Joint Proposal for a COUNCIL REGULATION amending Council Regulation (EC) No 1183/2005 imposing certain specific restrictive measures directed against persons acting in violation of the arms embargo with regard to the Democratic Republic of the Congo
Date: 2013-05-17
Institutions: European Commission, High Representative of the Union
Subjects: Democratic Republic of the Congo, arms supply, economic sanctions, international sanctions, trade restriction

EUROPEAN 
COMMISSION 

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

Brussels, 17.5.2013  
JOIN(2013) 17 final 

2013/0160 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EC) No 1183/2005 imposing certain specific restrictive 
measures directed against persons acting in violation of the arms embargo with regard 
to the Democratic Republic of the Congo 

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(1) 

(2) 

(3) 

(4) 

(5) 

EXPLANATORY MEMORANDUM 

to  Council  Decision 
Council  Regulation  (EC)  No  1183/2005  gives  effect 
2010/788/CFSP and provides for certain measures directed against persons acting in 
violation of the arms embargo with regard to the Democratic Republic of the Congo, 
including a freezing of their assets.  

By  Council  Decision  2012/811/CFSP  of  20  December  2012  amending  Decision 
2010/788/CFSP concerning restrictive measures against the Democratic Republic of 
the  Congo,  the  Council  amended  the  criteria  for  listing  of  natural  or  legal  persons, 
entities or bodies in the Annex of that Decision in line with UNSCR 2078 (2012) of 
28 November 2012. 

Regulation  (EC)  No  1183/2005  should  also  be  amended  to  take  account  of  the 
requirement  for  legal  safeguards  provided  for  in  Art  215(3)  TFEU  and  the 
jurisprudence of the European Court of Justice. 

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

The  High  Representative  of  the  Union  for  Foreign  Affairs  and  Security  Policy  and 
the European Commission should propose to amend Regulation (EC) No 1183/2005 
accordingly. 

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2013/0160 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EC) No 1183/2005 imposing certain specific restrictive 
measures directed against persons acting in violation of the arms embargo with regard 
to the Democratic Republic of the Congo 

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  2010/788/CFSP  of  20  December  2010  concerning 
restrictive  measures  against  the  Democratic  Republic  of  the  Congo  and  repealing  Common 
Position 2008/369/CFSP1, 

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

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

Council  Regulation  (EC)  No  1183/2005  of  18  July  2005  imposing  certain  specific 
restrictive measures directed against persons acting in violation of the arms embargo 
with  regard  to  the  Democratic  Republic  of  the  Congo2  gives  effect  to  measures 
provided for in Decision 2010/788/CFSP. Annex I to Regulation (EC) No 1183/2005 
lists the natural and legal persons, entities and bodies covered by the freezing of funds 
and economic resources under that Regulation. 

United Nations Security Council Resolution (UNSCR) 2078 (2012) of 28 November 
2012 amended the criteria for the designation of persons and entities to be subject to 
the restrictive measures set out in paragraphs 9 and 11 of UNSCR 1807 (2008). 
On  20  December  2012,  the  Council  adopted  Decision  2012/811/CFSP3  amending 
Decision 2010/788/CFSP in accordance with UNSCR 2078 (2012). 

Regulation  (EC)  No  1183/2005  should  also  be  amended  to  take  account  of  the 
requirement  for  legal  safeguards  provided  for  in  Art  215(3)  TFEU  and  the 
jurisprudence of the European Court of Justice. 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation 
implementing powers should be conferred on the Commission. Those powers should 
be  exercised  in  accordance  with  Regulation  (EU)  182/2011  of  the  European 
Parliament and of the Council of 16 February 2011 laying down the rules and general 
principles  concerning  mechanisms  for  control  by  the  Member  States  of  the 
Commission's exercise of implementing powers4. 

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2 
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4 

OJ L 336, 21.12.2010, p. 30. 
OJ L 193, 23.7.2005, p. 1. 
OJ L 101, 15.4. 2011, p. 24. 
OJ L 55, 28.2.2011, p.13. 

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(6) 

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

(7) 

Council Regulation (EC) No 1183/2005 should therefore be amended accordingly, 

HAS ADOPTED THIS REGULATION: 

Regulation (EC) No 1183/2005 is amended as follows: 

(1) 

The following Article 2a is inserted: 

Article 1 

“Article 2a 

1.  Annex I shall include the natural or legal persons, entities or bodies designated 
by the Sanctions Committee or the United Nations Security Council as:  

(a) 

persons  or  entities  acting  in  violation  of  the  arms  embargo  and  related 
measures  as  referred  to  in  Article  1  of  Decision  2010/788/  CFSP  and 
Article 2 of Regulation (EC) No 889/20055, 

(b)  political  and  military  leaders  of  foreign  armed  groups  operating  in  the 
Democratic Republic of the Congo (DRC) who impede the disarmament 
and the voluntary repatriation or resettlement of combatants belonging to 
those groups, 

(c) 

political  and  military  leaders  of  Congolese  militias  receiving  support 
from outside the DRC, who impede the participation of their combatants 
in disarmament, demobilisation and reintegration processes, 

(d)  political  and  military  leaders  operating  in  the  DRC  and  recruiting  or 

using children in armed conflict contrary to applicable international law, 

(e) 

(f) 

(g) 

(h) 

(i) 

individuals  or  entities  operating  in  the  DRC  and  committing  serious 
violations  involving  the  targeting  of  children  or  women  in  situations  of 
armed  conflict, 
including  killing  and  maiming,  sexual  violence, 
abduction, and forced displacement, 

individuals  or  entities  obstructing  the  access  to  or  the  distribution  of 
humanitarian assistance in the eastern part of the DRC, 

individuals  or  entities  illegally  supporting  armed  groups  in  the  eastern 
part of the DRC through illicit trade of natural resources, including gold, 

individuals  or  entities  acting  on  behalf  of  or  at  the  direction  of  a 
designated  individual  or  entity  owned  or  controlled  by  a  designated 
individual, 

individuals or entities who plan, sponsor or participate in attacks against 
peacekeepers of the United Nations Organization Stabilization Mission in 
the DRC (MONUSCO). 

2.  Annex I shall include only the following information on listed natural or legal 

persons, entities or bodies: 

5 

OJ L 152, 15.6.2005, p. 1. 

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(a) 

for  identification  purposes:  in  the  case  of  natural  persons,  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;  in  the  case  of  legal  persons,  entities  or 
bodies,  name,  place  and  date  of  registration,  registration  number  and 
place of business. 

(b) 

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

(c) 

the grounds for listing. 

3.  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.” 

(2) 

Article 9 is replaced by the following: 

1. 

The Commission shall be empowered to: 

“Article 9 

(a) 

amend  Annex  I  on  the  basis  of  determinations  made  by  either  the 
Sanctions Committee or the United Nations Security Council; and 

(b) 

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

2.  Without prejudice to the rights and obligations of the Member States under the 
Charter  of  the  United  Nations,  the  Commission  shall  maintain  all  necessary 
contacts  with  the  Sanctions  Committee  for  the  purpose  of  the  effective 
implementation of this Regulation. 

3. 

The Commission shall state, in Annex I, the grounds for its decision to include 
an  entry  in  that  Annex,  and  shall  communicate  its  decisions,  including  the 
grounds  for  the  listing  to  the  listed  persons,  entities  or  bodies  if  the  adress  is 
known or, if the adress is not known, draw its decisions to the attention of the 
listed  persons,  entities  or  bodies  through  the  publication  of  a  notice  in  the 
Offical Journal of the European Union, providing such person, entitity or body 
with an opportunity to submit observations. 

4. 

Persons,  entities  or  bodies  which  were  included  in  Annex  I  before  the  entry 
into  force  of  this  Regulation  and  continue  to  be  listed,  may  also  submit 
observations to the Commission. 

5.  Where  observations  are  submitted  or  where  substantial  new  evidence  is 
presented,  the  Commission  shall  forward  the  observations  or  evidence 
submitted to the Sanctions Committee.  

6. 

The  Commission  shall  review  its  decision  in  light  of  the  observations 
submitted and any other relevant information, following the procedure referred 
to in Artice 9(a)(2), and inform the person, entity or body of the outcome of the 
review.  The  result  of  the  review  shall  also  be  forwarded  to  the  Sanctions 
Committee.” 

(3) 

The following Article 9a is inserted: 

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“Article 9a 

1. 

The Commission shall be assisted by a committee. That committee shall be a 
committee within the meaning of Regulation (EU) No 182/20116. 

2.  Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 

182/2011 shall apply.” 

(4) 

The following Article 9b is inserted: 

“Article 9b 

1. 

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;  

including  the  contents  of  Annex  I  in  the  electronic,  consolidated  list  of 
persons,  groups  and  entities  subject  to  EU  financial  sanctions  available 
on the website7;  

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. 

2. 

3. 

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.” 

This  Regulation  shall  enter  into  force  on  the  day  following  that  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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OJ L 55, 28.2.2011, p.13. 
http://eeas.europa.eu/cfsp/sanctions/consol-list_en.htm  

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