9.4.2008 EN Official Journal of the European Union L 97/72 REGULATION (EC) No 300/2008 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (Text with EEA relevance) THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community, and in particular Article 80(2) thereof, Having regard to the proposal from the Commission, Having regard to the opinion of the European Economic and Social Committee (1), Having consulted the Committee of the Regions, Acting in accordance with the procedure laid down in Article 251 of the Treaty (2), in the light of the joint text approved by the Conciliation Committee on 16 January 2008. Whereas: (1) In order to protect persons and goods within the European Union, acts of unlawful interference with civil aircraft that jeopardise the security of civil aviation should be prevented by establishing common rules for safeguarding civil aviation. This objective should be achieved by setting common rules and common basic standards on aviation security as well as mechanisms for monitoring compliance. (2) It is desirable, in the interests of civil aviation security generally, to provide the basis for a common interpretation of Annex 17 to the Chicago Convention on International Civil Aviation of 7 December 1944. (3) Regulation (EC) No 2320/2002 of the European Parliament and of the Council of 16 December 2002 establishing common rules in the field of civil aviation security (3) was adopted as a result of the events of 11 September 2001 in the United States. A common approach is needed in the field of civil aviation security and consideration should be given to the most effective means of offering assistance following terrorist acts that have a major impact in the transport field. (4) The content of Regulation (EC) No 2320/2002 should be revised in the light of the experience gained, and the Regulation itself should be repealed and replaced by this Regulation seeking the simplification, harmonisation and clarification of the existing rules and the improvement of the levels of security. (5) Given the need for more flexibility in adopting security measures and procedures in order to meet evolving risk assessments and to allow new technologies to be introduced, this Regulation should lay down the basic principles of what has to be done in order to safeguard civil aviation against acts of unlawful interference without going into the technical and procedural details of how they are to be implemented. (6) This Regulation should apply to airports serving civil aviation located in the territory of a Member State, to operators providing services at such airports and to entities providing goods and/or services to or through such airports. (7) Without prejudice to the Convention on offences and certain other acts committed on board aircraft, Tokyo, 1963, the Convention for the suppression of unlawful seizure of aircraft, The Hague, 1970, and the Convention for the suppression of unlawful acts against the safety of civil aviation, Montreal, 1971, this Regulation should also cover security measures that apply on board an aircraft, or during a flight, of Community air carriers. (8) Each Member State retains the competence to decide whether to deploy in-flight security officers on aircraft registered in that Member State and on flights of air carriers licensed by it as well as to ensure, in accordance with paragraph 4.7.7 of Annex 17 to the Chicago Convention on International Civil Aviation and under the terms of that Convention, that such officers are government personnel who are specially selected and trained, taking into account the required security and safety aspects on board an aircraft. (9) The various types of civil aviation do not necessarily present the same level of threat. In setting common basic standards on aviation security, the size of the aircraft, the nature of the operation and/or the frequency of operations at airports should be taken into account with a view to permitting the grant of derogations. (10) Member States should also be allowed, on the basis of a risk assessment, to apply more stringent measures than those laid down in this Regulation. (11) Third countries may require the application of measures that differ from those laid down in this Regulation in respect of flights from an airport in a Member State to, or over, that third country. However, without prejudice to any bilateral agreements to which the Community is a party, it should be possible for the Commission to examine the measures required by the third country. (12) Even though, within a single Member State, there may be two or more bodies involved in aviation security, each Member State should designate a single authority responsible for the coordination and monitoring of the implementation of security standards. (13) In order to define responsibilities for the implementation of the common basic standards on aviation security and to describe what measures are required by operators and other entities for this purpose, each Member State should draw up a national civil aviation security programme. Furthermore, each airport operator, air carrier and entity implementing aviation security standards should draw up, apply and maintain a security programme in order to comply both with this Regulation and with whichever national civil aviation security programme is applicable. (14) In order to monitor compliance with this Regulation and with the national civil aviation security programme, each Member State should draw up and ensure the implementation of a national programme to check the level and quality of civil aviation security. (15) In order to monitor the application by Member States of this Regulation, and also to make recommendations to improve aviation security, the Commission should conduct inspections, including unannounced inspections. (16) As a general rule, the Commission should publish measures that have a direct impact on passengers. Implementing acts setting out common measures and procedures for the implementation of the common basic standards on aviation security which contain sensitive security information, together with Commission inspection reports and the answers of the appropriate authorities should be regarded as EU classified information within the meaning of Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal rules of procedure (4). Those items should not be published and should be made available only to those operators and entities with a legitimate interest. (17) The measures necessary for the implementation of this Regulation should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (5). (18) In particular, the Commission should be empowered to adopt general measures amending non-essential elements of the common basic standards by supplementing them, set criteria allowing Member States both to derogate from the common basic standards and to adopt alternative security measures, and adopt specifications for national quality control programmes. Since those measures are of general scope and are designed to amend non-essential elements of this Regulation by supplementing it with new non-essential elements, they must be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC. (19) When, on imperative grounds of urgency, the normal time-limits for the regulatory procedure with scrutiny cannot be complied with, the Commission should be able to apply the urgency procedure provided for in Article 5a(6) of Decision 1999/468/EC for the adoption of common rules for safeguarding civil aviation. (20) The goal of ‘one-stop security’ for all flights within the European Union should be advanced. (21) Furthermore, it should not be necessary to rescreen passengers or their baggage arriving on flights from third countries that have aviation security standards equivalent to those laid down by this Regulation. Therefore, without prejudice to the right of each Member State to apply more stringent measures, or to the respective competences of the Community and Member States, decisions of the Commission, and, where necessary, agreements between the Community and third countries, which recognise that the security standards applied in the third country are equivalent to the common standards, should be encouraged since these further one-stop security. (22) This Regulation is without prejudice to the application of rules on aviation safety, including those relating to the transport of dangerous goods. (23) Penalties should be provided for infringements of the provisions of this Regulation. Those penalties, which may be of a civil or administrative nature, should be effective, proportionate and dissuasive. (24) The Ministerial Statement on Gibraltar Airport, agreed in Cordoba on 18 September 2006 during the first Ministerial meeting of the Forum of Dialogue on Gibraltar, will replace the Joint Declaration on Gibraltar Airport made in London on 2 December 1987, and full compliance with it will be deemed to constitute compliance with the 1987 Declaration. (25) Since the objectives of this Regulation, namely to safeguard civil aviation against acts of unlawful interference and to provide a basis for a common interpretation of Annex 17 to the Chicago Convention on International Civil Aviation, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale and effects of this Regulation, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives, HAVE ADOPTED THIS REGULATION: Article 1 Objectives 1. This Regulation establishes common rules to protect civil aviation against acts of unlawful interference that jeopardise the security of civil aviation. It also provides the basis for a common interpretation of Annex 17 to the Chicago Convention on International Civil Aviation. 2. The means of achieving the objectives set out in paragraph 1 shall be: (a) the setting of common rules and common basic standards on aviation security; (b) mechanisms for monitoring compliance. Article 2 Scope 1. This Regulation shall apply to the following: (a) all airports or parts of airports located in the territory of a Member State that are not exclusively used for military purposes; (b) all operators, including air carriers, providing services at airports referred to in point (a); (c) all entities applying aviation security standards that operate from premises located inside or outside airport premises and provide goods and/or services to or through airports referred to in point (a). 2. The application of this Regulation to the airport of Gibraltar is understood to be without prejudice to the respective legal positions of the Kingdom of Spain and the United Kingdom with regard to the dispute over sovereignty over the territory in which the airport is situated. Article 3 Definitions For the purposes of this Regulation: 1. ‘civil aviation’ means any air operation carried out by civil aircraft, excluding operations carried out by State aircraft referred to in Article 3 of the Chicago Convention on International Civil Aviation; 2. ‘aviation security’ means the combination of measures and human and material resources intended to safeguard civil aviation against acts of unlawful interference that jeopardise the security of civil aviation; 3. ‘operator’ means a person, organisation or enterprise engaged, or offering to engage, in an air transport operation; 4. ‘air carrier’ means an air transport undertaking holding a valid operating licence or equivalent; 5. ‘Community air carrier’ means an air carrier holding a valid operating licence granted by a Member State in accordance with Council Regulation (EEC) No 2407/92 of 23 July 1992 on licensing of air carriers (6); 6. ‘entity’ means a person, organisation or enterprise, other than an operator; 7. ‘prohibited articles’ means weapons, explosives or other dangerous devices, articles or substances that may be used to commit an act of unlawful interference that jeopardises the security of civil aviation; 8. ‘screening’ means the application of technical or other means which are intended to identify and/or detect prohibited articles; 9. ‘security control’ means the application of means by which the introduction of prohibited articles may be prevented; 10. ‘access control’ means the application of means by which the entry of unauthorised persons or unauthorised vehicles, or both, may be prevented; 11. ‘airside’ means the movement area of an airport, adjacent terrain and buildings or portions thereof, access to which is restricted; 12. ‘landside’ means those parts of an airport, adjacent terrain and buildings or portions thereof that are not airside; 13. ‘security restricted area’ means that area of airside where, in addition to access being restricted, other aviation security standards are applied; 14. ‘demarcated area’ means an area that is separated by means of access control either from security restricted areas, or, if the demarcated area itself is a security restricted area, from other security restricted areas of an airport; 15. ‘background check’ means a recorded check of a person’s identity, including any criminal history, as part of the assessment of an individual’s suitability for unescorted access to security restricted areas; 16. ‘transfer passengers, baggage, cargo or mail’ means passengers, baggage, cargo or mail departing on an aircraft other than that on which they arrived; 17. ‘transit passengers, baggage, cargo or mail’ means passengers, baggage, cargo or mail departing on the same aircraft as that on which they arrived; 18. ‘potentially disruptive passenger’ means a passenger who is either a deportee, a person deemed to be inadmissible for immigration reasons or a person in lawful custody; 19. ‘cabin baggage’ means baggage intended for carriage in the cabin of an aircraft; 20. ‘hold baggage’ means baggage intended for carriage in the hold of an aircraft; 21. ‘accompanied hold baggage’ means baggage, carried in the hold of an aircraft, which has been checked in for a flight by a passenger travelling on that same flight; 22. ‘air carrier mail’ means mail whose origin and destination are both an air carrier; 23. ‘air carrier materials’ means materials either whose origin and destination are both an air carrier or that are used by an air carrier; 24. ‘mail’ means dispatches of correspondence and other items, other than air carrier mail, tendered by and intended for delivery to postal services in accordance with the rules of the Universal Postal Union; 25. ‘cargo’ means any property intended for carriage on an aircraft, other than baggage, mail, air carrier mail, air carrier materials and in-flight supplies; 26. ‘regulated agent’ means an air carrier, agent, freight forwarder or any other entity who ensures security controls in respect of cargo or mail; 27. ‘known consignor’ means a consignor who originates cargo or mail for its own account and whose procedures meet common security rules and standards sufficient to allow carriage of cargo or mail on any aircraft; 28. ‘account consignor’ means a consignor who originates cargo or mail for its own account and whose procedures meet common security rules and standards sufficient to allow carriage of that cargo on all-cargo aircraft or mail on all-mail aircraft; 29. ‘aircraft security check’ means an inspection of those parts of the interior of the aircraft to which passengers may have had access, together with an inspection of the hold of the aircraft in order to detect prohibited articles and unlawful interferences with the aircraft; 30. ‘aircraft security search’ means an inspection of the interior and accessible exterior of the aircraft in order to detect prohibited articles and unlawful interferences that jeopardise the security of the aircraft; 31. ‘in-flight security officer’ means a person who is employed by a state to travel on an aircraft of an air carrier licensed by it with the purpose of protecting that aircraft and its occupants against acts of unlawful interference that jeopardise the security of the flight. Article 4 Common basic standards 1. The common basic standards for safeguarding civil aviation against acts of unlawful interference that jeopardise the security of civil aviation shall be as laid down in the Annex. Additional common basic standards not foreseen at the entry into force of this Regulation should be added to the Annex in accordance with the procedure referred to in Article 251 of the Treaty. 2. General measures, designed to amend non-essential elements of the common basic standards referred to in paragraph 1 by supplementing them, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 19(3). These general measures shall concern: (a) methods of screening allowed; (b) categories of articles that may be prohibited; (c) as regards access control, grounds for granting access to airside and security restricted areas; (d) methods allowed for the examination of vehicles, aircraft security checks and aircraft security searches; (e) criteria for recognising the equivalence of security standards of third countries; (f) conditions under which cargo and mail shall be screened or subjected to other security controls, as well as the process for the approval or designation of regulated agents, known consignors and account consignors; (g) conditions under which air carrier mail and air carrier materials shall be screened or subjected to other security controls; (h) conditions under which in-flight supplies and airport supplies shall be screened or subjected to other security controls, as well as the process for the approval or designation of regulated suppliers and known suppliers; (i) criteria for defining critical parts of security restricted areas; (j) criteria for staff recruitment and methods of training; (k) conditions under which special security procedures or exemptions from security controls may be applied; and (l) any general measures designed to amend non-essential elements of the common basic standards referred to in paragraph 1 by supplementing them not foreseen at the date of entry into force of this Regulation. On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 19(4). 3. Detailed measures for the implementation of the common basic standards referred to in paragraph 1 and the general measures referred to in paragraph 2 shall be laid down in accordance with the regulatory procedure referred to in Article 19(2). These shall include: (a) requirements and procedures for screening; (b) a list of prohibited articles; (c) requirements and procedures for access control; (d) requirements and procedures for the examination of vehicles, aircraft security checks and aircraft security searches; (e) decisions to recognise the equivalence of security standards applied in a third country; (f) as regards cargo and mail, procedures for the approval or designation of, and the obligations to be fulfilled by, regulated agents, known consignors and account consignors; (g) requirements and procedures for security controls of air carrier mail and air carrier materials; (h) as regards in-flight supplies and airport supplies, procedures for the approval or designation of, and the obligations to be fulfilled by, regulated suppliers and known suppliers; (i) definition of critical parts of security restricted areas; (j) staff recruitment and training requirements; (k) special security procedures or exemptions from security controls; (l) technical specifications and procedures for approval and use of security equipment; and (m) requirements and procedures concerning potentially disruptive passengers. 4. The Commission shall, by amending this Regulation through a decision in accordance with the regulatory procedure with scrutiny referred to in Article 19(3), set criteria to allow Member States to derogate from the common basic standards referred to in paragraph 1 and to adopt alternative security measures that provide an adequate level of protection on the basis of a local risk assessment. Such alternative measures shall be justified by reasons relating to the size of the aircraft, or by reasons relating to the nature, scale or frequency of operations or of other relevant activities. On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 19(4). The Member States shall inform the Commission of such measures. 5. Member States shall ensure the application in their territory of the common basic standards referred to in paragraph 1. Where a Member State has reason to believe that the level of aviation security has been compromised through a security breach, it shall ensure that appropriate and prompt action is taken to rectify that breach and ensure the continuing security of civil aviation. Article 5 Security costs Subject to the relevant rules of Community law, each Member State may determine in which circumstances, and the extent to which, the costs of security measures taken under this Regulation to protect civil aviation against acts of unlawful interference should be borne by the State, the airport entities, air carriers, other responsible agencies, or users. If appropriate, and in conformity with Community law, Member States may contribute with users to the costs of more stringent security measures taken under this Regulation. As far as may be practicable, any charges or transfers of security costs shall be directly related to the costs of providing the security services concerned and shall be designed to recover no more than the relevant costs involved. Article 6 More stringent measures applied by Member States 1. Member States may apply more stringent measures than the common basic standards referred to in Article 4. In doing so, they shall act on the basis of a risk assessment and in compliance with Community law. Τhose measures shall be relevant, objective, non-discriminatory and proportional to the risk that is being addressed. 2. Member States shall inform the Commission of such measures as soon as possible after their application. Upon reception of such information, the Commission shall transmit this information to the other Member States. 3. Member States are not required to inform the Commission where the measures concerned are limited to a given flight on a specific date. Article 7 Security measures required by third countries 1. Without prejudice to any bilateral agreements to which the Community is a party, a Member State shall notify the Commission of measures required by a third country if they differ from the common basic standards referred to in Article 4 in respect of flights from an airport in a Member State to, or over, that third country. 2. At the request of the Member State concerned or on its own initiative, the Commission shall examine the application of any measures notified under paragraph 1 and may, in accordance with the regulatory procedure referred to in Article 19(2), draw up an appropriate response to the third country concerned. 3. Paragraphs 1 and 2 shall not apply if: (a) the Member State concerned applies the measures concerned in accordance with Article 6; or (b) the requirement of the third country is limited to a given flight on a specific date. Article 8 Cooperation with the International Civil Aviation Organisation Without prejudice to Article 300 of the Treaty, the Commission may conclude a Memorandum of Understanding concerning audits with the International Civil Aviation Organisation (ICAO) in order to avoid duplicate monitoring of Member States’ compliance with Annex 17 to the Chicago Convention on International Civil Aviation. Article 9 Appropriate authority Where, within a single Member State, two or more bodies are involved in civil aviation security, that Member State shall designate a single authority (hereinafter referred to as the appropriate authority) to be responsible for the coordination and monitoring of the implementation of the common basic standards referred to in Article 4. Article 10 National civil aviation security programme 1. Every Member State shall draw up, apply and maintain a national civil aviation security programme. That programme shall define responsibilities for the implementation of the common basic standards referred to in Article 4 and shall describe the measures required by operators and entities for this purpose. 2. The appropriate authority shall make available in writing on a ‘need to know’ basis the appropriate parts of its national civil aviation security programme to operators and entities which it deems to have a legitimate interest. Article 11 National quality control programme 1. Every Member State shall draw up, apply and maintain a national quality control programme. That programme shall enable the Member State to check the quality of civil aviation security in order to monitor compliance both with this Regulation and with its national civil aviation security programme. 2. The specifications for the national quality control programme shall be adopted by amending this Regulation through the addition of an annex in accordance with the regulatory procedure with scrutiny referred to in Article 19(3). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 19(4). The programme shall allow for the swift detection and correction of deficiencies. It shall also provide that all airports, operators and entities responsible for the implementation of aviation security standards that are located in the territory of the Member State concerned shall be regularly monitored directly by, or under the supervision of, the appropriate authority. Article 12 Airport security programme 1. Every airport operator shall draw up, apply and maintain an airport security programme. That programme shall describe the methods and procedures which are to be followed by the airport operator in order to comply both with this Regulation and with the national civil aviation security programme of the Member State in which the airport is located. The programme shall include internal quality control provisions describing how compliance with these methods and procedures is to be monitored by the airport operator. 2. The airport security programme shall be submitted to the appropriate authority, which may take further action if appropriate. Article 13 Air carrier security programme 1. Every air carrier shall draw up, apply and maintain an air carrier security programme. That programme shall describe the methods and procedures which are to be followed by the air carrier in order to comply both with this Regulation and with the national civil aviation security programme of the Member State from which it provides services. The programme shall include internal quality control provisions describing how compliance with these methods and procedures is to be monitored by the air carrier. 2. Upon request, the air carrier security programme shall be submitted to the appropriate authority, which may take further action if appropriate. 3. Where a Community air carrier security programme has been validated by the appropriate authority of the Member State granting the operating licence, the air carrier shall be recognised by all other Member States as having fulfilled the requirements of paragraph 1. This is without prejudice to a Member State’s right to request from any air carrier details of its implementation of: (a) the security measures applied by that Member State under Article 6; and/or (b) local procedures that are applicable at the airports served. Article 14 Entity security programme 1. Every entity required under the national civil aviation security programme referred to in Article 10 to apply aviation security standards shall draw up, apply and maintain a security programme. That programme shall describe the methods and procedures which are to be followed by the entity in order to comply with the national civil aviation security programme of the Member State in respect of its operations in that Member State. The programme shall include internal quality control provisions describing how compliance with these methods and procedures is to be monitored by the entity itself. 2. Upon request, the security programme of the entity applying aviation security standards shall be submitted to the appropriate authority, which may take further action if appropriate. Article 15 Commission inspections 1. The Commission, acting in cooperation with the appropriate authority of the Member State concerned, shall conduct inspections, including inspections of airports, operators and entities applying aviation security standards, in order to monitor the application by Member States of this Regulation and, as appropriate, to make recommendations to improve aviation security. For this purpose, the appropriate authority shall inform the Commission in writing of all airports in its territory serving civil aviation other than those covered by Article 4(4). The procedures for conducting Commission inspections shall be adopted in accordance with the regulatory procedure referred to in Article 19(2). 2. Commission inspections of airports, operators and entities applying aviation security standards shall be unannounced. The Commission shall in good time before an inspection inform the Member State concerned thereof. 3. Each Commission inspection report shall be communicated to the appropriate authority of the Member State concerned, which shall, in its answer, set out the measures taken to remedy any identified deficiencies. The report, together with the answer of the appropriate authority, shall subsequently be communicated to the appropriate authority of the other Member States. Article 16 Annual report Every year the Commission shall present a report to the European Parliament, the Council and the Member States informing them of the application of this Regulation and of its impact on improving aviation security. Article 17 Stakeholders’ Advisory Group Without prejudice to the role of the Committee referred to in Article 19, the Commission shall establish a Stakeholders’ Advisory Group on Aviation Security, composed of European representative organisations engaged in, or directly affected by, aviation security. The role of this group shall be solely to advise the Commission. The Committee referred to in Article 19 shall keep the Stakeholders’ Advisory Group informed during the entire regulatory process. Article 18 Dissemination of information As a general rule, the Commission shall publish measures that have a direct impact on passengers. However, the following documents shall be regarded as EU classified information within the meaning of Decision 2001/844/EC, ECSC, Euratom: (a) measures and procedures as referred to in Articles 4(3), 4(4), 6(1) and 7(1), if containing sensitive security information; (b) the Commission inspection reports and the answers of the appropriate authorities referred to in Article 15(3). Article 19 Committee procedure 1. The Commission shall be assisted by a Committee. 2. Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at one month. 3. Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 4. Where reference is made to this paragraph, Article 5a(1), (2), (4), and (6) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. Article 20 Agreements between the Community and third countries When appropriate, and in conformity with Community law, agreements recognising that the security standards applied in a third country are equivalent to Community standards could be envisaged in aviation agreements between the Community and a third country in accordance with Article 300 of the Treaty, in order to advance the goal of ‘one-stop security’ for all flights between the European Union and third countries. Article 21 Penalties 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. Article 22 Commission report on financing The Commission will report, no later than 31 December 2008, on the principles of the financing of the costs of civil aviation security measures. That report will consider what steps need to be taken in order to ensure that security charges are used exclusively to meet security costs, and to improve the transparency of such charges. The report will also address the principles necessary to safeguard undistorted competition between airports and between air carriers, and the different methods to ensure consumer protection as regards the distribution of the costs of security measures between taxpayers and users. The Commission report will be accompanied, if appropriate, by a legislative proposal. Article 23 Repeal Regulation (EC) No 2320/2002 is hereby repealed. Article 24 Entry into force 1. This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union. 2. It shall apply as from the date specified in the implementing rules adopted in accordance with the procedures referred to in Article 4(2) and (3), but not later than 24 months after the entry into force of this Regulation. 3. By way of exception to paragraph 2, Articles 4(2), 4(3), 4(4), 8, 11(2), 15(1) second subparagraph, 17, 19 and 22 shall apply from the date of entry into force of this Regulation. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Strasbourg, 11 March 2008. For the European Parliament The President H.-G. PÖTTERING For the Council The President J. LENARČIČ (1) OJ C 185, 8.8.2006, p. 17. (2) Opinion of the European Parliament of 15 June 2006 (OJ C 300 E, 9.12.2006, p. 463), Council Common Position of 11 December 2006 (OJ C 70 E, 27.3.2007, p. 21) and Position of the European Parliament of 25 April 2007 (not yet published in the Official Journal), Legislative Resolution of the European Parliament of 11 March 2008 (not yet published in the Official Journal) and Council Decision of 4 March 2008. (3) OJ L 355, 30.12.2002, p. 1. Regulation as amended by Regulation (EC) No 849/2004 (OJ L 158, 30.4.2004, p. 1, corrected by OJ L 229, 29.6.2004, p. 3). (4) OJ L 317, 3.12.2001, p. 1. Decision as last amended by Decision 2006/548/EC, Euratom (OJ L 215, 5.8.2006, p. 38). (5) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 22.7.2006, p. 11). (6) OJ L 240, 24.8.1992, p. 1. ANNEX COMMON BASIC STANDARDS FOR SAFEGUARDING CIVIL AVIATION AGAINST ACTS OF UNLAWFUL INTERFERENCE (ARTICLE 4) 1. AIRPORT SECURITY 1.1. Airport planning requirements 1. When designing and constructing new airport facilities or altering existing airport facilities, requirements for the implementation of the common basic standards set out in this Annex and its implementing acts shall be fully taken into account. 2. At airports the following areas shall be established: (a) landside; (b) airside; (c) security restricted areas; and (d) critical parts of security restricted areas. 1.2. Access control 1. Access to airside shall be restricted in order to prevent unauthorised persons and vehicles from entering these areas. 2. Access to security restricted areas shall be controlled in order to ensure that no unauthorised persons and vehicles enter these areas. 3. Persons and vehicles may be granted access to airside and security restricted areas only if they fulfil the required security conditions. 4. Persons, including flight crew members, shall have successfully completed a background check before either a crew identification card or an airport identification card authorising unescorted access to security restricted areas is issued to them. 1.3. Screening of persons other than passengers and items carried 1. Persons other than passengers, together with items carried, shall be screened on a continuous random basis upon entering security restricted areas in order to prevent prohibited articles from being introduced into these areas. 2. All persons other than passengers, together with items carried, shall be screened upon entering critical parts of security restricted areas in order to prevent prohibited articles from being introduced into these parts. 1.4. Examination of vehicles Vehicles entering a security restricted area shall be examined in order to prevent prohibited articles from being introduced into these areas. 1.5. Surveillance, patrols and other physical controls There shall be surveillance, patrols and other physical controls at airports and, where appropriate, in adjacent areas with public access, in order to identify suspicious behaviour of persons, to identify vulnerabilities which could be exploited to carry out an act of unlawful interference and to deter persons from committing such acts. 2. DEMARCATED AREAS OF AIRPORTS Aircraft parked in demarcated areas of airports to which alternative measures referred to in Article 4(4) apply, shall be separated from aircraft to which the common basic standards apply in full, in order to ensure that security standards applied to aircraft, passengers, baggage, cargo and mail of the latter are not compromised. 3. AIRCRAFT SECURITY 1. Before departure, an aircraft shall be subjected to an aircraft security check or aircraft security search in order to ensure that no prohibited articles are present on board. An aircraft in transit may be subjected to other appropriate measures. 2. Every aircraft shall be protected from unauthorised interference. 4. PASSENGERS AND CABIN BAGGAGE 4.1. Screening of passengers and cabin baggage 1. All originating, transfer and transit passengers and their cabin baggage shall be screened in order to prevent prohibited articles from being introduced into security restricted areas and on board an aircraft. 2. Transfer passengers and their cabin baggage may be exempted from screening, if: (a) they arrive from a Member State, unless the Commission or that Member State has provided information that those passengers and their cabin baggage cannot be considered as having been screened to the common basic standards; or (b) they arrive from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2). 3. Transit passengers and their cabin baggage may be exempted from screening, if: (a) they remain on board the aircraft; or (b) they do not mix with screened departing passengers other than those who board the same aircraft; or (c) they arrive from a Member State, unless the Commission or that Member State has provided information that those passengers and their cabin baggage cannot be considered as having been screened to the common basic standards; or (d) they arrive from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2). 4.2. Protection of passengers and cabin baggage 1. Passengers and their cabin baggage shall be protected from unauthorised interference from the point at which they are screened until departure of the aircraft on which they are carried. 2. Screened departing passengers shall not mix with arriving passengers, unless: (a) the passengers arrive from a Member State, provided that the Commission or that Member State has not provided information that those arriving passengers and their cabin baggage cannot be considered as having been screened to the common basic standards; or (b) the passengers arrive from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2). 4.3. Potentially disruptive passengers Before departure potentially disruptive passengers shall be subjected to appropriate security measures. 5. HOLD BAGGAGE 5.1. Screening of hold baggage 1. All hold baggage shall be screened prior to being loaded onto an aircraft in order to prevent prohibited articles from being introduced into security restricted areas and on board aircraft. 2. Transfer hold baggage may be exempted from screening, if: (a) it arrives from a Member State, unless the Commission or that Member State has provided information that this hold baggage cannot be considered as having been screened to the common basic standards; or (b) it arrives from a third country where the security standards applied are recognised as equivalent to the common basic standards in accordance with the regulatory procedure referred to in Article 19(2). 3. Transit hold baggage may be exempted from screening if it remains on board the aircraft. 5.2. Protection of hold baggage Hold baggage to be carried on an aircraft shall be protected from unauthorised interference from the point at which it is screened or accepted into the care of the air carrier, whichever is earlier, until the departure of the aircraft on which it is to be carried. 5.3. Baggage reconciliation 1. Each item of hold baggage shall be identified as accompanied or unaccompanied. 2. Unaccompanied hold baggage shall not be transported, unless that baggage has been either separated due to factors beyond the passenger’s control or subjected to appropriate security controls. 6. CARGO AND MAIL 6.1. Security controls for cargo and mail 1. All cargo and mail shall be subjected to security controls prior to being loaded on an aircraft. An air carrier shall not accept cargo or mail for carriage on an aircraft unless it has applied such controls itself or their application has been confirmed and accounted for by a regulated agent, a known consignor or an account consignor. 2. Transfer cargo and transfer mail may be subjected to alternative security controls to be detailed in an implementing act. 3. Transit cargo and transit mail may be exempted from security controls if it remains on board the aircraft. 6.2. Protection of cargo and mail 1. Cargo and mail to be carried on an aircraft shall be protected from unauthorised interference from the point at which security controls are applied until the departure of the aircraft on which it is to be carried. 2. Cargo and mail that are not adequately protected from unauthorised interference after security controls have been applied shall be screened. 7. AIR CARRIER MAIL AND AIR CARRIER MATERIALS Air carrier mail and air carrier materials shall be subjected to security controls and thereafter protected until loaded onto the aircraft in order to prevent prohibited articles from being introduced on board an aircraft. 8. IN-FLIGHT SUPPLIES In-flight supplies, including catering, intended for carriage or use on board an aircraft shall be subjected to security controls and thereafter protected until loaded onto the aircraft in order to prevent prohibited articles from being introduced on board an aircraft. 9. AIRPORT SUPPLIES Supplies intended to be sold or used in security restricted areas of airports, including supplies for duty-free shops and restaurants, shall be subjected to security controls in order to prevent prohibited articles from being introduced into these areas. 10. IN-FLIGHT SECURITY MEASURES 1. Without prejudice to the applicable aviation safety rules: (a) unauthorised persons shall be prevented from entering the flight crew compartment during a flight; (b) potentially disruptive passengers shall be subjected to appropriate security measures during a flight. 2. Appropriate security measures such as training of flight crew and cabin staff shall be taken to prevent acts of unlawful interference during a flight. 3. Weapons, with the exception of those carried in the hold, shall not be carried on board an aircraft, unless the required security conditions in accordance with national laws have been fulfilled and authorisation has been given by the states involved. 4. Paragraph 3 shall also apply to in-flight security officers if they carry weapons. 11. STAFF RECRUITMENT AND TRAINING 1. Persons implementing, or responsible for implementing, screening, access control or other security controls shall be recruited, trained and, where appropriate, certified so as to ensure that they are suitable for employment and competent to undertake the duties to which they are assigned. 2. Persons other than passengers requiring access to security restricted areas shall receive security training, before either an airport identification card or crew identification card is issued. 3. Training as mentioned in paragraphs 1 and 2 shall be conducted on initial and recurrent basis. 4. Instructors engaged in the training of the persons mentioned in paragraphs 1 and 2 shall have the necessary qualifications. 12. SECURITY EQUIPMENT Equipment used for screening, access control and other security controls shall comply with the defined specifications and be capable of performing the security controls concerned.

Summary: Civil aviation security: EU-wide rules Civil aviation security: EU-wide rules SUMMARY OF: Regulation (EC) No 300/2008 on common rules in the field of civil aviation security WHAT IS THE AIM OF THE REGULATION? It lays down common rules and basic standards on aviation security and on procedures to monitor their implementation. It applies to all civil airports in the EU, as well as to air carriers and other persons or businesses providing goods or services to or through these airports. It replaces Regulation (EC) No 2320/2002 which was adopted in the wake of the 11 September 2001 events and which established common rules in the field of civil aviation security. KEY POINTS Common basic standards for protecting civil aviation These standards include, for example: screening of passengers and cabin baggage to stop prohibited articles, such as weapons and explosives, being carried on board aircraft; the hold luggage (luggage that passengers check in) is also screened before loading; airport security (e.g. controlled access to different areas of airports, staff screening and checking of vehicles, as well as surveillance and patrols to prevent unauthorised people from entering these areas); protection of aircraft and aircraft security checks or searches before departure to ensure that no prohibited articles are on board; security controls for cargo and mail before being loaded on to aircraft; security controls for airport supplies (i.e. supplies intended to be sold in duty-free shops and restaurants) and in-flight supplies (e.g. food and drink for passengers); staff recruitment and training; security equipment performance (i.e. equipment used for screening and access controls complies with defined specifications and is capable of performing the security controls concerned). In November 2015, the European Commission adopted Implementing Regulation (EU) 2015/1998. It lays down detailed measures for the implementation of these security standards and repealed a previous regulation (Regulation (EU) No 185/2010) which had been amended more than 20 times. Since its adoption, Implementing Regulation (EU) 2015/1998 has itself been amended several times. The amendments modify the list of non-EU countries recognised as applying equivalent standards to those of the EU, and introduce new rules regarding: airport security; aircraft security; screening of liquids, aerosols and gels, hold baggage, cargo and mail, in-flight supplies; staff recruitment and training; security equipment; background checks to enhance security culture and resilience; performance standards; the use of shoe explosive detection equipment and explosive vapour detection equipment. Obligations on EU countries and on airports and operators EU countries must: designate a single authority responsible for aviation security; set up a national civil aviation security programme to define responsibilities for implementing the common basic standards; set up a national quality control programme to check the quality of civil aviation security. Airports, air carriers and entities must: define and implement a security programme; ensure internal quality control. Commission inspections The Commission carries out inspections in cooperation with national authorities including unannounced inspections of airports, air carriers and other relevant persons or businesses. Any shortcomings must be remedied by the national authority. National authorities are responsible for primary quality control and enforcement, and therefore must carry out audits and inspections of airports, air carriers and other relevant persons or businesses. Recognition of equivalent aviation security standards with non-EU countries The EU may recognise non-EU countries’ aviation security standards as equivalent to EU standards to allow a ‘one-stop security’ system. This means, for example, that passengers arriving at EU airports and transferring to other destinations would no longer need to be re-screened. This would result in faster connection times, lower costs and greater convenience for travellers. ‘One-stop security’ is one of the objectives of EU aviation security legislation. Implementation reports Every year, the Commission publishes a report on the implementation of Regulation (EC) No 300/2008. The latest report, relating to 2017, was published in 2019. COVID-19 pandemic The COVID-19 pandemic severely limits the capability of EU countries and the EU as a whole to maintain an effective and efficient in-bound supply chain. Continued and uninterrupted cargo services are of essential strategic importance for the Union and play a fundamental role in the delivery of essential goods, including medicines, medical equipment, other substances and commodities. Implementing Regulation (EU) 2020/910 therefore amends Regulation (EU) 2015/1998 as regards re-designating airlines, operators and entities providing security controls for cargo and mail arriving from non-EU countries, as well as postponing certain regulatory requirements. The Annex to Regulation (EU) 2015/1998 is amended to take account of factors such as the pandemic’s impact on the performance of on-site installations, checks and visits, and the need to adopt urgent measures establishing the appropriate legal basis to implement an alternative and expedite process for the EU aviation security validations of EU-bound supply chain operators affected. FROM WHEN DOES THE REGULATION APPLY? It has applied since 28 April 2010 The following articles have applied since 29 April 2008: Articles 4(2), 4(3), 4(4), all of which relate to common basic standards except those relating to safeguarding civil aviation against acts of unlawful interference; Article 8 on cooperation with the International Civil Aviation Organisation; Article 11(2): specifications for national quality control programmes; Article 15(1) second subparagraph: unannounced inspections by the Commission; Article 17: Stakeholders’ Advisory Group; Article 19: Committee procedure; and Article 21: penalties. BACKGROUND For more information, see: Aviation Security (European Commission). MAIN DOCUMENT Regulation (EC) No 300/2008 of the European Parliament and of the Council of 11 March 2008 on common rules in the field of civil aviation security and repealing Regulation (EC) No 2320/2002 (OJ L 97, 9.4.2008, pp. 72-84) Successive amendments to Regulation (EC) No 300/2008 have been incorporated into the original text. This consolidated version is of documentary value only. RELATED DOCUMENTS Commission Implementing Regulation (EU) 2020/910 of 30 June 2020 amending Implementing Regulations (EU) 2015/1998, (EU) 2019/103 and (EU) 2019/1583 as regards the re-designation of airlines, operators and entities providing security controls for cargo and mail arriving from third countries, as well as the postponement of certain regulatory requirements in the area of cybersecurity, background check, explosive detection systems equipment standards, and explosive trace detection equipment, because of the COVID-19 pandemic (OJ L 208, 1.7.2020, pp. 43-47) Commission Implementing Regulation (EU) 2015/1998 of 5 November 2015 laying down detailed measures for the implementation of the common basic standards on aviation security (OJ L 299, 14.11.2015, pp. 1-142) See consolidated version. Commission Regulation (EU) No 72/2010 of 26 January 2010 laying down procedures for conducting Commission inspections in the field of aviation security (OJ L 23, 27.1.2010, pp. 1-5) See consolidated version. Commission Regulation (EU) No 1254/2009 of 18 December 2009 setting criteria to allow Member States to derogate from the common basic standards on civil aviation security and to adopt alternative security measures (OJ L 338, 19.12.2009, p. 17) See consolidated version. Commission Regulation (EC) No 272/2009 of 2 April 2009 supplementing the common basic standards on civil aviation security laid down in the Annex to Regulation (EC) No 300/2008 of the European Parliament and of the Council (OJ L 91, 3.4.2009, pp. 7-13) See consolidated version. Report from the Commission to the European Parliament and the Council — 2017 annual report on the implementation of Regulation (EC) No 300/2008 on common rules in the field of civil aviation security (COM(2019) 183 final, 16.4.2019) last update 14.09.2020


7.12.2020 EN Official Journal of the European Union LI 410/1 COUNCIL REGULATION (EU) 2020/1998 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses 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 (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses (1), 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) On 7 December 2020, the Council adopted Decision (CFSP) 2020/1999, which establishes a framework for targeted restrictive measures to address serious human rights violations and abuses worldwide. That Decision provides for the freezing of funds and economic resources of, and the prohibition to make funds and economic resources available to, natural or legal persons, entities or bodies responsible for, providing support to or otherwise involved in serious human rights violations or abuses, as well as those associated with the natural and legal persons, entities and bodies covered. Natural and legal persons, entities and bodies subject to the restrictive measures are listed in the Annex to Decision (CFSP) 2020/1999. That Decision emphasises the importance of international human rights law and of the interaction between international human rights law and international humanitarian law when considering the application of targeted restrictive measures. (2) This Regulation respects the fundamental rights and observes the principles recognised by the Charter of Fundamental Rights of the European Union, in particular the right to an effective remedy, the right to defence, and the right to the protection of personal data. This Regulation should be applied in accordance with those rights. (3) The power to establish and amend the list in Annex I to this Regulation should be exercised by the Council in order to ensure consistency with the process for establishing, amending and reviewing the Annex to Decision (CFSP) 2020/1999. (4) For the implementation of this Regulation, and in order to ensure 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 are to be frozen in accordance with this Regulation should be made public. Any processing of personal data should comply with Regulations (EU) 2016/679 (2) and (EU) 2018/1725 (3) of the European Parliament and of the Council. (5) Member States and the Commission should inform each other of the measures taken pursuant to this Regulation and of other relevant information at their disposal in connection with this Regulation. (6) Member States should lay down rules on penalties applicable to infringements of the provisions of this Regulation and make sure that they are implemented. Those penalties should be effective, proportionate and dissuasive, HAS ADOPTED THIS REGULATION: Article 1 For the purposes of this Regulation, the following definitions apply: (a) ‘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 in particular: (i) a claim for performance of any obligation arising under or in connection with a contract or transaction; (ii) a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form; (iii) a claim for compensation in respect of a contract or transaction; (iv) a counterclaim; (v) a claim 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; (b) ‘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 that 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; (c) ‘competent authorities’ refers to the competent authorities of the Member States as identified on the websites listed in Annex II; (d) ‘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; (e) ‘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; (f) ‘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; (g) ‘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 showing evidence of an interest in funds or financial resources; (h) ‘territory of the Union’ means the territories of the Member States to which the Treaty on European Union (TEU) is applicable, under the conditions laid down in the TEU, including their airspace. Article 2 1. This Regulation applies to: (a) genocide; (b) crimes against humanity; (c) the following serious human rights violations or abuses: (i) torture and other cruel, inhuman or degrading treatment or punishment; (ii) slavery; (iii) extrajudicial, summary or arbitrary executions and killings; (iv) enforced disappearance of persons; (v) arbitrary arrests or detentions; (d) other human rights violations or abuses, including but not limited to the following, in so far as those violations or abuses are widespread, systematic or are otherwise of serious concern as regards the objectives of the common foreign and security policy set out in Article 21 TEU: (i) trafficking in human beings, as well as abuses of human rights by migrant smugglers as referred to in this Article; (ii) sexual and gender-based violence; (iii) violations or abuses of freedom of peaceful assembly and of association; (iv) violations or abuses of freedom of opinion and expression; (v) violations or abuses of freedom of religion or belief. 2. For the purpose of applying paragraph 1, regard should be had to customary international law and widely accepted instruments of international law, such as: (a) the International Covenant on Civil and Political Rights; (b) the International Covenant on Economic, Social and Cultural Rights; (c) the Convention on the Prevention and Punishment of the Crime of Genocide, (d) the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment; (e) the International Convention on the Elimination of All Forms of Racial Discrimination; (f) the Convention on the Elimination of All Forms of Discrimination against Women; (g) the Convention on the Rights of the Child; (h) the International Convention for the Protection of All Persons from Enforced Disappearance; (i) the Convention on the Rights of Persons with Disabilities; (j) the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime; (k) the Rome Statute of the International Criminal Court. (l) the European Convention for the Protection of Human Rights and Fundamental Freedoms. 3. For the purposes of applying this Regulation, natural or legal persons, entities or bodies may include: (a) State actors; (b) other actors exercising effective control or authority over a territory; (c) other non-State actors, subject to Article 1(4) of Decision (CFSP) 2020/1999. Article 3 1. All funds and economic resources belonging to, owned, held or controlled by any natural or legal person, entity or body as listed in Annex I shall be frozen. 2. No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of natural or legal persons, entities or bodies listed in Annex I. 3. Annex I shall include, as identified by the Council in accordance with Article 3 of Decision (CFSP) 2020/1999: (a) natural or legal persons, entities or bodies, who are responsible for acts set out in Article 2(1); (b) natural or legal persons, entities or bodies, who provide financial, technical, or material support for or are otherwise involved in acts set out in Article 2(1), including by planning, directing, ordering, assisting, preparing, facilitating, or encouraging such acts; (c) natural or legal persons, entities or bodies, who are associated with the natural or legal persons, entities or bodies covered by points (a) and (b). Article 4 1. By way of derogation from Article 3, the competent authorities of the Member States 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 concerned are: (a) necessary to satisfy the basic needs of natural or legal persons, entities or bodies listed in Annex I, and dependent family members of such natural persons, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; (b) intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services; (c) intended exclusively for the payment of fees or service charges for the routine holding or maintenance of frozen funds or economic resources; (d) necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation; or (e) to be paid into or from an account of a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation. 2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation. Article 5 1. By way of derogation from Article 3, the competent authorities of the Member States 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 provision of such funds or economic resources is necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, or the transfer of humanitarian workers and related assistance or for evacuations. 2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within four weeks of the authorisation. Article 6 1. By way of derogation from Article 3(1), the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources, if the following conditions are met: (a) the funds or economic resources are the subject of an arbitral decision rendered prior to the date on which the natural or legal person, entity or body referred to in Article 3 was listed in Annex I, or of a judicial or administrative decision rendered in the Union, or a judicial decision enforceable in the Member State concerned, prior to or after that date; (b) the funds or economic resources will be used exclusively to satisfy claims secured by such a decision or recognised as valid in such a decision, within the limits set by applicable laws and regulations governing the rights of persons having such claims; (c) the decision is not for the benefit of a natural or legal person, entity or body listed in Annex I; and (d) recognition of the decision is not contrary to public policy in the Member State concerned. 2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation. Article 7 1. By way of derogation from Article 3(1) and provided that a payment by a natural or legal 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 natural or legal person, entity or body concerned, before the date on which that natural or legal person, entity or body was included in Annex I, the competent authorities of the Member States may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the competent authority concerned has determined that: (a) the funds or economic resources will be used for a payment by a natural or legal person, entity or body listed in Annex I; and (b) the payment is not in breach of Article 3(2). 2. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within two weeks of the authorisation. Article 8 1. Article 3(2) shall not prevent the crediting of frozen accounts by financial or credit institutions that receive funds transferred by third parties onto 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. 2. Article 3(2) shall not apply to the addition to frozen accounts of: (a) interest or other earnings on those accounts; (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 3 was included in Annex I; or (c) payments due under judicial, administrative or arbitral decisions rendered in a Member State or enforceable in the Member State concerned, provided that any such interest, other earnings and payments remain subject to the measures provided for in Article 3(1). 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 information on accounts and amounts frozen in accordance with Article 3(1), to the competent authority of the Member State where they are resident or located, and transmit such information, directly or through the Member State, to the Commission; and (b) cooperate with the competent authority in any verification of the information referred to in point (a). 2. Any additional information received directly by the Commission shall be made available to the Member States. 3. 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 It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the measures referred to in Article 3. Article 11 1. 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. 2. Actions by natural or legal persons, entities or bodies shall not give rise to any liability of any kind on their part if they did not know, and had no reasonable cause to suspect, that their actions would infringe the measures set out in this Regulation. Article 12 1. No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, in particular a claim for extension or payment of a bond or of a guarantee or indemnity, in particular a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by: (a) natural or legal persons, entities or bodies listed in Annex I; (b) any natural or legal person, entity or body acting through or on behalf of one of the natural or legal persons, entities or bodies referred to in point (a). 2. In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the natural or legal person, entity or body seeking the enforcement of that claim. 3. This Article is without prejudice to the right of the natural or legal persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation. Article 13 1. The Commission and Member States shall inform each other of the measures taken under this Regulation and share any other relevant information at their disposal in connection with this Regulation, in particular information in respect of: (a) funds frozen under Article 3 and authorisations granted under Articles 4, 5, 6 and 7; (b) violation and enforcement problems and judgments handed down by national courts. 2. The Member States shall immediately inform each other and the Commission of any other relevant information at their disposal which might affect the effective implementation of this Regulation. Article 14 1. Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 3, it shall amend Annex I accordingly. 2. The Council shall communicate the decision referred to in paragraph 1, including the grounds for listing, to the natural or legal person, entity or body concerned, either directly, if the address is known, or through the publication of a notice, providing that 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 Council shall review the decisions referred to in paragraph 1 and inform the natural or legal person, entity or body concerned accordingly. 4. The list in Annex I shall be reviewed at regular intervals and at least every 12 months. 5. The Commission shall be empowered to amend Annex II on the basis of information supplied by Member States. Article 15 1. Annex I shall include the grounds for the listing of natural or legal persons, entities or bodies concerned. 2. Annex I shall contain, where available, the information necessary to identify the natural or legal persons, entities or bodies concerned. With regard to natural persons, such information may include: names and 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 or bodies, such information may include: names; place and date of registration; registration number; and place of business. Article 16 1. 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. 2. Member States shall notify the Commission of the rules referred to in paragraph 1 without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment. Article 17 1. The Council, the Commission and the High Representative of the Union for Foreign Affairs and Security Policy (the ‘High Representative’) shall process personal data in order to carry out their tasks under this Regulation. These tasks include: (a) as regards the Council, preparing and making amendments to Annex I; (b) as regards the High Representative, preparing amendments to Annex I; (c) as regards the Commission: (i) adding the contents of Annex I to the electronic, consolidated list of persons, groups and entities subject to Union financial sanctions and to the interactive sanctions map, both publicly available; (ii) processing information on the impact of the measures provided for in this Regulation such as the value of frozen funds and information on authorisations granted by the competent authorities. 2. The Council, the Commission and the High Representative may process, where applicable, relevant data relating to criminal offences committed by listed natural persons, to criminal convictions of such persons or to security measures concerning such persons, only to the extent that such processing is necessary for the preparation of Annex I. 3. For the purposes of this Regulation, the Council, the Commission service listed in Annex II to this Regulation and the High Representative are designated as ‘controller’ within the meaning of point (8) of Article 3 of Regulation (EU) 2018/1725, in order to ensure that the natural persons concerned can exercise their rights under Regulation (EU) 2018/1725. Article 18 1. Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex II. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex II. 2. Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment. 3. Where this Regulation sets out 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. Article 19 This Regulation shall apply: (a) within the territory of the Union, including its airspace; (b) on board any aircraft or vessel under the jurisdiction of a Member State; (c) to any natural person inside or outside the territory of the Union who is a national of a Member State; (d) to any legal person, entity or body, inside or outside the territory of the Union, which is incorporated or constituted under the law of a Member State; (e) to any legal person, entity or body in respect of any business done in whole or in part within the Union. Article 20 This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Brussels, 7 December 2020. For the Council The President J. BORRELL FONTELLES (1) See page 13 of this Official Journal. (2) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1). (3) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39). ANNEX I List of natural or legal persons, entities or bodies referred to in Article 3 A. Natural persons B. Legal persons, entities and bodies ANNEX II Websites for information on the competent authorities and address for notifications to the Commission BELGIUM https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions BULGARIA https://www.mfa.bg/en/101 CZECH REPUBLIC www.financnianalytickyurad.cz/mezinarodni-sankce.html DENMARK http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/ GERMANY http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html ESTONIA http://www.vm.ee/est/kat_622/ IRELAND http://www.dfa.ie/home/index.aspx?id=28519 GREECE http://www.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html SPAIN http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunidadesRiesgos/Paginas/SancionesInternacionales.aspx FRANCE http://www.diplomatie.gouv.fr/fr/autorites-sanctions/ CROATIA http://www.mvep.hr/sankcije ITALY https://www.esteri.it/mae/it/politica_estera/politica_europea/misure_deroghe CYPRUS http://www.mfa.gov.cy/mfa/mfa2016.nsf/mfa35_en/mfa35_en?OpenDocument LATVIA http://www.mfa.gov.lv/en/security/4539 LITHUANIA http://www.urm.lt/sanctions LUXEMBOURG https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/mesures-restrictives.html HUNGARY https://kormany.hu/kulgazdasagi-es-kulugyminiszterium/ensz-eu-szankcios-tajekoztato MALTA https://foreignandeu.gov.mt/en/Government/SMB/Pages/SMB-Home.aspx NETHERLANDS https://www.rijksoverheid.nl/onderwerpen/internationale-sancties AUSTRIA http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version= POLAND https://www.gov.pl/web/dyplomacja PORTUGAL http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restritivas/medidas-restritivas.aspx ROMANIA http://www.mae.ro/node/1548 SLOVENIA http://www.mzz.gov.si/si/omejevalni_ukrepi SLOVAKIA https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu FINLAND http://formin.finland.fi/kvyhteistyo/pakotteet SWEDEN http://www.ud.se/sanktioner Address for notifications to the European Commission: European Commission Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA) Rue de Spa 2 B-1049 Brussels, Belgium Email: relex-sanctions@ec.europa.eu

Summary: Restrictive measures against serious human rights violations and abuses Restrictive measures against serious human rights violations and abuses SUMMARY OF: Decision (CFSP) 2020/1999 concerning restrictive measures against serious human rights violations and abuses Regulation (EU) 2020/1998 concerning restrictive measures against serious human rights violations and abuses WHAT IS THE AIM OF THE DECISION AND THE REGULATION? They establish a global European Union (EU) sanctions regime for serious human rights violations and abuses. Regulation (EU) 2020/1998 applied automatically and uniformly to all of the EU Member States as soon as it entered into force, without needing to be transposed into national law. It has been amended by Implementing Regulations (EU) 2021/371 of 2 March 2021 and (EU) 2021/478 of 22 March 2021. KEY POINTS The EU global human rights sanctions Regime (EUGHRSR) provides a legal base for the EU to target individuals, companies and bodies — including those who are and those who are not associated with national governments (state and non-state actors) — that are responsible for, involved in or associated with serious human rights violations and abuses worldwide, no matter where they occurred. Scope The EUGHRSR covers a number of human rights abuses including: genocide; crimes against humanity; torture and other cruel, inhuman or degrading treatment or punishment; slavery; extrajudicial, summary or arbitrary executions and killings; the enforced disappearance of persons and arbitrary arrests or detentions. The sanctions regime also covers acts which are widespread, systematic or of serious concern in relation to the goals of the common foreign and security policy (CFSP), as set out in Article 21 of the Treaty on European Union. These include: trafficking in human beings; abuses of human rights by migrant smugglers; sexual violence and gender-based violence; violations or abuses of the freedoms: of peaceful assembly and of association,of opinion and expression,of religion or belief. Sanctions and exceptions Restrictive measures will include a travel ban for individuals and the freezing of funds for both individuals and entities. In addition, persons and entities in the EU will be forbidden from making funds available to those who are listed, either directly or indirectly. Member States may grant exceptions from the measures when travel is justified due to: urgent humanitarian need; attendance at intergovernmental meetings or meetings promoted or hosted by the EU; situations where entry or transit is necessary to participate in a judicial process. Amending the list The High Representative of the European Union for Foreign Affairs and Security Policy and the Member States can propose amendments to the list. Amendments are decided upon by the Council of the European Union and are announced publicly. FROM WHEN DO THE DECISION AND REGULATION APPLY? They entered into force on 8 December 2020. BACKGROUND The EUGHRSR was part of the commitments to tackle serious human rights violations and abuses set out in the 2020–2024 EU action plan on human rights and democracy. MAIN DOCUMENTS Council Decision (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses (OJ L 410I, 7.12.2020, pp. 13–19). Successive amendments to Decision (CFSP) 2020/1999 have been incorporated into the original text. This consolidated version is of documentary value only. Council Regulation (EU) 2020/1998 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses (OJ L 410I, 7.12.2020, pp. 1–12). See consolidated version. RELATED DOCUMENTS Joint communication to the European Parliament and the Council — EU Action Plan on Human Rights and Democracy 2020–2024 (JOIN(2020) 5 final, 25.3.2020). Consolidated version of the Treaty on the Functioning of the European Union — Part Five — The Union’s external action — Title IV — Restrictive measures — Article 215 (ex Article 301 TEC) (OJ C 202, 7.6.2016, p. 144). last update 08.12.2021