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Council Regulation (EC) No 1183/2005 of 18 July 2005 concerning restrictive measures in view of the situation in the Democratic Republic of the Congo

Council Regulation (EC) No 1183/2005 of 18 July 2005 concerning restrictive measures in view of the situation in the Democratic Republic of the Congo

Article 1

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

  1. ‘claim’ means any claim, whether asserted by legal proceedings or not, made before or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular a claim:

    1. for performance of any obligation arising under or in connection with a contract or transaction;

    2. for extension or payment of a bond, financial guarantee or indemnity of whatever form;

    3. for compensation in respect of a contract or transaction;

    4. which is a counterclaim;

    5. for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given;

  2. ‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

  3. ‘competent authorities’ refers to the competent authorities of the Member States as identified on the websites listed in Annex II;

  4. ‘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;

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

  6. ‘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;

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

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

    2. deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

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

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

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

    6. letters of credit, bills of lading, bills of sale; and

    7. documents showing evidence of an interest in funds or financial resources;

  8. ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, in the form of an instruction, advice, training, transmission of working knowledge or skills or consulting services and including verbal forms of assistance;

  9. ‘brokering services’ means:

    1. the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, from a third country to any other third country, or

    2. the selling or buying of goods and technology or of financial and technical services, that are located in third countries for their transfer to another third country;

  10. ‘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 1a

1.

It shall be prohibited to provide, directly or indirectly:

  1. technical assistance or brokering services related to the goods and technology listed in the Common Military List of the European Union(1) (‘Common Military List’) or related to the provision, manufacture, maintenance and use of goods included in that list, to any non-governmental entity or person operating in the territory of the Democratic Republic of Congo (‘DRC’);

  2. financing or financial assistance related to the sale, supply, transfer or export of goods and technology listed in the Common Military List, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services to any non-governmental entity or person operating in the territory of the DRC;

2.

The provision of technical assistance, financing or financial assistance or brokering services related to military activities to any non-governmental or other person, entity or body in the DRC, or for use in the DRC, other than provision of that assistance to the United Nations Organisation Stabilisation Mission in the DRC (‘Monusco’) or the African Union Regional Task Force, or related to non-lethal military equipment intended solely for humanitarian or protective use in accordance with Article 1b(1), shall be notified in advance to the Sanctions Committee established pursuant to paragraph 8 of UN Security Council Resolution 1533 (2004) (the ‘Sanctions Committee’). Such notification shall contain all relevant information, including, where appropriate, the end-user, the proposed date of delivery and the itinerary of shipments.

Article 1b

1.

By way of derogation from Article 1a, the competent authorities may authorise the provision of:

  1. technical assistance, financing or financial assistance or brokering services related to arms and related material intended solely for the support of or use by Monusco;

  2. technical assistance, financing or financial assistance or brokering services related to non-lethal military equipment intended solely for humanitarian or protective use;

  3. technical assistance, financing or financial assistance or brokering services related to arms and related material intended solely for the support of or use by the African Union Regional Task Force;

  4. technical assistance, financing or financial assistance or brokering services related to other sales and supply of arms and related materiel, as approved in advance by the Sanctions Committee.

2.

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

Article 2

1.

All funds and economic resources belonging to, owned, held or controlled, either directly or indirectly, by a natural or legal person, entity or body listed in Annex I or Annex Ia including by a third party acting on their behalf or at their direction, 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 Annex Ia.

3.

Paragraphs 1 and 2 shall not apply to the making available of funds or economic resources necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs where such assistance and other activities are carried out by:

  1. the United Nations, including its programmes, funds and other entities and bodies, as well as its specialised agencies and related organisations;

  2. international organisations;

  3. humanitarian organisations having observer status with the United Nations General Assembly and members of those humanitarian organisations;

  4. bilaterally or multilaterally funded non-governmental organisations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals or humanitarian clusters coordinated by the United Nations Office for the Coordination of Humanitarian Affairs (OCHA);

  5. the employees, grantees, subsidiaries, or implementing partners of the entities mentioned in points (a) to (d) while and to the extent that they are acting in those capacities; or by,

  6. appropriate other actors as determined by the Sanctions Committee as regards Annex I, and by the Council as regards Annex Ia.

Article 2a

1.

Annex I shall include the natural or legal persons, entities or bodies designated by the Sanctions Committee for engaging in or providing support for acts that undermine the peace, stability or security of the DRC. Such acts shall include:

  1. acting in violation of the arms embargo and related measures as referred to in Article 1 of Decision 2010/788/CFSP and Article 1a of this Regulation;

  2. being political and military leaders of foreign armed groups operating in the DRC who impede the disarmament and the voluntary repatriation or resettlement of combatants belonging to those groups;

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

  4. recruiting or using children in armed conflict in violation of applicable international law;

  5. planning, directing, or committing acts in the DRC that constitute human rights violations or abuses or violations of international humanitarian law, as applicable, including those acts involving the targeting of civilians, including killing and maiming, rape and other sexual violence, abduction, forced displacement, and attacks on schools and hospitals;

  6. obstructing the access to or the distribution of humanitarian assistance in the DRC;

  7. supporting individuals or entities, including armed groups or criminal networks, involved in destabilizing activities in the DRC through the illicit exploitation or trade of natural resources, including gold or wildlife as well as wildlife products;

  8. acting on behalf of or at the direction of a designated person or entity, or acting on behalf of or at the direction of an entity owned or controlled by a designated person or entity;

  9. planning, directing, sponsoring or participating in attacks against MONUSCO peacekeepers or United Nations personnel, including members of the Group of Experts, or against medical personnel or humanitarian personnel;

  10. providing financial, material, or technological support for, or goods or services to a designated person or entity;

  11. being involved in the production, manufacture or use in the DRC of improvised explosive devices, or in the commission, planning, ordering, aiding of, abetting or otherwise assisting attacks in the DRC with improvised explosive devices.

2.

Annex I shall include the grounds for listing natural or legal persons, entities or bodies, as provided by the UN Security Council or by the Sanctions Committee.

3.

Annex I shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned, as provided by the UN Security Council or by the Sanctions Committee. With regard to natural persons, such information may include names, including aliases, date and place of birth, nationality, passport and identity card numbers, gender, address, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business. Annex I shall also include the date of designation by the UN Security Council or by the Sanctions Committee.

Article 2b

Article 3

Article 4

Article 4b

Article 5

Article 6

Article 7

Article 7a

Article 7b

Article 8

Article 9

Article 10

Article 11

Article 12

ANNEX I

ANNEX IaLIST OF NATURAL OR LEGAL PERSONS, ENTITIES AND BODIES REFERRED TO IN ARTICLE 2b

ANNEX II