HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 198/22
EN
Official Journal of the European Union
23.7.2013
COUNCIL REGULATION (EU) No 696/2013
of 22 July 2013
amending Regulation (EC) No 329/2007 concerning restrictive measures against the Democratic
People’s Republic of Korea
THE COUNCIL OF THE EUROPEAN UNION,
destruction-related or ballistic missile-related programmes
or other prohibited activities. Furthermore, financial insti
tutions of Member States shall be prohibited from
Having regard to the Treaty on the Functioning of the European
opening bank accounts in North Korea.
Union, and in particular Article 215 thereof,
Having regard to the joint proposals from the High Represen
(6) It
is
necessary
to
inspect
cargo
originating
in
North
Korea or destined for North Korea or brokered or
tative of the Union for Foreign Affairs and Security Policy and
facilitated by North Korea or its nationals, or by indi
the European Commission,
viduals or entities acting on their behalf, where there are
reasonable grounds to believe that the cargo contains
Whereas:
prohibited items. Accordingly, there should be a
requirement to submit pre-arrival and pre-departure
information. Where a vessel refuses an inspection, it
(1) Council
Regulation
(EC)
No
329/2007
of
27
March
should be denied entry.
2007 concerning restrictive measures against the Demo
cratic People’s Republic of Korea ( 1 ), gives effect to
measures provided for in Council Common Position
(7) It
is
necessary
to
prohibit
any
aircraft
from
taking
off
2006/795/CFSP of 20 November 2006 concerning
from, landing in or overflying the territory of the Union,
restrictive measures against the Democratic People’s
if there are reasonable grounds to believe that the aircraft
Republic of Korea ( 2 ), which was later repealed and
contains prohibited items.
replaced by Council Decision 2010/800/CFSP of
22 December 2010 concerning restrictive measures
against the Democratic People’s Republic of Korea ( 3 ).
(8) Annex
I
to
Regulation
(EC)
No
329/2007
lists
all
items,
materials, equipment, goods and technology, including
software, which are dual-use items or technology as
(2) On
22
April
2013,
the
Council
adopted
Decision
defined in Council Regulation (EC) No 428/2009 ( 5 )
2013/183/CFSP concerning restrictive measures against
which are prohibited to be sold, supplied, transferred,
the Democratic People’s Republic of Korea and
or exported, to any person, entity or body in, or for
repealing Decision 2010/800/CFSP ( 4 ), renewing the
use in, the North Korea in accordance with Article 2
existing measures and giving effect to United Nations
of Regulation (EC) No 329/2007.
Security Council (UNSC) Resolution 2094 (2013).
(9) Annex
Ia
lists
other
items,
materials,
equipment,
goods
(3) The
restrictive
measures
include
a
prohibition
on
the
and technology which could contribute to North Korea’s
provision of technical training, advice, services or
nuclear-related, other weapons of mass destruction-
technical assistance in relation to prohibited items and
related or ballistic missile-related programmes which
it is necessary to expand the scope of that prohibition to
are also prohibited to be sold, supplied, transferred or
include other intermediary services.
exported. It is for the Union to take the necessary
measures in order to determine the relevant items to
(4)
The provision of financial services to additional persons
be included in that Annex.
and entities is prohibited, namely those acting on behalf
of, or at the direction of designated persons and entities
or entities owned or controlled by them, and it is
(10) The
list
of
items
in
Annex
Ia
to
Regulation
(EC)
No
necessary to add an additional listing criteria in Regu
329/2007 should be amended to add the list of items
lation (EC) No 329/2007 to that effect.
in Annex I to this Regulation.

(5)
It is necessary to prohibit the establishment of new
(11) These measures fall within the scope of the Treaty on the
correspondent relationships with banks in the Demo
Functioning of the European Union and, therefore, in
cratic People’s Republic of Korea (‘North Korea’) and
particular with a view to ensuring their uniform appli
the maintenance of correspondent relationships with
cation by economic operators in all Member States, regu
banks in North Korea where there are reasonable
latory action at the level of the Union is necessary in
grounds to believe that this could contribute to North
order to implement them.
Korea’s nuclear-related, other weapons of mass
(12) Regulation (EC) No 329/2007 should therefore be
( 1 ) OJ L 88, 29.3.2007, p. 1.
amended accordingly,
( 2 ) OJ L 322, 22.11.2006, p. 32.
( 3 ) OJ L 341, 23.12.2010, p. 32.
( 4 ) OJ L 111, 23.4.2013, p. 52.
( 5 ) OJ L 134, 29.5.2009, p. 1.

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EN
23.7.2013 Official
Journal
of
the
European
Union L
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HAS ADOPTED THIS REGULATION:
(a) any vessel which has refused to be inspected after such
inspection has been authorised by the vessel’s flag
State; or
Article 1
Regulation (EC) No 329/2007 is amended as follows:
(b) any vessel flying the flag of North Korea which has
refused to be inspected.
(1) in Article 1, the following point is added:
4. The
prohibitions
in
paragraph
3
shall
not
restrict
‘9. “brokering services” means:
access to ports in case of an emergency.
(i) the negotiation or arrangement of transactions for
5. The
prohibitions
in
paragraph
3
shall
not
restrict
the purchase, sale or supply of goods and tech
access to ports where such access is required for inspection
nology or of financial and technical services,
purposes.
including from a third country to any other third
country; or
6. The
prohibitions
in
paragraph
3
shall
not
restrict
any
vessel flying the flag of a Member State from accessing
(ii) the selling or buying of goods and technology or
ports of its flag state.
of financial and technical services, including where
they are located in third countries for their transfer
7. It
shall
be
prohibited
to
participate,
knowingly
and
to another third country;’;
intentionally, in activities the object or effect of which is to
circumvent paragraph 3.
(2) in Article 3(1), point (a) is replaced by the following:
___________
‘(a) to provide, directly or indirectly, technical assistance
(*) OJ L 302, 19.10.1992, p. 1.
and brokering services related to goods and tech
(**) OJ L 253, 11.10.1993, p. 1.’;
nology listed in the EU Common List of Military
Equipment or in Annexes I, Ia and Ib and to the
provision, manufacture, maintenance and use of
(4) the following Articles are inserted:
goods listed in the EU Common List of Military
Equipment or in Annexes I, Ia, and Ib to any
natural or legal person, entity or body in, or for use
‘Article 3b
in, North Korea;’;
The provision of bunkering or ship supply services, or any
other servicing of vessels, to North Korean vessels is
(3) Article 3a is replaced by the following:
prohibited where the providers of the service have
information, including from the competent customs auth
orities on the basis of the pre-arrival and pre-departure
‘Article 3a
information referred to in Article 3a(1), that provides
1. To
prevent
the
transfer
of
goods
and
technology
reasonable grounds to believe that the vessels carry items
which are covered by the EU Common List of Military
whose supply, sale, transfer or export is prohibited under
Equipment or the supply, sale, transfer, export or import
this Regulation, unless the provision of such services is
of which is prohibited by this Regulation, and in addition
necessary for humanitarian purposes.
to the obligation to provide the competent customs auth
orities with the pre-arrival and pre-departure information
Article 3c
as determined in the relevant provisions concerning entry
and exit summary declarations as well as customs declar
1. Except
where
prohibited
by
paragraph
8
of
UN
ations in Council Regulation (EEC) No 2913/92 (*) and in
Security Council Resolution 1718 (2006), paragraphs 9,
Commission Regulation (EEC) No 2454/93 (**), the person
10 and 23 of UN Security Council Resolution 1874
who provides the information referred to in paragraph 2
(2009), paragraph 9 of UN Security Council Resolution
of this Article, shall declare whether the goods are covered
2087 (2013), paragraphs 7 and 20 of UN Security
by the EU Common List of Military Equipment or by this
Council Resolution 2094 (2013) or relevant measures
Regulation and, where their export is subject to authori
under successor UN Security Council Resolutions, the
sation, specify the particulars of the export licence granted.
competent authorities may authorise, under such terms
and conditions as they deem appropriate, transactions in
relation to goods and technology referred to in Article 2(1)
2. The
required
additional
elements
referred
to
in
this
of this Regulation or assistance or brokering services
Article shall be submitted either in written form or using a
referred to in Article 3(1), provided that the goods and
customs declaration as appropriate.
technology, assistance or brokering services are for food,
agricultural, medical or other humanitarian purposes.
3. Where
there
are
reasonable
grounds
to
believe
that
a
vessel may contain items prohibited under this Regulation,
2. The
Member
State
concerned
shall
inform
the
other
it shall be prohibited to accept, or provide access to ports
Member States and the Commission, within four weeks, of
in the territory of the Union to:
authorisations granted under this Article.’;

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L 198/24
EN
Official Journal of the European Union
23.7.2013
(5) Article 5 is amended as follows:
(7) in Article 6, paragraphs 1 to 4 are replaced by the
following:
(a) paragraph 1 is replaced by the following:
‘1. All
funds
and
economic
resources
belonging
to,
‘1. If
a
derogation
from
Articles
2(1)(a)
or
3(1)(a)
or
owned, held or controlled by the persons, entities and
(b) is deemed necessary in a specific case, the seller,
bodies listed in Annex IV shall be frozen. Annex IV
supplier, transferring party, exporter or service
shall include the persons, entities and bodies designated
provider concerned may present a duly motivated
by the Sanctions Committee or the UN Security Council
request to the competent authorities of the Member
in accordance with paragraph 8(d) of UN Security Council
State as indicated in the websites listed in Annex II.
Resolution 1718 (2006), and paragraph 8 of UN Security
The Member State that received the request shall, if it
Council Resolution 2094 (2013).
deems that such derogation is justified, present a
request for a specific approval to the UN Security
Council.’;
2. All
funds
and
economic
resources
belonging
to,
owned, held or controlled by the persons, entities and
(b) the following paragraph is added:
bodies listed in Annex V shall be frozen. Annex V shall
include persons, entities and bodies not listed in Annex IV,
‘4. The
competent
authorities
of
the
Member
States
who, in accordance with point (b) of Article 15(1) of
may authorise, under such conditions as they deem
Decision 2013/183/CFSP, have been identified by the
appropriate, a transaction with regard to goods
Council:
referred to in point 17 of Annex III provided that
the goods are for humanitarian purposes or for
official purposes of diplomatic or consular missions
(a) as responsible for, including through supporting or
or international organisations enjoying immunities in
promoting, North Korea’s nuclear-related, other
accordance with international law.’;
weapons of mass destruction-related or ballistic
missile-related programmes, or persons, entities or
bodies acting on their behalf or at their direction, or
(6) in Article 5a, paragraph 1 is amended as follows:
persons, entities or bodies owned or controlled by
them, including through illicit means;
(a) points (a) and (b) are replaced by the following:
‘(a) to open a new bank account with a credit or
(b) as providing financial services or the transfer to,
financial institution domiciled in North Korea or
through or from the territory of the Union, or
any credit or financial institution referred to in
involving nationals of Member States or entities
Article 11a(2);
organised under their laws, or persons or financial
institutions in the territory of the Union, of any
financial or other assets or resources that could
(b) to establish a new correspondent banking rela
contribute to North Korea’s nuclear-related, other
tionship with a credit or financial institution
weapons of mass destruction-related or ballistic
domiciled in North Korea or with any credit or
missile-related programmes, or persons, entities or
financial institution referred to in Article 11a(2);’;
bodies acting on their behalf or at their direction, or
persons, entities or bodies owned or controlled by
(b) the following points are added:
them; or
‘(c) to open a new representative office in North
Korea, or to establish a new branch or subsidiary,
(c) as involved in, including through the provision of
in North Korea;
financial services, the supply to or from North Korea
of arms and related material of all types, or of items,
materials, equipment, goods and technology which
(d) to establish a new joint venture with a credit or
could contribute to North Korea’s nuclear-related,
financial institution domiciled in North Korea or
other weapons of mass destruction-related or ballistic
with any credit or financial institution referred to
missile-related programmes to North Korea.
in Article 11a(2);
(e) to maintain a correspondent banking relationship
Annex V shall be reviewed at regular intervals and at
with a credit or financial institution domiciled in
least every 12 months.
North Korea and any credit or financial institution
referred to in Article 11a(2) if there is information
that provides reasonable grounds to believe that
2a. All
funds
and
economic
resources
belonging
to,
this could contribute to North Korea’s nuclear-
owned, held or controlled by persons, entities or bodies
related, other weapons of mass destruction-
in Annex Va shall be frozen. Annex Va shall include the
related or ballistic missile-related programmes, or
persons, entities or bodies not covered by Annex IV or V
other prohibited activities by this Regulation or
who are working on behalf of or at the direction of a
Decision 2013/183/CFSP.’;
person, entity or body listed in Annex IV or V or

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EN
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the
European
Union L
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persons assisting in the evasion of sanctions or violating
mortgage, medicines and medical treatment, taxes,
the provisions of this Regulation, or of Decision
insurance premiums and public utility charges;
2013/183/CSFP.
(b) intended exclusively for payment of reasonable profes
Annex Va shall be reviewed at regular intervals and at least
sional fees and reimbursement of incurred expenses
every 12 months.
associated with the provision of legal services; or
3. Annexes
IV,
V
and
Va
shall
include
where
available
information on listed natural persons for the purpose of
(c) intended exclusively for payment of fees or services
identifying sufficiently the persons concerned.
charges for routine holding or maintenance of frozen
funds or economic resources; and
Such information may include:
(d) where the authorisation concerns a person, entity and
(a) surname and given names, including alias names and
body listed in Annex IV, the Member State concerned
titles, if any;
has notified the Sanctions Committee of that deter
mination and its intention to grant an authorisation,
(b) date and place of birth;
and the Sanctions Committee has not objected to that
course of action within five working days of notifi
(c) nationality;
cation.
(d) passport and identity card numbers;
2. By
way
of
derogation
from
Article
6,
the
competent
authorities of the Member States, as indicated on the
(e) fiscal and social security numbers;
websites listed in Annex II, may authorise the release of
certain frozen funds or economic resources or the making
(f) gender;
available of certain frozen funds or economic resources,
after having determined that the funds or economic
(g) address or other information on whereabouts;
resources are necessary for extraordinary expenses,
provided that:
(h) function or profession;
(a) where the authorisation concerns a person, entity or
(i) date of designation.
body listed in Annex IV, the Sanctions Committee has
been notified of this determination by the member
Annexes IV, V and Va shall also include the grounds for
State concerned and that the determination has been
listing, such as occupation.
approved by that Committee; and
Annexes IV, V and Va may also include information on
(b) where the authorisation concerns a person, entity or
identification purposes as set out in this paragraph on
body listed in Annex V or Va, the Member State
family members of the persons listed, provided that this
concerned has notified other Member States and the
information is necessary in a specific case for the sole
Commission of the grounds on which it considers that
purpose of verifying the identity of the listed natural
a specific authorisation should be granted, at least two
person concerned.
weeks prior to the authorisation.
4. No
funds
or
economic
resources
shall
be
made
available, directly or indirectly, to or for the benefit of
3. The
Member
State
concerned
shall
inform
other
the natural or legal persons, entities or bodies listed in
Member States and the Commission of any authorisation
Annexes IV, V and Va.’;
granted under paragraphs 1 and 2.’;
(8) Article 7 is replaced by the following:
(9) in Article 8, point (c) is replaced by the following:
‘Article 7
‘(c) the lien or judgement is not for the benefit of a
1. By
way
of
derogation
from
Article
6,
the
competent
person, entity or body listed in Annexes IV, V or Va;’;
authorities of the Member States, as indicated on the
websites listed in Annex II, may authorise the release of
certain frozen funds or economic resources, or the making
(10) in Article 11a, paragraph 1 is replaced by the following:
available of certain funds or economic resources, under
such conditions as they deem appropriate, after having
‘1. Credit
and
financial
institutions
which
fall
within
the
determined that the funds or economic resources
scope of Article 16 shall, in their activities with credit and
concerned are:
financial institutions referred to in paragraph 2, and in
order to prevent such activities contributing to North
(a) necessary to satisfy the basic needs of natural or legal
Korea’s nuclear-related, other weapons of mass
persons, entities or bodies listed in Annex IV, V or Va
destruction-related or ballistic missile-related programmes
and dependent family members of such natural
or to prevent other activities prohibited by this Regulation,
persons, including payments for foodstuffs, rent or
or by Decision 2013/183/CFSP:

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L 198/26
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Official Journal of the European Union
23.7.2013
(a) exercise continuous vigilance over account activity,
2. Paragraph
1
shall
not
restrict
aircraft
from
making
particularly by means of their programmes on
an emergency landing.
customer due diligence and obligations related to the
prevention of money-laundering and the financing of
3. Paragraph
1
shall
not
restrict
aircraft
registered
in
terrorism;
Member State from landing for inspection of prohibited
items.
(b) require that in payment instructions all information
fields which relate to the originator and beneficiary
of the transaction in question be completed and, if
4. It
shall
be
prohibited
to
participate,
knowingly
and
that information is not supplied, refuse the transaction;
intentionally, in activities the object or effect of which is to
circumvent paragraph 1.’;
(c) maintain all records of transactions for a period of five
years and make them available to national authorities
(12) the following Article is inserted:
on request;
‘Article 11c
(d) if they suspect or have reasonable grounds to suspect
1. The
freezing
of
funds
and
economic
resources
or
the
that funds are related to proliferation financing,
refusal to make funds or economic resources available,
promptly report their suspicions to the financial intel
carried out in good faith on the basis that such action is
ligence unit (FIU) or another competent authority
in accordance with this Regulation, shall not give rise to
designated by the Member State concerned, as
liability of any kind on the part of the natural or legal
indicated on the websites listed in Annex II, without
person, entity or body implementing it, or its directors or
prejudice to Article 3(1) or Article 6. The FIU or
employees, unless it is proved that the funds and
another competent authority shall serve as a national
economic resources were frozen or withheld as a result
centre for receiving and analysing suspicious trans
of negligence.
action reports regarding potential proliferation
financing. The FIU or other such competent
authority shall have access, directly or indirectly, on
2. The measures set out in the present Regulation shall
a timely basis to the financial, administrative and law
not give rise to liability of any kind on the part of the
enforcement information that it requires in order to
natural or legal persons, entities or bodies concerned, if
properly undertake this function, including the analysis
they did not know, and had no reasonable cause to
of suspicious transaction reports.’;
suspect, that their actions would infringe these prohib
itions.’;
(11) the following Article is inserted:
(13) Annex Ia to Regulation (EC) No 329/2007 is amended in
‘Article 11b
accordance with the text set out in Annex I to this Regu
lation.
1. Where
there
are
reasonable
grounds
to
believe
that
an aircraft may contain items whose supply, sale, transfer
Annex II to this Regulation is inserted as Annex Va to
or export is prohibited under Articles 2, 4 or 4a, it shall be
Regulation (EC) No 329/2007.
prohibited for that aircraft to:
(a) fly over the territory of the Union; or
Article 2
This Regulation shall enter into force on the day following that
(b) to take off from or land in the territory of the Union.
of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 22 July 2013.
For the Council
The President
C. ASHTON

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ANNEX I
Annex Ia to Regulation (EC) No 329/2007 is amended as follows:
— The following entries shall be inserted after entry I.A1.024:
‘I.A1.025 Titanium
alloys,
other
than
those
specified
in
1C002
and
1C202. 1C002
1C202
I.A1.026 Zirconium and zirconium alloys, other than those specified in 1C011, 1C111 and 1C234. 1C011
1C111
1C234
I.A1.027 Explosive materials other than those specified in 1C239, or materials or mixtures containing 1C239’
more than 2 % by weight of such explosive materials, with a crystalline density higher than
1,5 g/cm 3 and with a detonation speed higher than 5 000 m/s.
— The entry I.A2.002 shall be replaced by the following:
‘I.A2.002 Machine tools, other than those specified in 2B001 or 2B201 and any combination thereof, 2B001
for removing (or cutting) metals, ceramics, or “composites” that, according to the manu
facturer’s technical specification, can be equipped with electronic devices for “numerical
control”, having positioning accuracies of equal to or less (better) than 30 μm according to
ISO 230/2 (1988) (1) or national equivalents along any linear axis.
2B201’
— The following entry shall be inserted after entry I.A6.012:
‘I.A6.013 Lasers,
other
than
those
specified
in
6A005
or
6A205. 6A005
6A205’
ANNEX II
‘ANNEX Va
LIST OF PERSONS, ENTITIES OR BODIES REFERRED TO IN ARTICLE 6(2a)’

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