2. UE-EU - Medidas Restrictivas y Sanciones contra Irán en la UE - EU Restrictive Measures and Sanctions against Iran

Summary

Fuente: European Union (European Commission – Restrictive measures - Sanctions or restrictive measures, Spring 2008)

Which legal bases are used for EU sanctions?

The legal basis for sanctions will depend on the exact nature of the restrictive measures and the areas or targets covered by them. Where Community action is required, a Common Position must be adopted under Article 15 of the Treaty establishing the European Union. As an instrument of the CFSP, the adoption of a new Common Position requires unanimity from EU Member States in Council. 

If the Common Position provides for the reduction or interruption of economic relations with a third country, i.e. introduces economic and financial sanctions, implementation at Community level is governed by Article 301, and, where financial restrictions are concerned, Article 60 of the Treaty establishing the European Community. In these cases, the Commission is required to make a proposal for a Council Regulation, which the Council can adopt by a qualified majority

Where restrictive measures target persons, groups and entities which are not directly linked to the regime of a third country, Articles 60, 301 and 308 of the Treaty establishing the European Community have been relied upon. In such cases, adoption of the Regulation by the Council requires unanimity and prior consultation of the European Parliament. 

In some cases, it may also be possible to implement certain restrictive measures through a CFSP legal instrument and a pre-existing Regulation e.g. the diamond embargo on Côte d’Ivoire through Regulation 2368/2002 which controls EC trade in rough diamonds in line with the Kimberley Process rules

Council Regulations imposing sanctions and related Council Decisions and Commission Regulations are part of Community law. It is standing case-law that Community law takes precedence over conflicting legislation of the Member States. Such Council and Commission Regulations are directly applicable and have direct effect in the Member States, creating obligations and rights for those subject to them (including EU citizens and economic operators). Their application and enforcement is a task attributed to the competent authorities of the Member States and the Commission

Some sanctions provided for in Common Positions are implemented by Member States, for example, arms embargoes. Although trade in manufactured goods falls under exclusive Community competence, Article 296 of the Treaty establishing the European Community allows for an embargo relating to military goods to be implemented by Member States using national measures. It is, therefore, common practice that arms embargoes are imposed by a Common Position and enforced on the basis of export control legislation of Member States (although the prohibitions on providing related financial or technical assistance are implemented through a Regulation). 

Likewise, restrictions on admission (visa or travel bans) provided for in Common Positions are enforced on the basis of Member States’ legislation on admission of non-nationals. 

What is the procedure for the adoption of legal instruments implementing restrictive measures?

The Presidency or one of the Member States, usually assisted by the Council Secretariat, or the Commission, first prepares a proposal for a Common Position. This proposal is examined and discussed by the relevant Council groups, typically, the Council group responsible for relations with the third country concerned and, in all cases, the Foreign Relations Counsellors Working Group (RELEX) and the Committee of Permanent Representatives (COREPER), which refers the Common Position proposal to Council for adoption. Following the adoption of the Common Position by Council, the text is published in the Official Journal of the European Union.

If the Common Position calls for Community action implementing some or all of the restrictive measures, the Commission will present a proposal for a Council Regulation to Council in accordance with Articles 60 and 301 of the Treaty establishing the European Community. The proposal will subsequently be examined by RELEX and COREPER, before being adopted by Council. Formally the proposal for a Council Regulation should be presented after adoption of a Common Position. However, for reasons of expediency the Commission usually presents its proposals for Council Regulations implementing restrictive measures in time to allow for a parallel discussion of both texts in Council, and, if possible, the simultaneous adoption of both legal instruments. 

How are restrictive measures implemented, enforced and monitored?

While it is important that restrictive measures are adequately designed to address the specific situation of the targeted country or persons, they can only be effective if they are properly implemented, enforced and monitored. The EU’s Sanctions Guidelines and Best Practices (en español) paper provide some relevant suggestions. Depending on the nature of the specific sanctions regime, both the Member States and the Commission are attributed particular tasks with regard to the implementation of restrictive measures. 

Typically the competent authorities of Member States are responsible for: 

See below on the role of the Commission. 

Pursuant to the EU’s Sanctions Guidelines, a “Sanctions Formation” of the Foreign Relations Counsellors Working Group (RELEX) has been created and mandated with the development of best practices in the implementation and application of restrictive measures through the exchange of information and experiences. 

What is the role of the Commission?

The Commission makes proposals for Regulations imposing restrictive measures that fall within the scope of Community competence, to be adopted by the Council. The Commission may make proposals for Common Positions. 

The Commission has also been empowered to make certain implementing Regulations amending such legislation, in particular by publishing lists of 

targeted persons, groups or entities.

For all measures that fall within the sphere of the Community, the Commission has to ensure that Member States implement the Regulations imposing restrictive measures in a proper and timely manner (e.g. by laying down national rules on penalties that apply if persons or entities under the Community’s jurisdiction act in breach of the Regulations) and take appropriate action to apply and enforce these Regulations. As a basis for this monitoring exercise, Regulations implementing restrictive measures in the Community generally include a specific reporting requirement for the competent authorities of Member States. If a Member State fails to adopt the necessary implementing rules, an infringement procedure can be started by the Commission against that Member State in accordance with Articles 227 and 228 of the Treaty establishing the European Community. 

The Commission also takes part in the meetings of the RELEX-Sanctions Formation of the Council and contributes to documents discussed in that forum.

Sitios online - Related online sites

Webs de la UE relacionadas

European Sanctions Blog: Iran

Normas - Regulations

General

European Union Restrictive measures (sanctions) in force (even if it says it is updated as of Jan 18, 2012, it really is updated as of nov 2011)

A general statement on EU policy is found in the Basic Principles on the Use of Restrictive Measures (Sanctions) (Council document 10198/1/04)

On restrictions of entry and transit of persons

Decisión 2011/235/PESC (in English) - Medidas restrictivas dirigidas contra determinadas personas y entidades habida cuenta de la situación en Irán

On freezing of funds and economic resources

EU to re-impose Iran sanctions quashed by court (Nov 14, 2013)

Decisión 2010/413/PESC (in English) - Adopción de medidas restrictivas contra Irán

January 2012 - Restrictions on crude oil, petroleum and petrochemical products and assistance, financing and trading on related industries equipment and technology; include gold, precious metals, diamonds and new banknotes & coinage

Introducidas por la Decisión 2012/35/PESC (su corrección de errores) (English)

Analitical note and background of the new EU Regulations, as seen at the UK Parliament.

Las medidas afectarán fundamentalmente a las compañías que comercian con petróleo iraní y sus derivados y equipamiento para la industria petroquímica iraní y transacciones relacionadas, como transporte, aseguramiento y financiación.

Casi con seguridad, las prohibiciones se aplicarán, entre otros, a las transacciones de nacionales de los estados miembros de la UE, en el territorio de ésta y a los transportes marítimos y aéreos hechos bajo bandera de sus estados miembros.

Como hemos dicho, ya se han publicado dos reglamentos directamente vinculantes:

Se espera que el Reglamento que implemente el resto de la Decisión 2012/35/PESC tenga efectos desde la fecha de la Decisión y no desde la fecha del mismo reglamento, esto es, que afecte a los acuerdos desde el 23 de enero de 2012, dejando exentos solo los anteriores. Cuando esté plenamente implementada la decisión, las medidas:

List of Specific Restrictive Measures in force as of March, 15, 212

In response to concern about Iran's proliferation-sensitive nuclear activities, the EU has gradually introduced comprehensive restrictive measures since 2007. They implement UN decisions, but also include strong EU autonomous measures. These measures consist in:

The number of listed entities amounts to 442, including the Iranian central bank. 75 of them were designated by the UN, the others are autonomous EU designations. They include companies the banking and insurance sectors, the nuclear technology industry and

in the field of aviation, armament, electronics, shipping, chemical industry, metallurgy and the oil and gas industry as well as branches and subsidiaries of IRGC and IRISL.

Humanitarian exemptions also apply to the asset freeze.

The Council regularly reviews the list of persons and entities subject to admission restrictions and asset freezes.

Resoluciones y Recomendaciones del Parlamento Europeo - European Parliament Resolutions & Recommendations

Resolución del Parlamento Europeo, de 2 de febrero de 2012, sobre Irán y su programa nuclear (in English)

Recomendación del Parlamento Europeo, de 2 de febrero de 2012, destinada al Consejo sobre la aplicación de una política coherente respecto de los regímenes contra los cuales la UE aplica medidas restrictivas cuando defienden sus intereses personales y comerciales dentro de las fronteras de la UE (2011/2187(INI)) (In English)

Resolución del Parlamento Europeo, de 8 de septiembre de 2010, sobre la situación de los derechos humanos en Irán, en particular los casos de Sakineh Mohammadi Ashtiani y Zahra Bahrami - 2011/C 308 E/10

Jurisprudencia - Case Law

Problemas en los Tribunales (Mar, 2013) - al no facilitar pruebas suficientes a los tribunales por miedo a que se divulguen secretos y se comprometa la seguridad

Sentencia del Tribunal General (Sala Cuarta) de 7 de diciembre de 2011 - Asunto T-562/10  — HTTS/Consejo (Asunto T-562/10)*  DO C 46, de 12.2.2011  - 

Sentencia del Tribunal de Justicia (Gran Sala) de 16 de noviembre de 2011 — Bank Melli Iran/Consejo de la Unión Europea, República Francesa, Reino Unido de Gran Bretaña e Irlanda del Norte, Comisión Europea (Asunto C-548/09 P) *  DO C 80, de 27.3.2010  - 

Sentencia del Tribunal de Justicia (Sala Tercera) de 21 de diciembre de 2011 Asunto C-72/11  -

Recurso interpuesto el 7 de enero de 2011 — Export Development Bank of Iran/Consejo (Asunto T-4/11)

Recurso interpuesto el 7 de enero de 2011 — Export Development Bank of Iran/Consejo (Asunto T-5/11)

Recurso interpuesto el 7 de enero de 2011 — Bank Melli Iran/Consejo - (Asunto T-7/11)

Recurso interpuesto el 7 de enero de 2011 — Iran Insurance/Consejo - (Asunto T-12/11)

Recurso interpuesto el 8 de octubre de 2010 — Islamic Republic of Iran Shipping Lines y otros/Consejo - (Asunto T-489/10)

Sentencia del Tribunal de Justicia (Gran Sala) de 21 de diciembre de 2011- Asunto C-27/09 P

Auto del Juez de medidas provisionales del Tribunal General de 3 de octubre de 2011 — Qualitest FZE/Consejo - (Asunto T-421/11 R)

Recurso interpuesto el 22 de julio de 2011 — Iran Transfo/Consejo - (Asunto T-392/11)

Auto del Juez de medidas provisionales de 28 de septiembre de 2011 — Safa Nicu Sepahan/Consejo - (Asunto T-384/11 R)

Auto del juez de medidas provisionales de 8 de septiembre de 2011 — Fulmen/Consejo - (Asunto T-439/10 R)

Regulations in European Countries

Belgium

Belgium - Official website

Belgium implementing Iran Actions (White and Casey, oct 2010)

United Kingdom

Treasury

Some Comments

TRADE SANCTIONS AGAINST IRAN AN OVERVIEW (INCE, 2010) - con algunas referencias a la normativa en UK y US

Analysis (English) de la nueva normativa aprobada en enero de 2012 que afecta fundamentalmente al petróleo y la industria derivada y relacionada.

Suiza - Switzerland (non EU)

Swiss snub of EU Iran sanctions prompts criticism (July 11, 2012)