Joint proposal for a COUNCIL REGULATION concerning restrictive measures directed against certain persons, entities and bodies in view of the situation in Tunisia
Date: 2011-01-31
Institutions: European Commission, High Representative of the Union
Subjects: Tunisia, dictatorship, economic sanctions, international sanctions, natural person

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EUROPEAN COMMISSION 

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

Brussels, 31.1.2011 
COM(2011) 45 final 

2011/0022 (NLE) 

Joint proposal for a 

COUNCIL REGULATION 

concerning restrictive measures directed against certain persons, entities and bodies in 
view of the situation in Tunisia 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

Council  Decision  2011/[…]/CFSP  of  […]  provides  for  the  adoption  of  restrictive 
measures against persons responsible for the misappropriation of Tunisian State funds 
and  who  are  thus  depriving  the  Tunisian  people  of  the  benefits  of  the  sustainable 
development of their economy and society and are at the same time undermining the 
development of democracy in the country. 

These measures consist of a freezing of funds and economic resources of those persons 
listed  in  the  annex  to  the  CFSP  Decision.  The  High  Representative  of  the  EU  for 
Foreign  Affairs  and  Security  Policy  and  the  Commission  propose  to  give  effect  to 
these measures by means of a Regulation based on Article 215 (2) of the Treaty on the 
Functioning of the European Union (TFEU). 

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2011/0022 (NLE) 

Joint proposal for a 

COUNCIL REGULATION 

concerning restrictive measures directed against certain persons, entities and bodies in 
view of the situation in Tunisia 

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  2011/[…]/CFSP  of  […]  concerning  restrictive  measures 
directed against certain persons, entities and bodies in view of the situation in Tunisia, 

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

After consulting the European Data Protection Supervisor, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

Council  Decision  2011/[…]/CFSP  of  […]  provides  for  the  freezing  of  funds  and 
economic  resources  of  certain  persons  responsible  for  the  misappropriation  of 
Tunisian  State  funds,  and  persons  associated  with  them,  who  are  thus  depriving  the 
Tunisian people of the benefits of the sustainable development of their economy and 
society and undermining the development of democracy in the country. These natural 
or legal persons, entities and bodies are listed in the Annex to the Decision. 

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.  

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. 

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 

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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  data1  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 data2. 

(6) 

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 

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

(a) 

‘funds’ means financial assets and benefits of every kind, including but not limited 
to: 

(i) 

cash,  cheques,  claims  on  money,  drafts,  money  orders  and  other  payment 
instruments; 

(ii)  deposits with financial institutions or other entities, balances on accounts, debts 

and debt obligations; 

(iii)  publicly- and privately-traded securities and debt instruments, including stocks 
and  shares,  certificates  representing  securities,  bonds,  notes,  warrants, 
debentures and derivatives contracts; 

(iv) 

interest, dividends or other income on or value accruing from or generated by 
assets; 

(v) 

credit,  right  of  set-off,  guarantees,  performance  bonds  or  other  financial 
commitments; 

(vi) 

letters of credit, bills of lading, bills of sale; 

(vii)  documents evidencing an interest in funds or financial resources; 

(b) 

(c) 

‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, 
or  dealing  with  funds  in  any  way  that  would  result  in  any  change  in  their  volume, 
amount, location, ownership, possession, character, destination or other change that 
would enable the funds to be used, including portfolio management; 

‘economic  resources’  means  assets  of  every  kind,  whether  tangible  or  intangible, 
movable or immovable, which are not funds but may be used to obtain funds, goods 
or services; 

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

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(d) 

(e) 

1. 

2. 

3. 

1. 

‘freezing of economic resources’ means preventing their use to obtain funds, goods 
or services in any way, including, but not limited to, by selling, hiring or mortgaging 
them; 

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

Article 2 

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

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. 

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. 

Article 3 

Annex  I  shall  consist  of  natural  or  legal  persons,  entities  and  bodies  who,  in 
accordance with Article 1(1) of Council Decision 2011/[…]/CFSP of […], have been 
identified  by  the  Council  as  being  responsible  for  the  misappropriation  of  Tunisian 
State funds, and natural or legal persons, entities and bodies associated with them. 

2. 

Annex I 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 on which the natural or legal person, entity or body has been included 
in Annex; 

(c) 

the grounds for listing. 

Annex  I  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. 

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,  or  the  making  available  of  certain  funds  or  economic  resources,  under 

3. 

1. 

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such conditions as they deem appropriate, after having determined that the funds or 
economic resources are: 

(a) 

necessary  to  satisfy  the  basic  needs  of  persons  listed  in  Annex  I,  and  their 
dependent  family  members,  including  payments  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;  

(c) 

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

(d)  necessary  for  extraordinary  expenses,  provided  in  this  case  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. 

The  relevant  Member  State  shall  inform  the  other  Member  States  and  the 
Commission of any authorisation granted under paragraph 1. 

Article 5 

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) 

(c) 

(d) 

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 was included in Annex I, 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; 

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

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

2. 

1. 

2. 

The  relevant  Member  State  shall  inform  the  other  Member  States  and  the 
Commission of any authorisation granted under paragraph 1. 

1. 

Article 2(2) shall not apply to the addition to frozen accounts of: 

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(a) 

interest or other earnings on those accounts; or 

(b)  payments due under contracts, agreements or obligations that were concluded 
or  arose  before  the  date  on  which  the  natural  or  legal  person,  entity  or  body 
referred to in Article 2 has been included in Annex I, 

provided  that  any  such  interest,  other  earnings  and  payments  are  frozen  in 
accordance with Article 2(1). 

2. 

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. 

Article 7 

By way of derogation from Article 2 and provided that a payment by a person, entity or body 
listed in Annex I is due under a contract or agreement that was concluded by, or an obligation 
that  arose  for  the  person,  entity  or  body  concerned,  before  the  date  on  which  that  person, 
entity  or  body  had  been  designated,  the  competent  authorities  of  the  Member  States,  as 
indicated  on  the  websites  listed  in  Annex II,  may  authorise,  under  such  conditions  as  they 
deem appropriate, the release of certain frozen funds or economic resources, if the following 
conditions are met: 

(a) 

the competent authority concerned has determined that: 

(i) 

the funds or economic resources shall be used for a payment by a person, entity 
or body listed in Annex I; 

(ii) 

the payment is not in breach of Article 2 (2); 

(b) 

the  Member  State  concerned  has,  at  least  two  weeks  prior  to  the  grant  of  the 
authorisation,  notified  the  other  Member  States  and  the  Commission  of  that 
determination and its intention to grant an authorisation. 

Article 8 

1. 

2. 

The  freezing  of  funds  and  economic  resources  or  the  refusal  to  make  funds  or 
economic resources available, carried out in good faith on the basis that such action 
is in accordance with this Regulation, shall not give rise to liability of any kind on 
the  part  of  the  natural  or  legal  person  or  entity  or  body  implementing  it,  or  its 
directors  or  employees,  unless  it  is  proved  that  the  funds  and  economic  resources 
were frozen or withheld as a result of negligence. 

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. 

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Article 9 

1. 

Without  prejudice  to  the  applicable  rules  concerning  reporting,  confidentiality  and 
professional secrecy, natural and legal persons, entities and bodies shall: 

(a) 

supply  immediately  any  information  which  would  facilitate  compliance  with 
this  Regulation,  such  as  accounts  and  amounts  frozen  in  accordance  with 
Article  2,  to  the  competent  authority  in  the  Member  State  where  they  are 
resident  or  located,  as  indicated  on  the  websites  listed  in  Annex  II,  and  shall 
transmit such information, either directly or through the Member States, to the 
Commission; and 

(b) 

co-operate with that competent authority in any verification of this information. 

2. 

Any information provided or received in accordance with this Article shall be used 
only for the purposes for which it was provided or received. 

Article 10 

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. 

1. 

The Commission shall be empowered to: 

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(a) 

amend Annexes I on the basis of decisions taken in respect of Annex I to 
Council Decision 2011/XXX/CFSP; and 

(b) 

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

2. 

3. 

4. 

5. 

The Commission shall communicate its decision to the natural or legal person, entity 
or body included in Annex I, 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 submitt observations. 

Where observations or substantial new evidence are submitted, the Commission shall 
review its decision in the light of the observations and information submitted by the 
natural or legal person, entity or body included in Annex I and by the Member States. 

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

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

(a) 

preparing and making amendments of Annex I to this Regulation;  

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(b) 

(c) 

6. 

7. 

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 website3;  

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. 

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 to this Regulation. 
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. 

Article 12 

1. 

2. 

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. 

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 13 

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. 

This Regulation shall apply: 

Article 14 

(a) 

(b) 

(c) 

within the territory of the Union, including its airspace; 

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

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

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

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(d) 

(e) 

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. 

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

Article 15 

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 natural and legal persons, entities or bodies referred to in Article 2(1)  

ANNEX I 

(To be completed by Council) 

ANNEX II 

List  of  competent  authorities  in  the  Member  States  referred  to  in  Articles  4(1),  5(1),  7 
and 8(1) and address for notifications to the European Commission 

(To be completed by the Member States)  

A. 

Competent authorities in each Member State: 

BELGIUM 

BULGARIA 

CZECH REPUBLIC 

DENMARK 

GERMANY 

ESTONIA 

IRELAND 

GREECE 

SPAIN 

FRANCE 

ITALY 

CYPRUS 

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LATVIA 

LITHUANIA 

LUXEMBOURG 

HUNGARY 

MALTA 

NETHERLANDS 

AUSTRIA 

POLAND 

PORTUGAL 

ROMANIA 

SLOVENIA 

SLOVAKIA 

FINLAND 

SWEDEN 

UNITED KINGDOM 

B. 

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

European Commission 

Foreign Policy Instruments Service 

CHAR 12/106 

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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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