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Document 02020D1999-20210302
Council Decision (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses
Consolidated text: Council Decision (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses
Council Decision (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses
02020D1999 — EN — 02.03.2021 — 001.001
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COUNCIL DECISION (CFSP) 2020/1999 of 7 December 2020 concerning restrictive measures against serious human rights violations and abuses (OJ L 410I 7.12.2020, p. 13) |
Amended by:
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Official Journal |
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No |
page |
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L 71I |
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2.3.2021 |
COUNCIL DECISION (CFSP) 2020/1999
of 7 December 2020
concerning restrictive measures against serious human rights violations and abuses
Article 1
This Decision establishes a framework for targeted restrictive measures to address serious human rights violations and abuses worldwide. It applies to:
genocide;
crimes against humanity;
the following serious human rights violations or abuses:
torture and other cruel, inhuman or degrading treatment or punishment,
slavery,
extrajudicial, summary or arbitrary executions and killings,
enforced disappearance of persons,
arbitrary arrests or detentions;
other human rights violations or abuses, including but not limited to the following, in so far as those violations or abuses are widespread, systematic or are otherwise of serious concern as regards the objectives of the common foreign and security policy set out in Article 21 TEU:
trafficking in human beings, as well as abuses of human rights by migrant smugglers as referred to in this Article,
sexual and gender-based violence,
violations or abuses of freedom of peaceful assembly and of association,
violations or abuses of freedom of opinion and expression,
violations or abuses of freedom of religion or belief.
For the purpose of applying paragraph 1, regard should be had to customary international law and widely accepted instruments of international law, such as:
the International Covenant on Civil and Political Rights;
the International Covenant on Economic, Social and Cultural Rights;
the Convention on the Prevention and Punishment of the Crime of Genocide;
the Convention against Torture and other Cruel, Inhuman or Degrading Treatment or Punishment;
the International Convention on the Elimination of All Forms of Racial Discrimination;
the Convention on the Elimination of All Forms of Discrimination against Women;
the Convention on the Rights of the Child;
the International Convention for the Protection of All Persons from Enforced Disappearances;
the Convention on the Rights of Persons with Disabilities;
the Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, supplementing the United Nations Convention against Transnational Organized Crime;
the Rome Statute of the International Criminal Court;
the European Convention for the Protection of Human Rights and Fundamental Freedoms.
For the purposes of this Decision, natural or legal persons, entities or bodies may include:
State actors;
other actors exercising effective control or authority over a territory;
other non-State actors.
When establishing or amending the list set out in the Annex with regard to other non-State actors under point (c) of paragraph 3, the Council shall take into account in particular the following specific elements:
the objectives of the common foreign and security policy as set out in Article 21 TEU; and
the gravity and/or impact of the abuses.
Article 2
Member States shall take the measures necessary to prevent the entry into, or transit through, their territories of:
natural persons who are responsible for acts set out in Article 1(1);
natural persons who provide financial, technical, or material support for, or are otherwise involved in, acts set out in Article 1(1), including by planning, directing, ordering, assisting, preparing, facilitating, or encouraging such acts;
natural persons who are associated with the persons covered by points (a) and (b);
as listed in the Annex.
Paragraph 1 shall be without prejudice to the cases where a Member State is bound by an obligation under international law, namely:
as a host country of an international intergovernmental organisation;
as a host country of an international conference convened by, or under the auspices of, the United Nations;
under a multilateral agreement conferring privileges and immunities; or
pursuant to the 1929 Treaty of Conciliation (Lateran Pact) concluded by the Holy See (Vatican City State) and Italy.
Article 3
All funds and economic resources belonging to, owned, held or controlled by:
natural or legal persons, entities or bodies, who are responsible for acts set out in Article 1(1);
natural or legal persons, entities or bodies, who provide financial, technical, or material support for or are otherwise involved in acts set out in Article 1(1), including by planning, directing, ordering, assisting, preparing, facilitating, or encouraging such acts;
natural or legal persons, entities or bodies, who are associated with the natural or legal persons, entities or bodies covered by points (a) and (b);
as listed in the Annex, shall be frozen.
By way of derogation from paragraphs 1 and 2, the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources concerned are:
necessary to satisfy the basic needs of the natural or legal persons, entities or bodies listed in the Annex and dependent family members of such natural persons, including payments for food, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;
intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services;
intended exclusively for the payment of fees or service charges for the routine holding or maintenance of frozen funds or economic resources;
necessary for extraordinary expenses, provided that the relevant competent authority has notified the competent authorities of the other Member States and the Commission of the grounds on which it considers that a specific authorisation should be granted, at least two weeks prior to the authorisation; or
to be paid into or from an account of a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation.
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this paragraph.
By way of derogation from paragraph 1, the competent authorities of the Member States may authorise the release of certain frozen funds or economic resources, provided that the following conditions are met:
the funds or economic resources are the subject of an arbitral decision rendered prior to the date on which the natural or legal person, entity or body referred to in paragraph 1 was listed in the Annex, or of a judicial or administrative decision rendered in the Union, or a judicial decision enforceable in the Member State concerned, prior to or after that date;
the funds or economic resources will be used exclusively to satisfy claims secured by such a decision or recognised as valid in such a decision, within the limits set by applicable laws and regulations governing the rights of persons having such claims;
the decision is not for the benefit of a natural or legal person, entity or body listed in the Annex; and
recognition of the decision is not contrary to public policy in the Member State concerned.
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this paragraph.
Paragraph 2 shall not apply to the addition to frozen accounts of:
interest or other earnings on those accounts;
payments due under contracts, agreements or obligations that were concluded or arose prior to the date on which those accounts became subject to the measures provided for in paragraphs 1 and 2; or
payments due under judicial, administrative or arbitral decisions rendered in the Union or enforceable in the Member State concerned, provided that any such interest, other earnings and payments remain subject to the measures provided for in paragraph 1.
Article 4
Article 5
Article 6
Article 7
The Council and the High Representative shall process personal data in order to carry out their tasks under this Decision, in particular:
as regards the Council, for preparing and making amendments to the Annex;
as regards the High Representative, for preparing amendments to the Annex.
Article 8
No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Decision, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, in particular a claim for extension or payment of a bond or of guarantee or indemnity, in particular a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:
designated natural or legal persons, entities or bodies listed in the Annex;
any natural or legal person, entity or body acting through or on behalf of one of the natural or legal persons, entities or bodies referred to in point (a).
Article 9
In order to maximise the impact of the measures set out in this Decision, the Union shall encourage third States to adopt restrictive measures similar to those provided for in this Decision.
Article 10
This Decision shall apply until 8 December 2023 and shall be kept under constant review. The measures set out in Articles 2 and 3 shall apply as regards the natural or legal persons, entities, and bodies listed in the Annex until 8 December 2021.
Article 11
This Decision shall enter into force on the day following that of its publication in the Official Journal of the European Union.
ANNEX
List of natural and legal persons, entities and bodies referred to in Articles 2 and 3
Natural persons
|
Names (Transliteration of Russian spelling) |
Names (Russian spelling) |
Identifying information |
Reasons for listing |
Date of listing |
1. |
Alexander (Alexandr) Petrovich KALASHNIKOV |
Aлександр Петрович КАЛАШНИКОВ |
Position(s): Director of the Russian Federal Penitentiary Service (FSIN) DOB: 27.1.1964 POB: Tatarsk, Novosibirsk Region/Oblast, Russian SFSR (now Russian Federation) Nationality: Russian Gender: male |
Alexander Kalashnikov has been the director of the Russian Federal Penitentiary Service (FSIN) since 8 October 2019. In that position, he oversees all activities of the FSIN. In his capacity as director of the FSIN, he is responsible for serious human rights violations in Russia, including arbitrary arrests and detentions. In the case of Alexei Navalny, while Mr Navalny was recovering in Germany (September 2020-January 2021) after having been poisoned with a toxic nerve agent of the Novichok group, on 28 December 2020 FSIN demanded that he immediately present himself to a probation officer or face a prison sentence for violating a suspended sentence for fraud conviction. That fraud conviction had been found arbitrary and unfair by the European Court of Human Rights in 2018. On 17 January 2021, acting on the orders of Alexander Kalashnikov, FSIN officers detained Alexei Navalny upon his arrival at Moscow airport. Alexei Navalny’s arrest is based on a decision by the Khimki city court, which in turn was issued at the request of FSIN. In late December 2020, FSIN had already requested that a court replace Alexei Nalvany’s suspended sentence with a prison term. On 17 February 2021, the European Court of Human Rights ordered the Government of Russia to release Alexei Navalny. |
2 March 2021 |
2. |
Alexander (Alexandr) Ivanovich BASTRYKIN |
Алексaндр Ивaнович БАСТРЫКИН |
Position(s): Chairman of the Investigative Committee of the Russian Federation DOB: 27.8.1953 POB: Pskov, Russian SFSR (now Russian Federation) Nationality: Russian Gender: male |
Alexander Bastrykin has served as chairman of the Investigative Committee of the Russian Federation (the ‘Committee’) since January 2011 (and as acting chairman from October to December 2010). In that position, he oversees all activities of the Committee. Officially, the Committee is presided over by the Russian President. In Alexander Bastrykin’s capacity as chairman of the Committee, he is responsible for serious human rights violations in Russia, including arbitrary arrests and detentions. Alexander Bastrykin is responsible for the Committee’s widespread and systematic repressive campaigns against the Russian opposition, targeting and investigating their members. On 29 December 2020, the Committee launched an investigation into the opposition leader Alexei Navalny, charging him with large-scale fraud. Alexei Navalny and others published articles on Alexander Bastrykin’s ownership of Czech real estate firm LAW Bohemia in the 2000s. |
2 March 2021 |
3. |
Igor Viktorovich KRASNOV |
Игорь Викторович КРАСНОВ |
Position(s): Prosecutor General of the Russian Federation DOB: 24.12.1975 POB: Arkhangelsk, Russian SFSR (now Russian Federation) Nationality: Russian Gender: male |
Igor Krasnov has been Prosecutor General of the Russian Federation since 22 January 2020, and is the former Deputy Chairman of the Investigative Committee of the Russian Federation. In his position as Prosecutor General, he supervises the Prosecutor’s Offices in the Russian Federation, the Special Prosecutor’s Offices and the Military Prosecutor’s Office. In his capacity as Prosecutor General, he is responsible for serious human rights violations, including the arbitrary detentions of protesters, and for widespread and systematic repression of freedom of peaceful assembly and of association, and freedom of opinion and expression. Ahead of the 23 January 2021 protests, the Prosecutor General’s Office warned that participants would be held responsible. Moreover, the Prosecutor General’s Office demanded that the Federal Service for Supervision in the Sphere of Communications, Information Technology and Mass Communications (Roskomnadzor) restrict access to opposition websites and social network accounts that contained information on planned gatherings of Alexei Navalny’s supporters. On 29 January 2021, the Prosecutor General’s Office once again demanded that Roskomnadzor restrict access to opposition websites and social network accounts, this time ahead of the pro-Navalny protests on 30 and 31 January 2021. Warnings were sent to internet companies (Facebook, TikTok, Twitter, Google, Mail.ru Group). The Prosecutor General’s Office also announced that those taking part in the demonstrations would be prosecuted. The Prosecutor General’s Office supported the request by the Russian Federal Penitentiary Service (FSIN) to convert the suspended sentence imposed on Alexei Navalny in a case of alleged fraud to a prison sentence. Despite the fact that his conviction in that case had been found arbitrary and unfair by the European Court of Human Rights in 2018, Alexei Navalny was arrested upon his arrival at Moscow airport on 17 January 2021. |
2 March 2021 |
4. |
Viktor Vasilievich (Vasilyevich) ZOLOTOV |
Виктор Васильевич ЗОЛОТОВ |
Position(s): Director of the Federal Service of National Guard Troops of the Russian Federation (Rosgvardia) DOB: 27.1.1954 POB: Sasovo, Russian SFSR (now Russian Federation) Nationality: Russian Gender: male |
Viktor Zolotov has been the Director of the Federal Service of National Guard Troops of the Russian Federation (Rosgvardia) since 5 April 2016 and therefore Commander-in-Chief of the National Guard Troops of the Russian Federation, as well as Commander of OMON – the Special Purpose Mobile Unit integrated in Rosgvardia. In that position, he oversees all activities of Rosgvardia and OMON troops. In his capacity as Director of Rosgvardia, he is responsible for serious human rights violations in Russia, including arbitrary arrests and detentions and systematic and widespread violations of freedom of peaceful assembly and of association, in particular by violently repressing protests and demonstrations. Rosgvardia was employed to quell the 23 January 2021 pro-Navalny demonstrations and many OMON and National Guard officers were reported to have used brutality and violence against protesters. Dozens of journalists were targeted with aggression by the security forces, including Meduza’s correspondent Kristina Safronova, who was hit by an OMON officer, and Novaya Gazeta’s journalist Yelizaveta Kirpanova, who was hit on the head with a truncheon leaving her bleeding. Security forces arbitrarily detained more than 300 minors. |
2 March 2021 |
Legal persons, entities and bodies
( 1 ) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).