21.12.2010 EN Official Journal of the European Union L 336/30 COUNCIL DECISION 2010/788/CFSP of 20 December 2010 concerning restrictive measures against the Democratic Republic of the Congo and repealing Common Position 2008/369/CFSP THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on European Union, and in particular Article 29 thereof, Whereas: (1) On 14 May 2008, the Council adopted Common Position 2008/369/CFSP concerning restrictive measures against the Democratic Republic of the Congo (1) following the adoption by the United Nations Security Council on 31 March 2008 of Resolution 1807 (2008) (‘UNSCR 1807 (2008)’). (2) On 1 December 2010, the Sanctions Committee established pursuant to United Nations Security Council Resolution 1533 (2004) (‘UNSCR 1533 (2004)’) amended the list of persons and entities which are subject to restrictive measures. (3) The procedure for amending the Annex to this Decision should include providing to designated persons and entities the grounds for listing so as to give them an opportunity to present observations. Where observations are submitted or where substantial new evidence is presented, the Council should review its decision in the light of those observations and inform the person or entity concerned accordingly. (4) This Decision respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and notably the right to an effective remedy and to a fair trial, the right to property and the right to the protection of personal data. This Decision should be applied in accordance with those rights and principles. (5) This Decision also fully respects the obligations of Member States under the Charter of the United Nations and the legally binding nature of Security Council resolutions. (6) Common Position 2008/369/CFSP should therefore be repealed and replaced by this Decision. (7) The Union implementing measures are set out in Council Regulation (EC) No 889/2005 of 13 June 2005 imposing certain restrictive measures in respect of the Democratic Republic of the Congo (2) and Council Regulation (EC) No 1183/2005 of 18 July 2005 imposing certain specific restrictive measures directed against persons acting in violation of the arms embargo with regard to the Democratic Republic of the Congo (3), HAS ADOPTED THIS DECISION: Article 1 1. The direct or indirect supply, sale or transfer of arms and any related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment and spare parts for the aforementioned to all non-governmental entities and individuals operating in the territory of the Democratic Republic of the Congo (DRC) by nationals of Member States or from the territories of Member States, or using their flag vessels or aircraft, shall be prohibited whether originating or not in their territories. 2. It shall also be prohibited to: (a) grant, sell, supply or transfer technical assistance, brokering services and other services related to military activities and to the provision, manufacture, maintenance and use of arms and related materiel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment, and spare parts for the aforementioned, directly or indirectly to all non-governmental entities and individuals operating in the territory of the DRC; (b) provide financing or financial assistance related to military activities, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of arms and related materiel, or for any grant, sale, supply, or transfer of related technical assistance, brokering services and other services, directly or indirectly to all non-governmental entities and individuals operating in the territory of the DRC. Article 2 1. Article 1 shall not apply to: (a) the supply, sale or transfer of arms and any related materiel or the provision of technical assistance, financing, brokering services and other services related to arms and related materiel intended solely for support of, or use by, the United Nations Organisation Mission in the DRC (MONUC); (b) the supply, sale or transfer of protective clothing, including flak jackets and military helmets, temporarily exported to the DRC by United Nations personnel, representatives of the media and humanitarian and development workers and associated personnel, for their personal use only; (c) the supply, sale or transfer of non-lethal military equipment intended solely for humanitarian or protective use, or the provision of technical assistance and training, related to such non-lethal equipment. 2. The supply, sale or transfer of arms and any related materiel or the provision of services or technical assistance and training referred to in paragraph 1 shall be subject to prior authorisation by the competent authorities of the Member States. 3. Member States shall give the Sanctions Committee established pursuant to UNSCR 1533 (2004) (Sanctions Committee) advance notification of any shipment of arms and related materiel for the DRC, or any provision of technical assistance, financing, brokering services and other services related to military activities in the DRC, other than those referred to in paragraphs 1(a) and (b). Such notification shall contain all relevant information, including, where appropriate, the end-user, the proposed date of delivery and the itinerary of shipments. 4. Member States shall consider deliveries under paragraph 1 on a case-by-case basis, taking full account of the criteria set out in Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (4). Member States shall require adequate safeguards against misuse of authorisations granted pursuant to paragraph 2 and, where appropriate, make provisions for repatriation of the arms delivered and related materiel. Article 3 Restrictive measures as provided for in Articles 4(1) and 5(1) and (2) shall be imposed against the following persons and, as appropriate, entities, designated by the Sanctions Committee: — persons or entities acting in violation of the arms embargo and related measures as referred to in Article 1, — 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, — political and military leaders of Congolese militias receiving support from outside the DRC, who impede the participation of their combatants in disarmament, demobilisation and reintegration processes, — political and military leaders operating in the DRC and recruiting or using children in armed conflicts in violation of applicable international law, — individuals operating in the DRC and committing serious violations of international law involving the targeting of children or women in situations of armed conflict, including killing and maiming, sexual violence, abduction and forced displacement, — individuals obstructing the access to or the distribution of humanitarian assistance in the eastern part of the DRC, — individuals or entities supporting the illegal armed groups in the eastern part of the DRC through illicit trade of natural resources. The relevant persons and entities are listed in the Annex. Article 4 1. Member States shall take the necessary measures to prevent the entry into, or transit through, their territories of the persons referred to in Article 3. 2. Paragraph 1 shall not oblige a Member State to refuse its own nationals entry into its territory. 3. Paragraph 1 shall not apply where the Sanctions Committee: (a) determines in advance and on a case-by-case basis that such entry or transit is justified on the grounds of humanitarian need, including religious obligation, (b) concludes that an exemption would further the objectives of relevant resolutions of the Security Council, that is to say peace and national reconciliation in the DRC and stability in the region, (c) authorises in advance and on a case-by-case basis, the transit of individuals returning to the territory of the State of their nationality, or participating in efforts to bring to justice perpetrators of grave violations of human rights or international humanitarian law. 4. In cases where, pursuant to paragraph 3, a Member State authorises the entry into, or transit through, its territory of persons designated by the Sanctions Committee, the authorisation shall be limited to the purpose for which it is given and to the persons concerned thereby. Article 5 1. All funds, other financial assets and economic resources owned or controlled directly or indirectly by the persons or entities referred to in Article 3 or held by entities owned or controlled directly or indirectly by them or by any persons or entities acting on their behalf or at their direction, as identified in the Annex, shall be frozen. 2. No funds, other financial assets or economic resources shall be made available, directly or indirectly, to or for the benefit of the persons or entities referred to in paragraph 1. 3. Member States may allow for exemptions from the measures referred to in paragraphs 1 and 2 in respect of funds, other financial assets and economic resources which are: (a) necessary for basic expenses, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; (b) intended exclusively for the payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; (c) intended exclusively for the payment of fees or service charges, in accordance with national laws, for routine holding or maintenance of frozen funds, or other financial assets and economic resources; (d) necessary for extraordinary expenses, after notification by the Member State concerned to, and approval by, the Sanctions Committee; (e) the subject of a judicial, administrative or arbitral lien or judgment, in which case the funds, other financial assets and economic resources may be used to satisfy that lien or judgment provided that the lien or judgment was entered before designation by the Sanctions Committee of the person or entity concerned, and is not for the benefit of a person or entity referred to in Article 3, after notification by the Member State concerned to the Sanctions Committee. 4. The exemptions referred to in paragraph 3(a), (b) and (c) may be made after notification to the Sanctions Committee by the Member State concerned of its intention to authorise, where appropriate, access to such funds, other financial assets and economic resources, and in the absence of a negative decision by the Sanctions Committee within four working days of such notification. 5. Paragraph 2 shall not apply to the addition to frozen accounts of: (a) interest or other earnings on those accounts; or (b) payments due under contracts, agreements or obligations that were concluded or arose before the date on which those accounts became subject to restrictive measures, provided that any such interest, other earnings and payments remain subject to paragraph 1. Article 6 The Council shall amend the list contained in the Annex on the basis of the determinations made by the Security Council or by the Sanctions Committee. Article 7 1. Where the United Nations Security Council or the Sanctions Committee lists a person or entity, the Council shall include such person or entity in the Annex. The Council shall communicate its decision, including the grounds for listing, to the person or entity concerned, either directly, if the address is known, or through the publication of a notice, providing such person or entity an opportunity to present observations. 2. Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the person or entity concerned accordingly. Article 8 1. The Annex shall include the grounds for listing of listed persons and entities as provided by the United Nations Security Council or the Sanctions Committee. 2. The Annex shall also include, where available, information provided by the United Nations Security Council or by the Sanctions Committee necessary to identify the persons or entities concerned. With regard to persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, address, if known, and function or profession. With regard to entities, such information may include names, place and date of registration, registration number and place of business. The Annex shall also include the date of designation by the United Nations Security Council or by the Sanctions Committee. Article 9 This Decision shall be reviewed, amended or repealed as appropriate, as determined by the United Nations Security Council. Article 10 Common Position 2008/369/CFSP is hereby repealed. Article 11 This Decision shall enter into force on the date of its adoption. Done at Brussels, 20 December 2010. For the Council The President J. SCHAUVLIEGE (1) OJ L 127, 15.5.2008, p. 84. (2) OJ L 152, 15.6.2005, p. 1. (3) OJ L 193, 23.7.2005, p. 1. (4) OJ L 335, 13.12.2008, p. 99. ANNEX a) List of persons referred to in Articles 3, 4 and 5 Name Alias Date of birth/place of birth Identifying information Reasons Date of designation Frank Kakolele BWAMBALE Frank Kakorere Frank Kakorere Bwambale Left the CNDP in January 2008. As of December 2008 resides in Kinshasa. Former RCD-ML leader, exercising influence over policies and maintaining command and control over the activities of RCD-ML forces, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), responsible for trafficking of arms, in violation of the arms embargo. 1.11.2005 Gaston IYAMUREMYE Rumuli Byiringiro Victor Rumuli Victor Rumuri Michel Byiringiro 1948 Musanze District (Northern Province), Rwanda Ruhengeri, Rwanda Second Vice President of FDLR Brigadier General As of November 2010, resides either in Kibua, North Kivu,DRC, or in Aru, Orientale Province, DRC. According to multiple sources, including the UNSC DRC Sanctions Committee’s Group of Experts, Gaston Iyamuremye is the second vice president of the FDLR and is considered a core member of the FDLR military and political leadership. Gaston Iyamuremye also ran Ignace Murwanashyaka’s (President of the FDLR) office in Kibua, DRC until December 2009. 1.12.2010 Jérôme KAKWAVU BUKANDE Jérôme Kakwavu Congolese Known as: ‘Commandant Jérôme’ As of June 2010, has been arrested and is now being held in Kinshasa central prison. Judicial proceedings have been initiated against him and two other of the five senior FARDC officers. Former President of UCD/FAPC. FAPC’s control of illegal border posts between Uganda and the DRC - a key transit route for arms flows. As President of the FAPC, he exercises influence over policies and maintains command and control over the activities of FAPC forces, which have been involved in arms trafficking and, consequently, in violations of the arms embargo. Given the rank of General in the FARDC in December 2004. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children in Ituri in 2002. One of five senior FARDC officers who had been accused of serious crimes involving sexual violence and whose cases the Security Council had brought to the Government’s attention during its visit in 2009. 1.11.2005 Germain KATANGA Congolese Under house arrest in Kinshasa from March 2005 for FRPI involvement in human rights abuses. Handed over by the Government of the DRC to the International Criminal Court on 18 October 2007. FRPI chief. Appointed General in the FARDC in December 2004. Involved in weapons transfers, in violation of the arms embargo. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children in Ituri from 2002 to 2003. 1.11.2005 Thomas LUBANGA Ituri Congolese Arrested in Kinshasa in March 2005 for UPC/L involvement in human rights abuses. Transferred to the ICC by the Congolese authorities on 17 March 2006. As of December 2008 is being tried for war crimes. President of the UPC/L, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), involved in the trafficking of arms, in violation of the arms embargo. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children in Ituri from 2002 to 2003. 1.11.2005 Khawa Panga MANDRO Kawa Panga Kawa Panga Mandro Kawa Mandro Yves Andoul Karim Mandro Panga Kahwa Yves Khawa Panga Mandro 20 August 1973, Bunia Congolese Known as: ‘Chief Kahwa’ ‘Kawa’ Arrested by Congolese authorities in October 2005, acquitted by the Court of Appeal in Kisangani, subsequently transferred to the judicial authorities in Kinshasa on new charges of crimes against humanity, war crimes, murder, aggravated assault and battery Ex-President of PUSIC, one of the armed groups and militia referred to in paragraph 20 of Resolution 1493 (2003) involved in arms trafficking, in violation of the arms embargo. In prison in Bunia since 04/05 for sabotage of the Ituri peace process. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children from 2001 to 2002. 1.11.2005 Callixte MBARUSHIMANA 24 July 1963, Ndusu/Ruhen geri Northern Province, Rwanda Rwandan Current location: Paris or Thaïs, France Executive Secretary of the FDLR and Vice-President of the FDLR military high command. Political/Military leader of a foreign armed group operating in the Democratic Republic of the Congo, impeding the disarmament and the voluntary repatriation and resettlement of combatants, per Security Council Resolution 1857 (2008) OP 4 (b). 3.3.2009 Iruta Douglas MPAMO Mpano Douglas Iruta Mpamo 28 December 1965, Bashali, Masisi 29 December 1965, Goma, DRC (formerly Zaire) Congolese Based in Goma and Gisenyi, Rwanda. Frequently travels across international border between Rwanda and Congo. Address: Bld Kanyamuhanga 52, Goma Owner/Manager of the Compagnie Aérienne des Grands Lacs and of Great Lakes Business Company, whose aircraft were used to provide assistance to armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003). Also responsible for disguising information on flights and cargo apparently to allow for the violation of the arms embargo. 1.11.2005 Sylvestre MUDACUMURA Rwandan Known as: ‘Radja’, ‘Mupenzi Bernard’, ‘General Major Mupenzi’, ‘General Mudacumura’ As of November 2009, continues to serve as FDLR-FOCA military commander. Based in Kibua, Masisi territory, DRC. FDLR commander, exercising influence over policies, and maintaining command and control over the activities of FDLR forces, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), involved in trafficking of arms, in violation of the arms embargo. Mudacumura (or staff) was in telephone communication with FDLR leader Murwanashyaka in Germany, including at the time of the Busurungi Massacre May 2009, and military commander Major Guillaume during Umoja Wetu and Kimia II operations in 2009. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for 27 cases of recruitment and use of children by troops under his command in North Kivu from 2002 to 2007. 1.11.2005 Leodomir MUGARAGU Manzi Leon Leo Manzi 1954 1953 Kigali, Rwanda Rushashi (Northern Province), Rwanda Address: Katoyi, North Kivu, DRC FDLR/FOCA Chief of Staff Brigadier General According to open-source and official reporting, Leodomir Mugaragu is the Chief of Staff of the Forces Combattantes Abucunguzi/Combatant Force for the Liberation of Rwanda (FOCA), the FDLR’s armed wing. According to official reporting Mugaragu is a senior planner for FDLR’s military operations in the eastern DRC. 1.12.2010 Leopold MUJYAMBERE Musenyeri Achille Frere Petrus Ibrahim 17 March 1962, Kigali, Rwanda Est. 1966 Rwandan Rank: Colonel Current location: Mwenga, South Kivu, DRC Commander of the Second Division of FOCA / the Reserve Brigades (an FDLR armed branch). Military leader of a foreign armed group operating in the Democratic Republic of the Congo, impeding the disarmament and the voluntary repatriation and resettlement of combatants, in violation of Security Council Resolution 1857 (2008) OP4 (b). In evidence collated by the UNSC DRC Sanctions Committee Group of Experts, detailed in its report of 13 February 2008, girls recovered from FDLR-FOCA had previously been abducted and sexually abused. Since mid-2007, FDLR-FOCA, which previously recruited boys in their mid to late teens, has been forcefully recruiting youth from the age of 10 years. The youngest are then used as escorts, and older children are deployed as soldiers on the frontline, in violation of Security Council Resolution 1857 (2008) OP4 (d) and (e). 3.3.2009 Dr. Ignace MURWANASHYAKA Ignace 14 May 1963, Butera (Rwanda) Ngoma, Butare (Rwanda) Rwandan Resident in Germany As of November 2009, still recognized as the President of the FDLR-FOCA political branch and supreme commander of the FDLR armed forces Arrested by German Federal Police on 17 November 2009 on suspicion of committing crimes against humanity and war crimes in the DRC, as well as on the basis of other charges related to the forming and membership of a foreign terrorist organization. President of the FDLR, and supreme commander of the FDLR armed forces exercising influence over policies, and maintaining command and control over the activities of FDLR forces, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), involved in trafficking of arms, in violation of the arms embargo. In telephone communication with FDLR military field commanders (including during the Busurungi May 2009 massacre); gave military orders to the high command; involved in coordinating the transfer of arms and ammunition to FDLR units and relaying specific instructions for use; managing large sums of money raised through illicit sale of natural resources in areas of FDLR control (pg.24-25, 83) Traveled to Uganda in 2006 in violation of travel ban According to the Office of the SRSG on Children and Armed Conflict, he held command responsibility as President and military commander of FDLR for recruitment and use of children by the FDLR in Eastern Congo. 1.11.2005 Straton MUSONI IO Musoni 6 April 1961 (possibly 4 June 1961) Mugambazi, Kigali, Rwanda Rwandan passport expired on 10 September 2004 Resident in Neuffen, Germany As of November 2009, still recognized as the 1st Vice President of the FDLR-FOCA political branch and President of the FDLR military high command. Arrested by German Federal Police on 17 November 2009 on suspicion of committing crimes against humanity and war crimes in the DRC, as well as on the basis of other charges related to the forming and membership of a foreign terrorist organization. Through his leadership of the FDLR, a foreign armed group operating in the DRC, Musoni is impeding the disarmament and voluntary repatriation or resettlement of combatants belonging to those groups, in breach of Resolution 1649 (2005). 29.3.2007 Jules MUTEBUTSI Jules Mutebusi Jules Mutebuzi Colonel Mutebutsi South Kivu Congolese (South Kivu) Arrested by the Rwandan authorities in December 2007 when he tried to cross the border into the DRC. Reportedly he is currently ‘restrained.’ Former FARDC Deputy Military Regional Commander of 10th MR in April 2004, dismissed for indiscipline and joined forces with other renegade elements of former RCDG to take town of Bukavu in May 2004 by force. Implicated in the receipt of weapons outside of FARDC structures and provision of supplies to armed groups and militia mentioned in paragraph 20 of Resolution 1493 (2003), in violation of the arms embargo. 1.11.2005 Mathieu, Chui NGUDJOLO Cui Ngudjolo ‘Colonel’ or ‘General’ Surrendered by the Government of the DRC to the International Criminal Court on 7 February 2008. FNI Chief of Staff and former Chief of Staff of the FRPI, exercising influence over policies and maintaining command and control the activities of FRPI forces, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), responsible for trafficking of arms, in violation of the arms embargo. Arrested by MONUC in Bunia in October 2003. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children under 15 years old in Ituri in 2006. 1.11.2005 Floribert Ngabu NJABU Floribert Njabu Floribert Ndjabu Floribert Ngabu Ndjabu Arrested and placed under house arrest in Kinshasa from March 2005 for FNI involvement in human rights abuses. President of FNI, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), involved in the trafficking of arms, in violation of the arms embargo. 1.11.2005 Laurent NKUNDA Nkunda Mihigo Laurent Laurent Nkunda Bwatare Laurent Nkundabatware Laurent Nkunda Mahoro Batware Laurent Nkunda Batware 6 February 1967 North Kivu/Rutshuru 2 February 1967 Congolese Known as: ‘Chairman’ ‘General Nkunda’ ‘Papa Six’ Arrested on Rwandan soil in January 2009 and subsequently replaced as commander of the CNDP in North Kivu. Former RCD-G General. Joined forces with other renegade elements of former RCD-G to take Bukavu in May 04 by force. In receipt of weapons outside of FARDC in violation of the arms embargo. Founder, National Congress for the People’s Defense, 2006; Senior Officer, Rally for Congolese Democracy- Goma (RCD-G), 1998- 2006; Officer Rwandan Patriotic Front (RPF), 1992-1998. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for 264 cases of recruitment and use of children by troops under his command in North Kivu from 2002 to 2009. As of November 2009, despite arrest in Rwanda in January 2009 and removal as President of CNDP, retains some control over CNDP and its international network. 1.11.2005 Felicien NSANZUBUKI-RE Fred Irakeza 1967 Murama, Kinyinya, Rubungo, Kigali, Rwanda According to multiple sources, Felicien Nsanzubukire is the 1st battalion leader of the FDLR, and is based in the Uvira-Sange area of South Kivu. Felicien Nsanzubukire has been a member of the FDLR since at least 1994 and operating in eastern DRC since October 1998. The UNSC DRC Sanction Committee’s Group of Experts reports that Felicien Nsanzubukire supervised and coordinated the trafficking of ammunition and weapons between at least November 2008 and April 2009 from the United Republic of Tanzania, via Lake Tanganyika, to FDLR units based in the Uvira and Fizi areas of South Kivu. 1.12.2010 Pacifique NTAWUNGUKA Colonel Omega Nzeri Israel Pacifique Ntawungula 1 January 1964, Gaseke, Gisenyi Province, Rwanda Est. 1964 Rwandan Rank: Colonel Current Location: Peti, Walikale - Masisis border, DRC Other: Received military training in Egypt Commander of the First Division of FOCA (an FDLR armed branch). Military leader of a foreign armed group operating in the Democratic Republic of the Congo, impeding the disarmament and the voluntary repatriation and resettlement of combatants, in violation of Security Council Resolution 1857 (2008) OP 4 (b). In evidence collated by the UNSC DRC Sanctions Committee Group of Experts, detailed in its report of 13 February 2008, girls recovered from FDLR-FOCA had previously been abducted and sexually abused. Since mid-2007, FDLR-FOCA, which previously recruited boys in their mid to late teens, has been forcefully recruiting youth from the age of 10 years. The youngest are then used as escorts, and older children are deployed as soldiers on the frontline, in violation of Security Council Resolution 1857 (2008) OP4 (d) and (e). 3.3.2009 James NYAKUNI Ugandan Trade partnership with Commandant Jerome, particularly smuggling across the DRC/Uganda border, including suspectted smuggling of weapons and military material in unchecked trucks. Violation of the arms embargo and provision of assistance to armed groups and militia referred to in paragraph 20 of Resolution 1493 (2003), including financial support that allows them to operate militarily. 1.11.2005 Stanislas NZEYIMANA Deogratias Bigaruka Izabayo Bigaruka Bigurura Izabayo Deo Jules Mateso Mlamba 1 January 1966, Mugusa (Butare), Rwanda Est. 1967 Alt. 28 August 1966 Rwandan As of November 2009, recognized as Major General Stanislas Nzeyimana, FDLR Deputy Commander Current location: Kalonge, Masisi, North Kivu, DRC or Kibua, DRC. Frequent travel to Kigoma Deputy Commander of the FOCA (an FDLR armed branch). Military leader of a foreign armed group operating in the Democratic Republic of the Congo, impeding the disarmament and the voluntary repatriation and resettlement of combatants, in violation of Security Council Resolution 1857 (2008) OP 4 (b). In evidence collated by the UNSC DRC Sanctions Committee Group of Experts, detailed in its report of 13 February 2008, girls recovered from FDLR-FOCA had previously been abducted and sexually abused. Since mid-2007, FDLR-FOCA, which previously recruited boys in their mid to late teens, has been forcefully recruiting youth from the age of 10 years. The youngest are then used as escorts, and older children are deployed as soldiers on the frontline, in violation of Security Council Resolution 1857 (2008) OP4 (d) and (e). 3.3.2009 Dieudonné OZIA MAZIO Ozia Mazio 6 June 1949, Ariwara Congolese Known as: ‘Omari’ ‘Mr Omari’ Deceased in Ariwara on 23 September 2008. President of FEC in Aru territory. Financial schemes with Commandant Jerome and FAPC and smuggling across the DRC/Uganda border, allowing supplies and cash to be made available to Commandant Jerome and his troops. Violation of the arms embargo, including by providing assistance to armed groups and militia referred to in paragraph 20 of Resolution 1493 (2003). 1.11.2005 Bosco TAGANDA Bosco Ntaganda Bosco Ntagenda General Taganda Congolese Known as: ‘Terminator’ ‘Major’ As of November 2009, de facto military head of CNDP following arrest of General Laurent Nkunda in January 2009. Former chief of staff of the CNDP. Based in Bunagana and Rutshuru. Since appointment as the de facto military head of CNDP in January 2009, has been instructed to manage integration into FARDC and given the post of deputy operational commander for Kimia II although this is officially denied by FARDC UPC/L military commander, exercising influence over policies and maintaining command and control over the activities of UPC/L, one of the armed groups and militias referred to in paragraph 20 of Resolution 1493 (2003), involved in the trafficking of arms, in violation of the arms embargo. He was appointed General in the FARDC in December 2004 but refused to accept the promotion, therefore remaining outside of the FARDC. According to the Office of the SRSG on Children and Armed Conflict, he was responsible for recruitment and use of children in Ituri in 2002 and 2003, and 155 cases of direct and/or command responsibility for recruitment and use of children in North Kivu from 2002 to 2009. As CNDP Chief of Staff, had direct and command responsibility for the massacre at Kiwanja (November 2008) 1.11.2005 Innocent ZIMURINDA September 1, 1972 1975 Ngungu, Masisi Territory, North Kivu Province, DRC Lt. Col. According to opensource and official reporting, Lt Col Innocent Zimurinda was an officer in the Congrès National pour la Défense du Peuple (CNDP) which was integrated into Forces Armées de la République Démocratique du Congo (FARDC) in early 2009. According to multiple sources, Lt Col Innocent Zimurinda, in his capacity as one of the commanders of the FARDC 231st Brigade, gave orders that resulted in the massacre of over 100 Rwandan refugees, mostly women and children, during an April 2009 military operation in the Shalio area. The UNSC DRC Sanctions Committee’s Group of Experts reported that Lt Col Innocent Zimurinda was witnessed first hand refusing to release three children from his command in Kalehe, on August 29, 2009. According to multiple sources, Lt Col Innocent Zimurinda, prior to the CNDP’s integration into FARDC, participated in a November 2008 CNDP operation that resulted in the massacre of 89 civilians, including women and children, in the region of Kiwanja. In March 2010, 51 human rights groups working in eastern DRC posted a complaint online alleging that Lt Col Innocent Zimurinda was responsible for multiple human rights abuses involving the murder of numerous civilians, including women and children, between February 2007 and August 2007. Lt Col Innocent Zimurinda has also been accused in the same complaint to be responsible for the rape of a large number of women and girls. According to a May 21, 2010, statement by the Special Representative of the Secretary General for Children and Armed Conflict, Innocent Zimurinda has been involved in the arbitrary execution of child soldiers, including during operation Kimia II. According to the same statement, he denied access by the UN Mission in the DRC (MONUC) to screen troops for minors. According to the UNSC DRC Sanctions Committee’s Group of Experts, Lt Col Zimurinda holds direct and command responsibility for child recruitment and for maintaining children within troops under his command. 1.12.2010 b) List of entities referred to in Articles 3, 4 and 5 Name Alias Address Identifying information Reasons Date of designation BUTEMBO AIRLINES (BAL) Butembo, DRC Privately-owned airline, operates out of Butembo As of December 2008, BAL no longer holds an aircraft operating license in the DRC. Kisoni Kambale (deceased on 5 July 2007 and subsequently de-listed on 24 April 2008) used his airline to transport FNI gold, rations and weapons between Mongbwalu and Butembo. This constitutes ‘provision of assistance’ to illegal armed groups in breach of the arms embargo of Resolutions 1493 (2003) and 1596 (2005). 29.3.2007 CONGOCOM TRADING HOUSE Butembo, DRC Tel: +253 (0) 99 983 784 Gold trading house in Butembo. CONGOCOM was owned by Kisoni Kambale (deceased on 5 July 2007 and subsequently de-listed on 24 April 2008). Kambale acquired almost all the gold production in the Mongbwalu district, which is controlled by the FNI. The FNI derive substantial income from taxes imposed on this production. This constitutes ‘provision of assistance’ to illegal armed groups in breach of the arms embargo of Resolutions 1493 (2003) and 1596 (2005). 29.3.2007 COMPAGNIE AERIENNE DES GRANDS LACS (CAGL) GREAT LAKES BUSINESS COMPANY (GLBC) CAGL, Avenue Président Mobutu Goma, DRC (CAGL also has an office in Gisenyi, Rwanda) GLBC, PO Box 315, Goma, DRC (GLBC also has an office in Gisenyi, Rwanda) As of December 2008, GLBC no longer had any operational aircraft, although several aircraft continued flying in 2008 despite UN sanctions. CAGL and GLBC are companies owned by Douglas MPAMO, an individual already subject to sanctions under Resolution 1596 (2005). CAGL and GLBC were used to transport arms and ammunition in violation of the arms embargo of Resolutions 1493 (2003) and 1596 (2005). 29.3.2007 MACHANGA LTD Kampala, Uganda Gold export company in Kampala (Directors: Mr. Rajendra Kumar Vaya and Mr. Hirendra M. Vaya). MACHANGA bought gold through a regular commercial relationship with traders in the DRC tightly linked to militias. This constitutes ‘provision of assistance’ to illegal armed groups in breach of the arms embargo of Resolutions 1493 (2003) and 1596 (2005). 29.3.2007 TOUS POUR LA PAIX ET LE DEVELOPPEMENT (NGO) TPD Goma, North Kivu As of December 2008, TPD still existed and had offices in several towns in Masisi and Rutshuru territories, but its activities had almost ceased. Implicated in violation of the arms embargo, by providing assistance to RCD-G, particularly in supplying trucks to transport arms and troops, and also by transporting weapons to be distributed to parts of the population in Masisi and Rutshuru, North Kivu, in early 2005 1.11.2005 UGANDA COMMERCIAL IMPEX (UCI) LTD Kajoka Street Kisemente Kampala, Uganda Tel.: +256 41 533 578/9; Alternative address: PO Box 22709 Kampala, Uganda Gold export company in Kampala. (Directors Mr. J.V. LODHIA – known as ‘Chuni’- and his son Mr. Kunal LODHIA). UCI bought gold through a regular commercial relationship with traders in the DRC tightly linked to militias. This constitutes ‘provision of assistance’ to illegal armed groups in breach of the arms embargo of Resolutions 1493 (2003) and 1596 (2005). 29.3.2007

Summary: Restrictive measures against the Democratic Republic of the Congo Restrictive measures against the Democratic Republic of the Congo SUMMARY OF: Decision 2010/788/CFSP concerning restrictive measures against the Democratic Republic of the Congo Regulation (EC) No 1183/2005 imposing certain specific restrictive measures directed against persons acting in violation of the arms embargo with regard to the Democratic Republic of the Congo WHAT IS THE AIM OF THE DECISION AND THE REGULATION? On the basis of the determinations made by the United Nations Security Council or by the UN Sanctions Committee, the decision and regulation impose restrictive measures against persons and entities responsible for the direct or indirect supply, sale or transfer of arms and any related materiel, as well as against persons and entities designated by the UN Sanctions Committee to engage in or provide support for acts that undermine the peace, stability or security of the Democratic Republic of the Congo (DRC). In addition, the decision and regulation impose autonomous EU restrictive measures against persons and entities responsible for obstructing a consensual and peaceful solution towards elections in DRC, including by acts of violence, repression or inciting violence, or by undermining the rule of law, or who are involved in planning, directing or committing acts that constitute serious human rights violations or abuses in DRC. KEY POINTS Article 29 of the Treaty on European Union and Article 215 of the Treaty on the Functioning of the European Union provide the necessary legal bases for giving the EU the power to impose restrictive measures (sanctions) on governments of non-EU countries, non-state entities and individuals to bring about a change in their policy or activity. A. UN transposition restrictive measures In transposition of UN Security Council resolutions, namely 1493 (2003), 1596 (2005), 1649 (2005) and 1698 (2006), EU measures impose financial restrictive measures (sanctions) against persons and entities designated by the UN Sanctions Committee as acting in violation of the arms embargo. Arms embargo Any non-governmental entity or person operating in the DRC is subject to: a ban on technical assistance or services related to the goods and technology listed in the EU common military list; a ban on financing or financial assistance related to the sale, supply, transfer or export of goods and technology listed in the common military list. Exceptions are made for provisions to the UN Organisation Stabilisation Mission in the DRC (‘Monusco’) and the African Union-Led Regional Task Force, as well as non-lethal military equipment intended solely for humanitarian or protective use. Financial sanctions Under the regulation there is: a freeze on funds* and economic resources* if they belong to, or are owned or held by, individuals or bodies listed in Annex I; a ban on funds or economic resources being made available to individuals, entities or bodies listed in Annex I; a ban on intentional activities to circumvent the above measures. EU countries may exceptionally authorise (with the agreement of the UN Sanctions Committee) frozen funds or economic resources to be released if they are: basic expenses, including food, rent, mortgage payments, medicines and medical treatment, taxes, insurance premiums, and public utility charges; reasonable professional fees and certain other ‘extraordinary expenses’ such as humanitarian aid; fees for maintaining frozen funds; the subject of a judicial or administrative lien or judgment from before 18 April 2005 under certain detailed conditions, unless contrary to EU policies. Interest or other earnings on frozen accounts or payments due under agreements from before this regulation came into effect are allowed, but will be frozen. Designated persons and entities subject to sanctions (Annex I) The Council amends Annex I on the basis of determinations made by the UN Sanctions Committee for individuals or bodies engaging in or providing support for acts that undermine the peace, stability or security of the DRC, including: violating the arms embargo; being political and military leaders of foreign armed groups operating in the DRC or of Congolese militias; recruiting or using children in armed conflict; planning, directing or committing acts in the DRC that constitute human rights violations or abuses or violations of international humanitarian law; obstructing access to humanitarian assistance in the DRC; supporting individuals or entities, including armed groups or criminal networks, involved in destabilising activities in the DRC through illicit trade in natural resources, including gold or wildlife; planning, directing, sponsoring or participating in attacks against Monusco peacekeepers or UN personnel; providing financial, material or technological support to a designated person or entity. B. EU autonomous measures The Council, acting upon a proposal from an EU country or from the High Representative of the Union for Foreign Affairs and Security Policy, amends the list in Annex II in relation to persons and entities responsible for obstructing a consensual and peaceful solution towards elections in DRC, including by acts of violence, repression or inciting violence, or by undermining the rule of law, or who are involved in planning, directing or committing acts that constitute serious human rights violations or abuses in DRC. In this case, restrictive measures include: freezing of funds and economic resources owned or controlled by targeted individuals or organisations (such as cash, bank deposits, stocks, shares, etc.) which may not be accessed, moved or sold, and real estate which may not be sold or rented; visa or travel ban: preventing individuals concerned by sanctions from entering the EU. Information Individuals, entities and bodies must immediately supply any information which would facilitate compliance with the regulation, such as accounts and amounts frozen, to the competent national authorities (as listed in Annex II) or to the European Commission. Coverage The regulation applies: within the EU; on board any aircraft or any vessel under the jurisdiction of an EU country; to any person who is a national of an EU country; to any individual or body incorporated or constituted under the law of an EU country or doing business within the EU. FROM WHEN DOES THE DECISION AND REGULATION APPLY? Decision 2010/788/CFSP has applied since 20 December 2010. Regulation (EC) No 1183/2005 has applied since 23 July 2005. BACKGROUND See also: The Democratic Republic of the Congo and the EU (European External Action Service) Sanctions policy (European External Action Service) Sanctions: how and when the EU adopts restrictive measures (Council of the European Union) EU sanctions map: DRC (Council of the European Union). KEY TERMS Freezing of funds: 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. Freezing of economic resources: preventing the use of economic resources (assets of every kind, whether tangible, intangible, movable or immovable, which can be used to obtain funds, goods or services) to obtain funds, goods or services in any way, including selling, hiring or mortgaging. MAIN DOCUMENTS Council Decision 2010/788/CFSP of 20 December 2010 concerning restrictive measures against the Democratic Republic of the Congo and repealing Common Position 2008/369/CFSP (OJ L 336, 21.12.2010, pp. 30-42) Successive amendments to Decision 2010/788/CFSP have been incorporated into the original text. This consolidated version is of documentary value only. Council Regulation (EC) No 1183/2005 of 18 July 2005 imposing certain specific restrictive measures directed against persons acting in violation of the arms embargo with regard to the Democratic Republic of the Congo (OJ L 193, 23.7.2005, pp. 1-8) See consolidated version. RELATED DOCUMENTS Consolidated version of the Treaty on European Union — Title V — General provisions on the Union’s external action and specific provisions on the common foreign and security policy — Chapter 2 — Specific provisions on the common foreign and security policy — Section 1 — Common provisions — Article 29 (ex Article 15 TEU) (OJ C 202, 7.6.2016, p. 33) 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) Common Military List of the European Union (OJ C 95, 12.3.2019, pp. 1-35) The consolidated United Nations Security Council sanctions list is also updated following all changes made to the Committee’s sanctions list. An updated version of the consolidated list is accessible via the following URL: http://www.un.org/securitycouncil/content/un-sc-consolidated-list last update 27.11.2020


11.12.2010 EN Official Journal of the European Union L 327/44 COUNCIL DECISION 2010/765/CFSP of 2 December 2010 on EU action to counter the illicit trade of small arms and light weapons (SALW) by air THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on European Union, and in particular Article 26(2) thereof, Whereas: (1) On 13 December 2003, the Council adopted a European Security Strategy identifying five key challenges to be faced by the Union: terrorism, the proliferation of weapons of mass destruction, regional conflicts, State failure and organised crime. The consequences of the illicit manufacture, transfer and circulation of small arms and light weapons (SALW) and their excessive accumulation and uncontrolled spread are central to four of these five challenges. (2) On 15-16 December 2005, the Council adopted the EU Strategy to combat the illicit accumulation and trafficking of SALW and their ammunition (EU SALW Strategy). The EU SALW Strategy promotes the development of a policy for actively combating illicit network trafficking in SALW (illicit brokers and carriers) using the Union’s air, sea and land space, by devising alert and cooperation mechanisms. (3) The Action Plan of the EU SALW Strategy also underlines the need to improve the impact of missions of crisis management by including in their mandate measures aiming at the establishment of border controls (or control of the air, land and sea space of the conflict zone) and disarmament. (4) The EU Council Working Party on Global Disarmament and Arms Controls (CODUN) and the EU Joint Situation Centre (SitCen) have, since 2007, developed an EU initiative to hinder illicit trafficking of SALW by air transport, by enhancing the exchange, among Member States, of relevant information on suspected air-carriers. In establishing such a system of exchange of information, CODUN and SitCen have been collaborating with the Stockholm International Peace and Research Institute (SIPRI) and its Countering Illicit Trafficking – Mechanism Assessment Project (CIT – MAP). Within the framework of this initiative, CODUN recently agreed to consider ways to render this EU initiative more operational and effective, by ensuring the timely updating and processing of relevant information. (5) The risk posed to international security by the illicit trade of SALW via air was also recognised by other international and regional organisations. The OSCE Forum on Security and cooperation held a special session in 2007 devoted to this topic and the OSCE Parliamentary Assembly adopted in 2008 a resolution calling for the completion, adoption and implementation of an OSCE Best Practice Guide on the illicit air transportation of SALW. Similarly, Participating States in the Wassenaar Arrangement adopted in 2007 ‘Best practices to prevent destabilising transfers of SALW through air transport’. In addition, numerous UN Security Council Sanctions Committee Group of Expert reports on West Africa and the Great Lakes region have repeatedly documented the key role played by air cargo companies involved in illicit SALW trafficking. (6) The action foreseen in this Decision does not pursue any objectives related to the improvement of air transport safety, HAS ADOPTED THIS DECISION: Article 1 1. With a view to the implementation of the EU Strategy to combat the illicit accumulation and trafficking of SALW and their ammunition (EU SALW Strategy), the Union shall pursue the following objectives: (a) improving tools and techniques, at the disposal of relevant crisis management missions, international and third countries’ national authorities and Member States, to effectively screen and target suspect air cargo aircrafts likely to be involved in illicit trade of SALW via air within, from or to third States; (b) increasing awareness and technical expertise on the part of relevant international and national personnel, of ‘best practices’ in the areas of monitoring, detection and risk management analysis against air cargo carriers suspected of SALW trafficking via air within, from or to third States. 2. In order to achieve the objectives referred to in paragraph 1, the Union shall undertake the following measures: (a) the development and field testing of a pilot air trafficking risk management dedicated software for relevant crisis management missions, and international and national authorities, including a regularly updated database on, inter alia, air companies, aircraft, registration numbers and transportation routings; (b) the development and field testing of a secure pilot risk management and information dissemination system; (c) the development and publication of a manual and accompanying training material, as well as the provision of technical assistance to facilitate the use and adaptation of the pilot software and of the secure risk management and information system, including through the organisation of regional seminars to train relevant crisis management missions, and international and national authorities. A detailed description of the project is set out in the Annex. Article 2 1. The High Representative of the Union for Foreign Affairs and Security Policy (HR) shall be responsible for the implementation of this Decision. 2. The technical implementation of the projects referred to in Article 1(2) shall be carried out by SIPRI. 3. SIPRI shall perform its task under the responsibility of the HR. For this purpose, the HR shall enter into the necessary arrangements with SIPRI. Article 3 1. The financial reference amount for the implementation of the project referred to in Article 1(2) shall be EUR 900 000. 2. The expenditure financed by the amount set out in paragraph 1 shall be managed in accordance with the procedures and rules applicable to the general budget of the Union. 3. The Commission shall supervise the proper management of the expenditure referred to in paragraph 1. For this purpose, it shall conclude a financing agreement with SIPRI. The agreement shall stipulate that SIPRI is to ensure the visibility of the EU contribution, appropriate to its size. 4. The Commission shall endeavour to conclude the financing agreement referred to in paragraph 3 as soon as possible after the entry into force of this Decision. It shall inform the Council of any difficulties in that process and of the date of conclusion of the financing agreement. Article 4 The HR shall report to the Council on the implementation of this Decision on the basis of regular bi-monthly reports prepared by SIPRI. These reports shall form the basis for the evaluation carried out by the Council. The Commission shall provide information on the financial aspects of the project’s implementation referred to in Article 1(2). Article 5 1. This Decision shall enter into force on the day of its adoption. 2. This Decision shall expire 24 months after the date of conclusion of the financing agreement referred to in Article 3(3), or 6 months after the date of adoption of this Decision if no financing agreement has been concluded within that period. Article 6 This Decision shall be published in the Official Journal of the European Union. Done at Brussels, 2 December 2010. For the Council The President M. WATHELET ANNEX 1. General Framework This Decision builds on the CODUN initiative to address the threats posed by the trafficking of SALW and other destabilising commodities via air. Within the context of the CODUN initiative, this Decision follows on from projects undertaken by the Council in collaboration with SitCen, the Club of Budapest and SIPRI. This Decision provides for software, pilot implementation systems, training and outreach programmes, for relevant crisis management missions, as well as international and national authorities, in order to better monitor, update and disseminate information on suspect air cargo actors operating in Africa and from other regions. In the implementation of this Decision, good coordination with other relevant projects financed in the framework of Community programmes and other Council Decisions, should be ensured in order to increase the impact of the Union’s action in preventing the illicit trade of SALW. 2. Objectives The projects described below will address three areas identified by CODUN and other stakeholders involved in the EU initiative to combat SALW trafficking via air: (a) the need to develop a secure system for providing updates on companies and aircrafts which routinely reregister assets and relocate businesses in their efforts to avoid detection; (b) the provision of risk-management software and training to allow relevant crisis management missions, and international and national authorities to more effectively monitor and screen an increasing number of air cargo actors suspected of involvement in SALW trafficking or the movement of other destabilising commodity flows via air; (c) the need to provide training and technical support to, and raise awareness in multilateral organisations, missions, regional bodies and states in Africa and other regions in order to strengthen their ability to monitor and detect actors involved in SALW trafficking or the movement of other destabilising commodities via air. 3. Project description 3.1. Project 1: Creating a software package and implementing a pilot project to monitor, update and disseminate information on air cargo actors suspected of illicit SALW trafficking 3.1.1. Project objective The project aims at improving tools and techniques at the disposal of relevant crisis management missions, international and third countries’ national authorities, and Member States, to effectively screen and target suspect air cargo aircrafts likely to be involved in the illicit trade of SALW via air, within, from or to third States. 3.1.2. Project description In the framework of this project, the following activities will be undertaken: (a) the development of an air trafficking risk management software package for multilateral organisations, missions and selected third countries; (b) the development of a secure pilot risk management and information dissemination package system; (c) the field testing of the software package in consultation with the HR and relevant Council bodies; (d) the field testing of the information dissemination package system in consultation with the HR and relevant Council bodies; (e) the development of a manual and accompanying training material to facilitate the use and adoption of the systems described in points (a) and (b) by relevant crisis management missions, international and third countries’ national authorities, and Member States; (f) the presentation of the final software and associated manual and training material in a concluding workshop where relevant stakeholders will be invited to participate (up to 80 people). The project will be implemented over an appropriate time period which takes into consideration the need to consult and coordinate with the various stakeholders, under the control of the HR. The project will be implemented in six phases. Preparatory Phase SIPRI, in consultation with relevant Council bodies and under the control of the HR, will develop a software package, risk management tools, as well as an information and disaggregated data dissemination package system, using relevant information technology (IT) options. Data Input Phase Using open source information only, the project will input data from the relevant sources to build comprehensive databases, capable of providing sufficient information to support accurate risk management, detection and profiling tools. Assessment Phase SIPRI, in consultation with relevant Council bodies and under the control of the HR, will undertake an assessment of various sites, regions, organisations and missions where the pilot package using open-source data may be field tested under optimum conditions. Field Testing phase SIPRI, in consultation with relevant Council bodies and under the control of the HR, will undertake a field testing phase in conjunction with partners identified in the assessment phase. Evaluation and adapting phase Following field testing, SIPRI will evaluate and adapt the software to take into account the experience and lessons learned from the field testing phase. This will result in a final product to be made available with the agreement of the various stakeholders. Presentation phase The final version of the software and of the training material will be presented in a dedicated event to relevant stakeholders (up to 80 people) who were involved in its development and were identified as final users of the software. 3.1.3. Project results The project will: (a) strengthen the ability of relevant crisis management missions, international and third countries’ national authorities, and Member States, to monitor the activities of air cargo actors suspected of SALW trafficking via air; (b) provide the tools and pilot systems necessary to increase the number of interdictions of suspected illicit SALW shipments, shipped via air by multilateral organisations, missions and states in Africa and other regions; (c) increase the ability of Member States to securely share information on air cargo actors through disaggregated data techniques and other profiling mechanisms. 3.1.4. Project beneficiaries The beneficiaries of the project will be relevant personnel from crisis management missions and national and international authorities. The selection of specific beneficiaries to test the pilot software package will take into account variables such as the presence of European or multilateral crisis management missions in the field, the need to maximise resources, the availability of assistance at local level, political will and the capacity of local and national authorities to counter the illicit trade of SALW via air. SIPRI will propose a shortlist of beneficiaries which will then be endorsed by the HR in consultation with the competent Council bodies. 3.2. Project 2: Strengthening awareness of monitoring, detection and risk management practices against air cargo carriers engaged in SALW trafficking via air and other destabilising commodity flows through publications, training and outreach 3.2.1. Project objective The project aims at increasing the awareness and technical expertise of relevant international and national personnel of ‘best practices’ in the areas of monitoring, detection and risk management analysis against air cargo carriers suspected of SALW trafficking via air. 3.2.2. Project description In the framework of this project, the following activities will be undertaken: (a) the development and publication a manual and accompanying training material to be disseminated to up to 250 individuals working for multilateral organisations, missions or states; (b) through the organisation of up to three regional seminars, the training of, and outreach to, between 80-100 personnel working for specific departments or cells within crisis management missions, and international and third countries’ national authorities, with a multiplier effect envisaged through the provision of ‘train the trainer’ material; (c) the processing of results and evaluations received from the training and outreach activities, and development on this basis of a ‘best practices’ model for information-sharing on this subject among relevant international and national personnel; (d) the presentation of the results of the ‘best practices’ model in a final concluding workshop where relevant stakeholders (up to 80 people) will be invited to participate. 3.2.3. Project results The project will: (a) increase awareness on the part of personnel serving in multilateral organisations, missions and states of ‘best practices’ in the areas of monitoring, detection and risk management analysis against air cargo carriers suspected of SALW trafficking via air and other destabilising commodity flows; (b) contribute to the standardisation of ‘best practices’ in this field through the publication and dissemination of a manual on monitoring, detection and risk management analysis techniques; (c) pilot the establishment of ‘best practices’ of information coordination through training and outreach activities for personnel working for specific departments or cells within multilateral organisations, missions or states. 3.2.4. Project beneficiaries The beneficiaries of the project will be relevant personnel from crisis management missions and national and international authorities. The selection of specific beneficiaries to benefit from the training will be made on the basis of a shortlist of beneficiaries proposed by SIPRI, to be endorsed by the HR in consultation with the competent Council bodies. 4. Locations Locations for project 3.1 field testing and the concluding workshop, as well as the training, outreach activities and concluding workshop of project 3.2, will be determined taking into account the wish to maximise resources, minimise carbon footprint and the available assistance at local level. SIPRI will propose a shortlist of recommended locations to be endorsed by the HR in consultation with the competent Council bodies. 5. Duration The total estimated duration of the projects will be 24 months. 6. Implementing entity The technical implementation of this Decision will be entrusted to SIPRI. SIPRI will ensure the visibility of the EU contribution and will perform its task under the responsibility of the HR. 7. Reporting SIPRI will prepare regular reports on a bi-monthly basis and after the completion of each of the activities described. The reports should be submitted to the HR no later than 6 weeks after the completion of relevant activities.

Summary: Action to combat illicit trade in light weapons Action to combat illicit trade in light weapons To contribute to the fight against trafficking of small arms and light weapons (SALW) by air, this decision provides for the development of software, pilot implementation systems and training programmes for monitoring and disseminating information on suspected air cargo actors. ACT Council Decision 2010/765/CFSP of 2 December 2010 on EU action to counter the illicit trade of small arms and light weapons (SALW) by air. SUMMARY This decision defines European Union (EU) level projects for combating the illicit trade of small arms and light weapons (SALW) by air, as part of the implementation of the EU SALW strategy. These projects aim at strengthening: the tools and techniques used to screen and target air cargo aircrafts that are suspected of participating in the illicit trade of SALW; technical expertise in monitoring, detecting and risk management analysis of air cargo carriers that are suspected of participating in the illicit trade of SALW. Project 1: Software package and information system for air trafficking risk management The project will improve the monitoring of suspected air cargo actors by crisis management missions, international and non-EU countries’ national authorities and EU countries, the prohibition of suspected SALW shipments by air and the secure exchange of information between EU countries on air cargo actors. It will consist of the: development of an air trafficking risk management software package and of a secure pilot risk management and information dissemination system; field testing of the software package and of the information dissemination system; development of a manual and training material on the software package and the information dissemination system; presentation of the software and the related manual and training material at a stakeholder workshop. Project 2: Publications and training in air trafficking risk management practices This project will improve the relevant personnel’s awareness of best practices on monitoring, detecting and risk management analysis of suspected air cargo carriers, the standardisation of these best practices, as well as the development of best practices on information coordination. The activities to be pursued under the project consist of the: drafting and dissemination of a manual and related training material to relevant personnel in multilateral organisations, missions or states; training of relevant personnel of crisis management missions and international and non-EU countries’ national authorities by organising regional seminars; development of a model for best practices on information exchanges between relevant personnel based on the results of the training activities and the presentation of this model at a stakeholder workshop. Project implementation Under the responsibility of the High Representative of the Union for Foreign Affairs and Security Policy (HR), the Stockholm International Peace and Research Institute (SIPRI) is tasked with the technical implementation of these projects. The Commission will conclude a financing agreement with SIPRI, with a view to effectively supervising the management of the expenditure allocated to the implementation of the projects (EUR 9000 000). This decision will expire either 24 months after the conclusion of the financing agreement or, if no agreement is concluded, six months after its adoption. References Act Entry into force Deadline for transposition in the Member States Official Journal Decision 2010/765/CFSP 2.12.2010 - OJ L 327 of 11.12.2010 See also European External Action Service (EEAS) website on Small Arms and Light Weapons (SALW) Last updated: 22.02.2011


18.6.2010 EN Official Journal of the European Union L 152/14 COUNCIL DECISION 2010/336/CFSP of 14 June 2010 on EU activities in support of the Arms Trade Treaty, in the framework of the European Security Strategy THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on European Union, and in particular Article 26(2) and Article 31(1) thereof, Whereas: (1) On 12 December 2003 the European Council adopted a European Security Strategy that called for an international order based on effective multilateralism. The European Security Strategy acknowledges the United Nations (UN) Charter as the fundamental framework for international relations. Strengthening the UN and equipping it to fulfil its responsibilities and to act effectively, is a priority of the European Union. (2) On 6 December 2006 the UN General Assembly adopted resolution 61/89 entitled ‘Towards an arms trade treaty: establishing common international standards for the import, export and transfer of conventional arms’. (3) In its conclusions of 11 December 2006, the Council welcomed the formal start of the process towards the elaboration of a legally binding international Arms Trade Treaty (hereinafter referred to as ‘ATT’) and noted with appreciation that a clear majority of UN Member States had supported UN General Assembly resolution 61/89, including all Member States of the Union. The Council reaffirmed that the Union and its Member States would play an active role in this process, and underlined the importance of cooperation in this process with other States and regional organisations. (4) The UN Secretary-General set up a Group of Governmental Experts (hereinafter referred to as ‘GGE’), comprising 28 members, to continue the consideration of a possible ATT. The GGE met throughout 2008 and concluded that further consideration was required and that efforts should be carried out, on a step-by-step basis, in an open and transparent manner, within the framework of the UN. The GGE encouraged those States in a position to do so, to render assistance to States in need, upon request. (5) In its conclusions of 10 December 2007, the Council welcomed the establishment of a UN GGE and expressed its firm belief that a comprehensive, legally binding instrument, consistent with existing responsibilities of States under relevant international law and establishing common international standards for the import, export and transfer of conventional arms, would be a major contribution to tackling the undesirable and irresponsible proliferation of conventional arms. (6) The United Nations Institute for Disarmament Research (UNIDIR) supported this process by undertaking a two-part study consisting of two in-depth analyses of UN Member States’ views on the feasibility, scope and draft parameters of an ATT. The analyses, produced in December 2007 and January 2008 served as a useful input to the GGE. (7) On 24 December 2008 the UN General Assembly adopted resolution 63/240 entitled ‘Towards an arms trade treaty: establishing common international standards for the import, export and transfer of conventional arms’ establishing an Open Ended Working Group (hereinafter referred to as ‘OEWG’) to further consider those elements in the report of the GGE where consensus could be developed for their inclusion in an eventual legally binding treaty on the import, export and transfer of conventional arms. The OEWG met twice in 2009, and submitted a report to the UN General Assembly noticing that the problem of unregulated trade in conventional weapons and their diversion to the illicit market should be addressed through international action. (8) Based on the above mentioned Council conclusions, the Union decided to support the ATT process, by opening the debate to include States not members of the GGE, as well as to other actors such as civil society and industry, to develop the understanding of the issue and to contribute to the work of the OEWG. For this purpose, on 19 January 2009 the Council adopted Council Decision 2009/42/CFSP (1) on support for EU activities in order to promote among third countries the process leading towards an Arms Trade Treaty, in the framework of the European Security Strategy. (9) Within the framework of the implementation of Decision 2009/42/CFSP, UNIDIR, as the implementing agency of the Decision, organised six regional seminars, a side-event and opening and concluding events between February 2009 and February 2010. These activities allowed relevant stakeholders, including representatives of civil society, industry and countries who did not participate in the GGE, to participate in open informal discussions on an ATT. The implementation of Decision 2009/42/CFSP also offered an opportunity to integrate national and regional approaches to the international process underway, and to contribute to identifying the scope and implications of a treaty on the trade in conventional arms. (10) On 2 December 2009 the UN General Assembly adopted resolution 64/48 entitled ‘The arms trade treaty’ that decided to convene the UN Conference on the ATT in 2012 to elaborate a legally binding instrument on the highest possible common international standards for the transfer of conventional arms. The resolution also decided that the remaining sessions of the OEWG shall be considered as Preparatory Committee Meetings for the UN Conference. (11) Considering the activities of Decision 2009/42/CFSP which expires in May 2010, the need to prepare for a successful UN Conference on the ATT in 2012, and the recommendation contained in resolution 64/48 to ensure the widest possible and effective participation in the Conference, the Union should support the preparatory process leading up to the UN Conference to ensure that it is as inclusive as possible and able to make concrete recommendations on the elements of a future ATT. The Union’s support to the ATT process should include measures in support of national export and import control systems in third countries that would have to comply with a future ATT, HAS ADOPTED THIS DECISION: Article 1 1. For the purpose of supporting the Arms Trade Treaty (hereinafter referred to as the ‘ATT’), the Union shall undertake activities with the following objectives: — to support the preparatory process leading up to the UN Conference on the ATT to ensure that it is as inclusive as possible and able to make concrete recommendations on the elements of the future ATT, — to support UN Member States in developing and improving national and regional expertise to implement effective arms transfer controls, in order to ensure that the future ATT when coming into force, will be as effective as possible. 2. In order to achieve the objectives referred to in paragraph 1, the Union will undertake the following project: — organisation of seven regional seminars, a launching and a concluding event, up to three side-events, and dissemination of results. A detailed description of the project referred to above is set out in the Annex. Article 2 1. The High Representative of the Union for Foreign Affairs and Security Policy (hereinafter referred to as the ‘HR’) shall be responsible for the implementation of this Decision. 2. The implementation of the project referred to in Article 1(2) shall be carried out by the UN Institute for Disarmament Research (UNIDIR). 3. UNIDIR shall perform its task under the responsibility of the HR. For this purpose, the HR shall enter into the necessary arrangements with UNIDIR. Article 3 1. The financial reference amount for the implementation of the project referred to in Article 1(2) shall be EUR 1 520 000. 2. The expenditure financed by the amount set out in paragraph 1 shall be managed in accordance with the procedures and rules applicable to the general budget of the Union. 3. The European Commission shall supervise the proper management of the expenditure referred to in paragraph 1. For this purpose, it shall conclude a financing agreement with UNIDIR. The agreement shall stipulate that UNIDIR is to ensure the visibility of the contribution of the Union, appropriate to its size. 4. The Commission shall endeavour to conclude the financing agreement referred to in paragraph 3 as soon as possible after the entry into force of this Decision. It shall inform the Council of any difficulties in that process and of the date of conclusion of the financing agreement. Article 4 The HR shall report to the Council on the implementation of this Decision on the basis of regular reports following the organisation of each of the regional seminars, the final and opening seminars, as well as the side events. The reports will be prepared by UNIDIR and they shall form the basis for the evaluation carried out by the Council. The Commission shall provide information on the financial aspects of the implementation of the project referred to in Article 1(2). Article 5 1. This Decision shall enter into force on the day of its adoption. 2. This Decision shall expire 24 months after the date of conclusion of the financing agreement referred to in Article 3(3). It shall expire six months after the date of its entry into force if that financing agreement has not been concluded by that time. Done at Luxembourg, 14 June 2010. For the Council The President C. ASHTON (1) OJ L 17, 22.1.2009, p. 39. ANNEX 1. Objective The overall objective of this Decision is to support the preparatory process leading up to the UN Conference on the ATT to ensure that it as inclusive as possible and able to make concrete recommendations on the elements of the future ATT, and to support UN Member States in developing and improving national and regional expertise to implement effective arms export and transfer controls. 2. Project description 2.1. Project objective The project aims at achieving the following specific objectives: (a) support for the preparatory process leading up to the UN Conference on the ATT process, including through: (i) increasing awareness, knowledge and understanding of the ATT process among UN Member States, civil society and industry representatives; (ii) promotion of inclusive, active and effective participation of as many UN Member State as possible in the Preparatory Committee to be held in 2010-2011; (iii) identification and formulation of concrete proposals on the content of an ATT, including the most comprehensive scope, parameters and implications; (iv) promotion among third countries of the highest possible standards for the ATT, also on the basis of regional experiences and instruments; (v) support the preparation of the 2012 Conference by reinforcing the negotiation capacities of participants. (b) support to third countries in their efforts to establish, improve and implement, as appropriate, export and transfer control systems, including through: (i) assistance in the establishment and enforcement of licensing systems; (ii) assistance in improving compliance with and enforcement of national controls implementing a future ATT, including border controls, and monitoring on arms exports and transfers; (iii) support for the development of national and regional reports on arms exports and imports in order to promote transparency and accountability of arms trade; (iv) support further transparency and accountability of arms trade through participation in the UN Register of Conventional Arms (UN ROCA); (v) assistance to national efforts to mark and trace small arms and light weapons (SALW). 2.2. Project Results The implementation of the project will result in: (a) increased awareness, knowledge and understanding of the ATT process by UN Member States; (b) wide and more substantive participation of UN Member States in the Preparatory Committee to be convened in 2010-2011, including through the formulation of concrete proposals on the content of an ATT that should reflect the most comprehensive scope and the highest possible standards; (c) increased awareness by third countries of the structure and functioning of export control systems on conventional weapons, including through support aiming at improving compliance with and enforcement of national controls implementing a future ATT, including border controls, and monitoring of arms exports and transfers; (d) improvement of record keeping and accounting of weapons, including through marking and tracing and national submission to the UN ROCA on and improved national capacities in export controls among participant states. 2.3. Description of activities The project provides for the organisation of seven regional seminars, a launching and a concluding event, up to three side-events, and dissemination of results. The regional seminars will take place over three days in a location to be determined in the target regions. 2.3.1. Structure of the regional seminars The seminars will include the following presentations and discussions: First part [DAY 1 and DAY 2 (first half)]: (a) general overview of the ATT, background, possible scope and parameters, etc.; (b) national and regional views on the ATT, including presentation of the Union’s view on the ATT; (c) other aspects of the ATT, including transparency and assistance measures; (d) formulation of recommendations for the work of the Preparatory Committee sessions. Second part [DAY 2 (second half) and DAY 3] (a) presentation of national and regional systems to control the trade in conventional weapons, including Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (1); (b) aspects of establishment and enforcement of licensing systems, including legal and administrative aspects; (c) aspects of compliance with, and enforcement of national controls implementing a future ATT, including border controls, and monitoring of arms exports and transfers; (d) aspects of record keeping and accounting of weapons, including national and regional reports on arms exports and transfers; (e) role and functioning of the UN ROCA, including assistance in the submission of national reports to the Register; (f) international and national instruments on marking and tracing of SALW and assistance in their implementation. The three-day seminars will include working group sessions on specific aspects of an ATT. 2.3.2. Participants in the seminars Participants in the regional seminars include: (a) diplomatic and military/defence personnel from countries in the regions, in particular authorities responsible for national policies vis-à-vis the ATT, including national delegates participating in the ATT Preparatory Committee; (b) technical and law-enforcement personnel from countries in the regions, in particular export controls authorities, customs, and law enforcement officials (two participants per country); (c) representatives from international and regional organisations, regionally-based non-governmental organisations (NGOs), think tanks and local/regional industry; (d) representatives from UNIDIR and the United Nations Office for Disarmament Affairs (UNODA; Conventional Arms Branch and Regional Branch, including regional centres, as appropriate); (e) national and international technical experts on aspects of exports controls on conventional arms, including Union experts and industry representatives. Depending on the size of the regions, between 45 to 80 participants are expected to participate in each seminar. One diplomatic or military official for each state invited will participate in the first part of each seminar, while the second part will be attended by a technical and law-enforcement official for each state invited. The selection of countries to be invited to each seminar and of the participants will be made by the HR, in consultation with the competent Council bodies, on the basis of a proposal made by UNIDIR. The participation of Union experts in the seminar should be ensured to an adequate level, both in terms of technical and political expertise. 2.3.3. Input: Research component To ensure a well-informed, substantive and timely input to the UN process, a strong research component is needed. UNIDIR will commission up to 12 background research papers from competent research institutes or individual experts, focusing on some key relevant aspects of the project and of the regional seminars. UNIDIR will propose to the HR a short-list of possible research institutes or individual experts having a sound background in specific issues of an ATT. The HR will select the most appropriate ones on the basis of the short-list and in consultation with the competent Council bodies. 2.3.4. Regional distribution of the seminars The regional seminars will take place according to the following groupings: (a) one seminar for the Americas and the Caribbean; (b) one seminar for the Middle East; (c) one seminar for Northern, Western and Central Africa; (d) one seminar for Eastern and Southern Africa; (e) one seminar for East Asia and the Pacific; (f) one seminar for South and Central Asia; (g) one seminar for ‘Wider Europe’ region. Suggested tentative locations for the seminars are: (a) Buenos Aires or Rio de Janeiro for the Americas and the Caribbean; (b) Cairo or Beirut for the Middle East; (c) Rabat or Accra for Northern, Western and Central Africa; (d) Nairobi or Johannesburg for Eastern and Southern Africa; (e) Jakarta or Beijing for East Asia and the Pacific; (f) New Delhi or Astana for South and Central Asia; (g) Moscow or Belgrade for ‘Wider Europe’ region. Final locations will be determined to maximize resources, minimize carbon footprint and on the basis of available assistance at local level. UNIDIR will propose motivated recommendations on locations, for consideration and endorsement by the HR in consultation with the competent Council bodies. 2.3.5. Launching and closing events A launching event will take place over one day to present the aims of the project to the international community and to seek inputs from civil society, researchers and NGOs to secure support for the project. A closing event of one day will be organised to present the results of the project. Final locations for these events will be determined according to the procedure foreseen for the selection of the locations of regional seminars. The launching event might be held in the margins of the July 2010 Preparatory Committee, depending on the date of the adoption of this Decision. 2.3.6. Side-events A first side event will be organised in the margins of the 1st Committee (65th session of the UN General Assembly) in October 2010 to increase awareness of stakeholders gathered in New York about the project and to discuss some concrete substantial elements relevant to the ATT process. A second side event will be held in the fourth session of the ATT Preparatory Committee meeting in New York to be held in 2011 to present to stakeholders gathered in New York the results of the project achieved by that date. A third side event will be held in the margins of the 1st Committee (66th session of the UN General Assembly) in October 2011 to present to stakeholders gathered in New York the results of the project achieved by that date. 2.4. Outputs — Dissemination REPORTS-PUBLICATION Each seminar and event will produce a short summary report of the discussions and of the recommendations and ideas put forward for an ATT and of the technical aspects discussed. The seminar reports, written in English, will be made available online and on electronic data storage devices for distribution. A draft of the final report analysing the summary reports of the seven regional meetings and other events included in the project will be produced and presented for comments at the concluding seminar. The final report will be made available online and on electronic data storage devices for distribution. A publication summarising the final report will be made available online and in hard copies. 3. Duration The implementation period of the project is 24 months after the date of conclusion of the financing agreement referred to in Article 3(3). 4. Beneficiaries The beneficiaries of this project will be UN Member States, with particular emphasis on state authorities responsible for setting national policies vis-à-vis the ATT, export controls authorities, customs, and law enforcement officials that need to strengthen their expertise in order to ensure a responsible arms trade and prevent an irresponsible proliferation of conventional arms in the framework of a future ATT. The selection of specific state beneficiaries will be made on the basis of a short-list of beneficiaries proposed by UNIDIR for consideration and endorsement by the HR, in consultation with the competent Council bodies. 5. Implementing entity The technical implementation of this Decision will be entrusted to UNIDIR. UNIDIR will perform its task under the responsibility of the HR. UNIDIR shall cooperate with UNODA and members of the Bureau of the Preparatory Committees to the UN Conference on an ATT. UNIDIR shall, where appropriate, work with institutions such as regional organisations, think tanks, NGOs and industry. UNIDIR will ensure the visibility of the Union’s contribution, appropriate to its size. (1) OJ L 335, 13.12.2008, p. 99.

Summary: Regulating the arms trade Regulating the arms trade The European Union wishes to contribute to improving the regulation of the arms trade at global level. The aim is to participate in preparing an Arms Trade Treaty and to improve control systems for this type of trade. ACT Council Decision 2010/336/CFSP of 14 June 2010 on EU activities in support of the Arms Trade Treaty, in the framework of the European Security Strategy [Official Journal L 152 of 18.6.2010]. SUMMARY This Decision presents a project prepared by the European Union (EU) to improve regulation of the arms trade. The project should lead to better control of the import, export and transfer of conventional arms worldwide. The project has two objectives: to contribute to preparatory work for an Arms Trade Treaty within the United Nations; to improve arms trade control systems between United Nations Member States. The project presented by the Council consists of organising international seminars. These seminars will bring together political representatives and experts in the field of the arms trade. They will lead to exchanges of points of view and concrete proposals. International seminars The seminars are to be organised in different regions of the world. They will take place over several days and bring together several types of participant: diplomatic and military representatives and those working in the field of defence in participating countries; United Nations representatives; representatives from international organisations and non-governmental organisations; members of technical and law enforcement staff that are specialised in the arms trade (border control authorities, national and international experts, industry representatives). The organisation of the seminars will be entrusted to the United Nations Institute for Disarmament Research (UNIDIR). UNIDIR is, however, to perform this task under the responsibility of the High Representative of the EU for Foreign Affairs and Security Policy. In addition, the High Representative will report to the Council regularly on the application of this Decision. The budget earmarked for the implementation of this Decision is EUR 1 520 000. Arms Trade Treaty The aim of the seminars will be to prepare an Arms Trade Treaty at international level. This Treaty is currently being prepared within the United Nations. It shall be legally binding for signatory countries. In particular, it is to establish international standards for the import, export and transfer of arms. The seminars organised by the EU will aim to progress negotiations between countries wishing to participate in the Treaty, and give an overview of the international situation as regards the arms trade. The objective of the seminars will be to promote the participation of the largest possible number of United Nations Member States. They will also enable concrete proposals to be made concerning the content of the future Arms Trade Treaty. Arms trade monitoring at global level The seminars organised by the EU also have a second objective – to contribute to the setting up of effective and coherent control systems between participating countries. The seminars should thus: provide assistance in the establishment and enforcement of licensing systems for the arms trade; improve border controls and the monitoring of arms transfers; improve the transparency of the arms trade through the introduction of a United Nations Register of Conventional Arms; contribute to national efforts to mark and trace small arms and light weapons. REFERENCES Act Entry into force Deadline for transposition in the Member States Official Journal Decision 2010/336/CFSP 14.6.2010 - OJ L 152 of 18.6.2010 RELATED ACTS Council Decision 2013/269/PESC 2013/269/CFSP of 27 May 2013 authorising Member States to sign, in the interests of the European Union, the Arms Trade Treaty. With this decision, the Member States are encouraged to sign the Arms Trade Treaty during the official ceremony in New York on 3 June 2013 or as soon as possible Last updated: 28.02.2014