Sat. Sep 21st, 2024

EU Council background: Overview of sanctions and related resources

Apr 10, 2024 ,

A key tool for the EU to intervene where necessary to prevent conflict or respond to current or emerging crises.

PAGE CONTENTS

What are sanctions (restrictive measures)

Sanctions are an essential tool in the EU’s common foreign and security policy (CFSP), through which it can intervene where necessary to prevent conflict or respond to current or emerging crises.Although they are called ‘sanctions’, EU restrictive measures are not punitive. They are intended to bring about a change in bad or harmful policiesor activities by targeting the non-EU countries, including  organisations and individuals, responsible.

The EU has over 40 different sanctions regimes in place. Some are mandated by the United Nations Security Council, while others are adopted autonomously by the EU.

Decisions on the adoption, renewal, or lifting of sanctions regimes are taken by the Council of the European Union, on the basis of proposals from the High Representative of the Union for Foreign Affairs and Security Policy. The European Commission, together with the High Representative, make joint proposals of sanctions to the Council for adoption at unanimity. It then becomes applicable EU law when published in the Official Journal. In addition, as guardian of the treaties, the Commission plays a vital role in overseeing sanctions implementation by Member States.

Objectives

The EU applies sanctions to implement UN Security Council Resolutions or to further the objectives of the CFSP, namely

  • promoting international peace and security
  • preventing conflicts
  • supporting democracy, the rule of law and human rights and
  • defending the principles of international law
Types of measures

EU sanctions can target governments of non-EU countries, as well as companies, groups, organisations, or individuals through the following measures

  • arms embargoes
  • restrictions on admission (travel bans)
  • asset freezes
  • other economic measures such as restrictions on imports and exports

EU sanctions are carefully targeted, and designed to be proportionate to the objectives they seek to achieve. As such, they are aimed at those responsible for the policies or actions the EU wants to influence, while reducing as much as possible any unintended consequences.

Where do EU sanctions apply?

As they are a foreign policy tool, EU sanctions inherently apply in non-EU countries – however, only within an EU jurisdiction. In other words, the obligations imposed are binding on EU nationals or people located in the EU or doing business here.

The task of conducting investigations into potential non-compliance cases falls to the Member States and their national competent authorities. Member States must have effective, proportionate and dissuasive penalties in place, and enforce them when EU sanctions are breached.

Roles and responsibilities

Role of the European Commission

The Directorate-General for Financial Stability, Financial Services and Capital Markets Union (DG FISMA) prepares proposals for Regulations on sanctions for adoption by the Council of the European Union, and represents the European Commission in sanctions-related discussions with Member States at the Council Working Party of Foreign Relations Counsellors. DG FISMA is also responsible for transposing certain United Nations sanctions into EU law.

DG FISMA is also in charge of monitoring, on behalf of the European Commission, the implementation and enforcement of EU sanctions across all Member States. DG FISMA is increasingly supporting Member States in their efforts to apply sanctions, by answering questions of interpretation raised by national competent authorities, as well as economic and humanitarian operators.

In addition, DG FISMA is dedicating increasing efforts to strengthening the application of EU sanctions even further, and to enhancing the resilience of the EU to extra-territorial sanctions adopted by countries outside the EU (see also the EU Blocking Statute). This is reflected in the mission letter of Commissioner Mairead McGuinness in the Commission’s Work Programme 2020 and in the Commission Communication of 19 January 2021: “The European economic and financial system: fostering openness, strength and resilience”.

Role of national competent authorities for sanctions

Member States are responsible for the implementation and enforcement of EU sanctions, as well as identifying breaches and imposing penalties. The Commission monitors the correct and uniform implementation of EU sanctions and provides guidance to Member States.

The contact details of the relevant competent authorities of the Member States can be found in the document below.

Sanctions resources

EU sanctions map

The EU sanctions map provides comprehensive details of all EU sanctions regimes and their corresponding legal acts, including those regimes adopted by the UN Security Council and transposed at EU level.

Financial sanctions: Consolidated list

The consolidated list of individuals, groups and organisations subject to EU financial sanctions, which DG FISMA manages and updates whenever necessary, reflects the officially adopted texts published in the Official Journal of the EU. You can also download a PDF version of the consolidated list of financial sanctions.

EU sanctions whistleblower tool

Sharing of information about EU sanctions violations can contribute to the success of ongoing investigations in EU Member States and increase the effectiveness of EU sanctions.

Due diligence helpdesk – Iran

The Due diligence helpdesk, also designed for EU SMEs interested in trade with Iran, provides tailor-made support by carrying out due diligence checks on EU sanctions compliance for specific business projects.

EU sanctions tool – Iran

The EU sanctions tool aims to help EU companies determine whether EU sanctions apply to their exports, imports and business with Iran. By providing an easy-to-use compliance assessment, the tool is designed as a first point of reference for EU companies at an early stage of their business engagement in Iran.

EUR-Lex

EUR-Lex is the online gateway to EU Law. It provides the official and most comprehensive access to EU legal documents, including legal acts adopted by the Council of the EU in the area of sanctions and published in the Official Journal of the EU. EUR-lex is available in all of the EU’s 24 official languages and is updated daily.

Timeline

29 November 2023

Guidance note – Firewalls (Russia)

Guidance supporting the implementation and recognition of firewalls (frameworks removing the control of designated persons) in the area of trade in agricultural and food products

18 October 2023

List – Economically critical goods (Russia)

List of mainly industrial goods subject to EU sanctions, for which anomalous trade flows via certain third countries to Russia have been detected

12 October 2023

Guidance note – Maritime oil industry

Price Cap Coalition advisory for the maritime oil industry

22 September 2023

List – Common high priority items (Russia)

List of prohibited dual-use goods and advanced technology items used in Russian military systems found on the battlefield in Ukraine or critical to the development, production or use of those systems

7 September 2023

Guidance – Due diligence (Russia)

Guidance setting out general advice on risk assessment, best practices for conducting due diligence on business partners, transactions and goods, as well as a list of circumvention red flags. With focus on export-related sanctions

4 September 2023

Guidance – Stopped goods (Russia)

Guidance on the handling of goods which were brought into the EU in good faith before the sanctions entered into force, have not been released for free circulation and remain blocked in customs offices of the Member States

27 July 2023

Factsheet – Accessing EU financial services as a non-profit organisation

Factsheet: Accessing EU financial services as a non-profit organisation

16 May 2023

Frequently asked questions – Syria

Frequently asked questions: Humanitarian exemption in the EU Syria sanctions regime following the February 2023 earthquakes in Türkiye and Syria

30 June 2022

Guidance note – Humanitarian aid

Commission guidance note on the provision of humanitarian aid in compliance with EU restrictive measures (sanctions)

9 March 2023

Global advisory (Russia)

Guidance issued by the multilateral REPO Task Force, setting out certain typologies of Russian sanctions evasion tactics and recommendations on how to mitigate the risk of exposure to continued evasion. With focus on financial sanctions

26 February 2022

Frequently asked questions – Sanctions

Frequently asked questions: Restrictive measures (sanctions)

23 February 2022 – current

Frequently asked questions – Sanctions against Russia

Frequently asked questions concerning sanctions adopted following Russia’s military aggression against Ukraine and Belarus’ involvement in it

13 August 2021

Guidance note & Statement – Humanitarian aid to fight the COVID-19

Guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions (clarification on Covid-19 vaccines and therapeutics, EU counter-terrorism sanctions, Iran, Nicaragua, Syria, Venezuela)
Statement – Sanctions: Commission issues additional guidance on providing COVID-19-related humanitarian aid in sanctioned environments

8 June 2021

Opinion – Individual financial sanctions (Russia)

Commission opinion on Article 2(2) of Council Regulation (EU) No 269/2014 (territorial integrity, sovereignty and independence of Ukraine), notably on “control” and on “making funds or economic resources available”

2 June 2021

Opinion – Central African Republic

Opinion on the release of frozen funds under Council Regulation (EU) No 224/2014 (Central African Republic)

27 May 2021

Opinion – Libya, Syria

Opinion on changes to the features of frozen funds (Libya, Syria)

11 May 2021

Guidance note – Myanmar/Burma

Guidance note on the implementation of Council Regulation (EU) No 401/2013 (Myanmar/Burma)
Press release on the guidance note on the implementation of Council Regulation (EU) No 401/2013 (Myanmar/Burma)

17 December 2020

Guidance note – EU global human rights sanctions regime

Guidance note on the implementation of Council Regulation (EU) 2020/1998 (EU global human rights sanctions regime)
Press release on the guidance note on the implementation of Council Regulation (EU) 2020/1998 (EU global human rights sanctions regime)

16 November 2020

Guidance note – Humanitarian aid to fight the COVID-19

Guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions (Iran, Nicaragua, Syria, Venezuela)
This guidance note has been replaced by the guidance note of 13 August 2021
Press release on the guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions

9 Octobre 2020

Guidance note – Humanitarian aid to fight the COVID-19

Guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions (Iran, Syria, Venezuela)
This guidance note has been replaced by the guidance note of 13 August 2021
Statement – Sanctions: Commission expands Guidance on COVID-19-related humanitarian aid in sanctioned environments

19 June 2020

Opinion – Individual financial sanctions (control, and services and labour as economic resources)

Commission opinion on Article 2 of Council Regulation (EU) No 269/2014 (territorial integrity, sovereignty and independence of Ukraine), notably on “control” and on services and labour as “economic resources”

3 June 2020

Non official guide – Humanitarian funds Syria

“Risk management principles guide for sending humanitarian funds into Syria and similar high-risk jurisdictions” – non-official guide supported by the Commission

11 May 2020

Guidance note – Humanitarian aid to fight the COVID-19 (Syria)

Guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions (Syria)
This guidance note has been replaced by the guidance note of 13 August 2021
Questions and answers on the provision of humanitarian aid to fight the COVID-19 pandemic in Syria
Press release on the guidance note on the provision of humanitarian aid to fight the COVID-19 pandemic in certain environments subject to EU sanctions

Frequently asked questions

Questions and answers due diligence on restrictive measures for EU businesses dealing with Iran

8 November 2019

Opinion – National asset freezes

Opinion on the compatibility of national asset freezes imposed by Member States with Union law

17 October 2019

Opinion – Russia economic sanctions

Commission opinion on Article 5(1) of Council Regulation (EU) No 833/2014 (Russia sectoral economic sanctions), notably on “acting on behalf or at the direction of”

29 August 2019

Opinion – Derogations freezing funds

Opinion on the application of derogations from the freezing of funds and from the prohibition to make funds and economic resources available to designated persons and entities

5 August 2019

Opinion – Higher education

Opinion on the provision of higher education and the undertaking of applied research in the framework of a prohibition to provide technology or technical assistance to a third country

4 July 2019

Opinion – Scope of export ban (Russia)

Commission opinion on the scope of export ban in Article 2b of Council Regulation (EU) No 692/2014 (illegal annexation of Crimea and Sevastopol).

4 July 2019

Opinion – Freezing of funds (Iran)

Opinion on the freezing of funds of a non-designated person transferred into a Member State from a designated bank and the derogation for “extraordinary expenses” under Article 28 of Council Regulation (EU) No 267/2012 (Iran – non-proliferation)

7 June 2019

Opinion – Libya

Opinion on Article 5(4) of Council Regulation (EU) 2016/44 (Libya)

31 January 2019

Guidance note – Import and export ban of luxury goods

Guidance note on the import and export ban of luxury goods under Council Regulation (EU) 2017/1509 (Democratic People’s Republic of Korea)

25 January 2018

Information note – Crimea/Sevastopol

Information note to raise the awareness about the risks related to the economic and financial situation in Crimea/Sevastopol in light of the illegal annexation by Russia and the policy of “non-recognition” upheld by the EU

17 October 2017

Opinion – Individual financial sanctions (making funds or economic resources available) (Russia)

Commission opinion on Article 2(2) of Council Regulation (EU) No 269/2014 (territorial integrity, sovereignty and independence of Ukraine), notably on “making funds or economic resources available”

25 August 2017

Guidance note – Russia aconomic sanctions

Guidance note on the implementation of certain provisions of Council Regulation (EU) No 833/2014 (Russia economic sanctions), in particular by financial institutions

1 September 2017

Frequently asked questions – Syria

Frequently asked questions on EU sanctions in Syria

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13 February 2017

Opinion – Russia economic sanctions

Commission opinion on the provision of shareholders loans to finance the sale of goods listed in Annex II to Council Regulation (EU) No 833/2014 (Russia economic sanctions)

 

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