Joint proposal for a COUNCIL REGULATION amending Council Regulation (EU) No 204/2011 concerning restrictive measures in view of the situation in Libya
Date: 2011-03-23
Institutions: European Commission, High Representative of the Union
Subjects: Libya, economic sanctions, human rights, international sanctions, military equipment, natural person, restriction of liberty, technical cooperation, technology transfer

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EUROPEAN COMMISSION 

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

Brussels, 23.3.2011 
COM(2011) 157 final 

2011/0066 (NLE) 

Joint proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EU) No 204/2011 concerning restrictive measures in view 
of the situation in Libya 

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EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

(4) 

Council  Regulation  (EU)  No  204/2011  was  adopted  on  2  March  2011,  pursuant  to 
Council Decision 2011/137/CFSP of 28 February 2011, in order to implement United 
Nations  Security  Council  Resolution  1970  (2011)  and  to  provide  for  additional  EU 
autonomous mesures in consideration of the seriousness of the situation in Libya.  

Council  Decision  2011/[…]/CFSP  of  […]  amends  Council  Decision  2011/137/CFSP 
and provides for the adoption of further restrictive measures in order to comply with 
UN Security Council Resolution 1973 (2011).  

These  further  measures  include  a  prohibition  on  certain  flights,  a  prohibition  on  the 
provision of armed mercenary personnel, and a broadening of the freezing measures. 
In addition, the Council Decision includes a provision to ensure that the measures do 
not affect the provision of humanitarian assistance in Libya.  

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 of the Treaty on the Functioning of the European Union (TFEU). 

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2011/0066 (NLE) 

Joint proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EU) No 204/2011 concerning restrictive measures in view 
of the situation in Libya 

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having  regard  to  Council  Decision  2011/[…]/CFSP  of  […]  amending  Council  Decision 
2011/137/CFSP concerning further restrictive measures in view of the situation in Libya, 

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) 

Council  Decision  2011/[…]/CFSP  of  […]  provides,  inter  alia,  for  further  restrictive 
measures in relation to Libya, including a prohibition on flights in the Libyan airspace, 
a prohibtion on Libyan aircraft in EU airspace, and further provisions in relation to the 
measures  introduced  in  Council  Decision  2011/137/CFSP  including  a  provision  to 
ensure that these measures do not affect humanitarian operations in Libya. 

Some of 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. 

Council Regulation (EU) No 204/20111 should be amended accordingly. 

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: 

Regulation (EU) No 204/2011 is amended as follows: 

Article 1 

1 

OJ L 58, 3.3.2011, p. 1. 

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(1) 

Article 3 shall be replaced by the following:  

1. 

It shall be prohibited: 

“Article 3 

(a) 

(b) 

(c) 

to provide, directly or indirectly, technical assistance related to the goods and 
technology  listed  in  the  Common  Military  List  of  the  European  Union 
(Common Military List)2 or related to the provision, manufacture, maintenance 
and use of goods included in that list, to any person, entity or body in Libya or 
for use in Libya; 

to  provide,  directly  or  indirectly,  technical  assistance  or  brokering  services 
related  to  equipment  which  might  be  used  for  internal  repression  as  listed  in 
Annex I, to any person, entity or body in Libya or for use in Libya; 

to provide, directly or indirectly, financing or financial assistance related to the 
goods  and  technology  listed  in  the  Common  Military  List  or  in  Annex I, 
including  in  particular  grants,  loans  and  export  credit  insurance,  for  any  sale, 
supply,  transfer  or  export  of  such  items,  or  for  any  provision  of  related 
technical assistance to any person, entity or body in Libya or for use in Libya; 

(d) 

to  provide,  directly  or  indirectly,  technical  assistance,  financing  or  financial 
assistance,  brokering  services  or  transport  services  related  to  the  provision  of 
armed mercenary personnel in Libya or for use in Libya; 

(e) 

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

By way of derogation from paragraph 1, the prohibitions refered to therein shall not 
apply  to  the  provision  of  technical  assistance,  financing  and  financial  assistance 
related to non lethal military equipment intended solely for humanitarian purposes or 
protective use, or to other sales and supply of arms and related material, as approved 
in advance by the Sanctions Committee.  

By  way  of  derogation  from  paragraph  1,  the  competent  authorities  in  the  Member 
States  as  listed  in  Annex  IV  may  authorise  the  provision  of  technical  assistance, 
financing  and  financial  assistance  related  to  equipment  which  might  be  used  for 
internal  repression,  under  such  conditions  as  they  deem  appropriate,  if  they 
determine that such equipment is intended solely for humanitarian or protective use. 

By  way  of  derogation  from  paragraph  1,  the  competent  authorities  in  the  Member 
States,  as  listed  in  Annex  IV,  may  authorise  the  provision  to  persons,  entities  or 
bodies in Libya of technical assistance, financing and financial assistance related to 
the goods and technology listed in the Common Military List, or to equipment which 
might be used  for  internal repression, where the  competent  authority considers that 
such  authorisation  is  necessary  in  order  to  protect  civilians  and  civilian  populated 
areas  in  Libya  which  are  under  threat  of  attack,  provided  that  the  Member  State 

2. 

3. 

4. 

2 

OJ C 69, 18.3.2010, p. 19. 

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concerned  has  given  prior  notification  to  the  Secretary  General  of  the  United 
Nations; 

5. 

Paragraph 1 shall not apply to protective clothing, including flak jackets and helmets, 
temporarily  exported  to  Libya  by  United  Nations  personnel,  personnel  of  the 
European Union or its Member States, representatives of the media and humanitarian 
and development workers and associated personnel for their personal use only.” 

(2) 

The following Article 4a shall be inserted:  

“Article 4a 

1. 

It shall be prohibited for any aircraft or air carrier registered in Libya, or owned or 
operated by Libyan nationals or entities to: 

(a) 

fly over the territory of the Union; 

(b) 

to make stops in the territory of the Union for any purpose; 

(c) 

to operate any air service from / to the Union. 

except  where  the  particular  flight  has  been  approved  in  advance  by  the  Sanctions 
Committee or in the case of an emergency landing. 

2. 

It  shall  be  prohibited  to  participate,  knowingly  and  intentionally,  in  activities  the 
object or effect of which is to circumvent the prohibtion in paragraph 1.” 

(3) 

The following Article 4b shall be inserted: 

“Article 4b 

1. 

It shall be prohibited for any aircraft or air carrier in the EU, or owned or operated by 
citizens  of  the  union  or  by  entities  incorporated  or  constituted  under  the  law  of  a 
Member State to : 

(a) 

fly over the territory of Libya; 

(b) 

to make stops in the territory of Libya for any purpose; 

(c) 

to operate any air service from / to Libya. 

2. 

Paragraph 1 shall not apply to flights 

(i)  whose sole purpose is humanitarian, such as delivering or facilitating the 
delivery  of  assistance,  including  medical  supplies,  food,  humanitarian 
workers and related assistance; 

(ii) 

evacuating foreign nationals from Libya 

(iii)  authorised by paragraphs 4 or 8 of UN Security Council Resolution 1973 

(2011); or 

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(iv)  deemed  necessary  by  Member  States  acting  under  the  authority  of 
paragraph 8 of UNSCR 1973 (2011) for the benefit of the Libyan people 

3. 

It  shall  be  prohibited  to  participate,  knowingly  and  intentionally,  in  activities  the 
object or effect of which is to circumvent the prohibition in paragraph 1.” 

(4) 

Article 6(1) and (2) shall be replaced by the following: 

“1. Annex II shall include the natural or legal persons, entities and bodies designated 
by the United Nations Security Council or by the Sanctions Committee in accordance 
with  paragraph  22  of  UNSCR  1970  (2011)  or  paragraph  19,  22  or  23  of  UNSCR 
1973 (2011). 

2. Annex III shall consist of natural or legal persons, entities and bodies, not covered 
by Annex II, who, in accordance with Article 6(1) of Decision 2011/137/CFSP have 
been identified by the Council as being persons and entities involved in or complicit 
in  ordering,  controlling,  or  otherwise  directing,  the  commission  of  serious  human 
rights abuses against persons in Libya, including by being involved in or complicit in 
planning,  commanding, ordering or conducting attacks, in violation of international 
law,  including  aerial  bombardments,  on  civilian  populations  and  facilities,  or  as 
being persons or entities that are Libyan authorities, or as being persons and entities 
that have violated or have assisted in violating the provisions of UNSCR 1970 and 
1973 or this regulation , or as being persons or entities acting for or on behalf or at 
the direction of any of the above, or by entities owned or controlled by them or by 
persons and entities listed in Annex II.” 

(5) 

The following Article 6a is inserted:  

“Article 6a 

With regard to non-designated entities in which a designated entity has a stake, the 
obligation to freeze the funds and economic resources of the designated entity does 
not  prevent  such  non-designated  entities  from  continuing  to  conduct  legitimate 
business  insofar  as  this  does  not  involve  making  available  any  funds  or  economic 
resources to a designated person or entity. 

(6) 

The following Article 8a is inserted: 

“Article 8a 

By  way  of  derogation  from  Article  5,  the  competent  authorities  in  the  Member 
States, as listed in Annex IV, may authorise the release of frozen funds or economic 
resourses belonging to persons entities or bodies listed in Annex III, or the making 
available of certain funds or economic resources to persons entities or bodies listed in 
Annex  III,  under  such  conditions  as  they  deem  appropriate,  where  they  consider  it 
necessary for humanitarian purposes, such as delivering or facilitating the delivery of 
assistance,  including  medical  supplies,  food,  provision  of  electricity,  humanitarian 
workers, or the evacuation of foreign nationals from Libya. The Member State shall 
inform other Member States and the Commission of authorisations made under this 
paragraph.” 

(7) 

Article12 shall be replaced by the following: 

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“Article 12 

No  claims,  including  for  compensation  or  any  other  claim  of  this  kind,  such  as  a 
claim  of  set-off  or  a  claim  under  a  guarantee,  in  connection  with  any  contract  or 
transaction the performance of which was affected, directly or indirectly, wholly or 
in  part,  by  reason  of  measures  decided  upon  pursuant  to  UNSCR  1970  (2011)  or 
UNSCR  1973  (2011),  including  measures  of  the  Union  or  any  Member  State  in 
accordance with, as required by or in any connection with, the implementation of the 
relevant  decisions  of  the  Security  Council  or  measures  covered  by  this  Regulation, 
shall  be  granted  to  the  Libyan  Authorities,  or  any  person  or  entity  claiming  on  its 
behalf or for its benefit.” 

The  persons  and  entities  mentioned  in  the  Annex  to  this  Regulation  shall  be  included  in 
Annex II to Regulation (EU) No 204/2011. 

Article 2 

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

Article 3 

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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Persons and entities to be included in Annex II to Regulation (EU) No 204/2011 “List of 
natural and legal persons, entities or bodies referred to in Article 6 (1)” 

ANNEX  

Persons 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

DORDA, Abu Zaid Umar  
Director, External Security Organisation. 

Date of UN designation: 18.3.2011. 

JABIR, Abu Bakr Yunis   
Date of birth: 1952. Place of birth: Jalo, Libya. 
Major General, Defence Minister. 

Date of UN designation: 18.3.2011. 

MATUQ, Matuq Mohamed 
Date of birth: 1956. Place of birth: Khoms. 
Secretary for utilities. 

Date of UN designation: 18.3.2011. 

QADHAFI, Mohammed Muammar 
Date of birth: 1970. Place of birth: Tripoli, Libya.  
Son of Muammar Qadhafi. Closeness of association with regime. 

QADHAFI, Saadi   
Date of birth: 25.05.1973. Place of birth: Tripoli, Libya.   
Commander  Special  Forces.  Son  of  Muammar  Qadhafi.  Closeness  of  association 
with regime. Command of military units involved in repression of demonstrations. 

Date of UN designation: 18.3.2011. 

QADHAFI, Saif Al Arab   
Date of birth: 1982. Place of birth: Tripoli, Libya.  
Son of Muammar QADHAFI. Closeness of association with regime. 

Date of UN designation: 18.3.2011. 

AL SENUSSI, Abdullah 
Date of birth: 1949. Place of birth: Sudan.  
Colonel. Director Military Intelligence. 

Date of UN designation: 18.3.2011. 

Entities. 

1. 

Central Bank of Libya 
Under control of Muammar Qadhafi and his family, and potential source of funding 
for his regime. 

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Date of UN designation: 18.3.2011. 

2. 

Libyan Investment Authority 
a.k.a: Libyan Arab Foreign Investment Company (LAFICO) 

Address:  1  Fateh  Tower  Office,  No9,  22nd  Floor,  Borgaida  Street,  Tripoli,  Libya, 
1103 

Under control of Muammar Qadhafi and his family, and potential source of funding 
for his regime. 

Date of UN designation: 18.3.2011. 

Libyan Foreign Bank 
Under control of Muammar Qadhafi and his family, and potential source of funding 
for his regime. 

Date of UN designation: 18.3.2011. 

Libyan African Investment Portfolio 
Address: Jamahiriya Street, LAP Building, PO Box 91330, Tripoli, Libya 

Under control of Muammar Qadhafi and his family, and potential source of funding 
for his regime. 

3. 

4. 

Date of UN designation: 18.3.2011. 

5. 

Libyan National Oil Company 
Address: Bashir Saadawi Street, Tripoli, Tarabulus, Libya 

Under control of Muammar Qadhafi and his family, and potential source of funding 
for his regime. 

Date of UN designation: 18.3.2011.” 

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