  transferred  to  the  account  of  a 
listed  natural  or  legal  person,  entity  or  body,  provided  that  any  additions  to  such 
accounts  will  also  be  frozen.  The  financial  or  credit  institution  shall  inform  the 
relevant competent authority about any such transaction without delay.” 

(5) 

The following Article is inserted: 

“Article 9a 

The prohibition set out in Article 2(2) shall not give rise to any liability of any kind 
on the part of the natural and legal persons, entities and bodies who made funds or 
economic resources available if they did not know, and had no reasonable cause to 
suspect, that their actions would infringe the prohibition in question.” 

(6) 

Article 11 is replaced by the following: 

1. 

The Commission shall be empowered to: 

“Article 11 

(a) 

(b) 

amend Annex I on the basis of determinations made by the UN Security 
Council or the Sanctions Commmittee; 

amend Annex IA on the basis of decisions taken in respect of Annex II to 
Council Decision 2010/656/CFSP; and 

(b) 

amend Annex II on the basis of information supplied by Member States. 

2. 

The Commission shall communicate its decision to the natural or legal person, 
entity  or  body  included  in  Annex  I  or  in  Annex  IA,  either  directly,  if  the 
address is known, or through the publication of a notice, providing such natural 
or legal person, entity or body with an opportunity to present observations. 

3.  Where  observations  are  submitted  or  where  substantial  new  evidence  is 
presented,  the  Commission  shall  forward  the  observations  or  evidence 
submitted  to  the  Sanctions  Committee  if  it  concerns  Annex  I.  If  it  concerns 
Annex  IA  it  shall  forward  them  to  the  Africa  working  party  of  the  Council 
requesting  each  Member  State  to  submit  its  observations  and,  where 

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appropriate, further information. The period for submission of observations and 
further information shall not exceed three months. 

4. 

The  Commission  shall  review  its  decision  in  light  of  the  observations  and 
information submitted by the natural or legal person, entity or body included in 
Annex I or Annex IA and the Member States. 

The  Commission  shall  inform  the  natural  or  legal  person,  entity  or  body  of  the 
outcome of the review. 

5. 

The  Commission  shall  process  personal  data  in  order  to  carry  out  its  tasks 
under this Regulation. These tasks include:  

(a) 

(b) 

(c) 

preparing  and  making  amendments  of  Annex  I  and  Annex  IA  to  this 
Regulation;  

including the contents of these annexes in the electronic, consolidated list 
of persons, groups and entities subject to EU financial sanctions available 
on the Commission website5;  

processing  of  information  on  the  impact  of  the  measures  of  this 
Regulation  such  as  the  value  of  frozen  funds  and  information  on 
authorisations granted by the competent authorities. 

6. 

7. 

The  Commission  may  process  relevant  data  relating  to  criminal  offences 
committed  by  listed  natural  persons,  and  to  criminal  convictions  or  security 
measures  concerning  such  persons,  only  to  the  extent  that  such  processing  is 
necessary  for  the  preparation  of  Annex  I  or  of  Annex  IA  to  this  Regulation 
concerned. Such data shall not be made public or exchanged. 

For the purposes of this Regulation, the Commission unit listed in Annex II is 
designated  as  “controller”  for  the  Commission  within  the  meaning  of  Article 
2(d) of Regulation (EC) No 45/2001, in order to ensure that the natural persons 
concerned can exercise their rights under Regulation (EC) No 45/2001.” 

(7) 

The following Article is inserted: 

“Article 12a 

Where  there  is,  in  this  Regulation,  a  requirement  to  notify,  inform  or  otherwise 
communicate with the Commission, the address and other contact details to be used 
for such communication shall be those indicated in Annex II.” 

(8) 

Article 13 is replaced by the following: 

This Regulation shall apply: 

“Article 13 

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http://ec.europa.eu/external_relations/cfsp/sanctions/consol-list_en.htm 

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(a)  within the territory of the Union, including its airspace; 

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

(c) 

(d) 

(e) 

to any person inside or outside the territory of the Union 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; 

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

(9) 

The text set out in Annex I is inserted into Regulation (EC) No 560/2005 as Annex 
IA. 

(10) 

Annex II to Regulation (EC) No 560/2005 is amended as set out in Annex II. 

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

Article 2 

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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ANNEX I 

“ANNEX IA 

List  of  natural  and  legal  persons,  entities  or  bodies  not  designated  by  the  UN  Security 
Council or the Sanctions Committee, referred to in Articles 2, 4 and 7 

(To be completed by Council)” 

ANNEX II 

Annex  II  (List  of  competent  authorities  referred  to  in  Articles  3,  4,  5,  7  and  8)  to 
Regulation (EC) No 560/2005 is amended as follows: 

The section ‘European Community’ is replaced by the following: 

“Address for notifications to or other communication with the European Commission: 

European Commission 

Foreign Policy Instruments Service 

Unit FPIS.2 

CHAR 12/106 

B-1049 Bruxelles/Brussel  

Belgium 

E-mail: relex-sanctions@ec.europa.eu  

Tel.: (32 2) 295 55 85 

Fax: (32 2) 299 08 73” 

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