Regulation 314/2004 - Zimbabwe

Council Regulation (EC) No 314/2004 of 19 February 2004 concerning restrictive measures in view of the situation in Zimbabwe

Article 1

For the purposes of this Regulation, the following definitions shall apply:

(a) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services; technical assistance includes verbal forms of assistance;

(b) ‘funds’ means financial assets and benefits of every kind, including but not limited to:

(i) cash, cheques, claims on money, drafts, money orders and other payment instruments;

(ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

(iii) publicly and privately traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

(iv) interest, dividends or other income on or value accruing from or generated by assets;

(v) credit, right of set-off, guarantees, performance bonds or other financial commitments;

(vi) letters of credit, bills of lading, bills of sale;

(vii) documents evidencing an interest in funds or financial resources;

(viii) any other instrument of export-financing;

(c) ‘freezing of funds’ means 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;

(d) ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but can be used to obtain funds, goods or services;

(e) ‘freezing of economic resources’ means preventing their use to obtain funds, goods or services in any way, including, but not limited to, the selling, hiring or mortgaging of them.

Article 2

It shall be prohibited:

(a) to grant, sell, supply or transfer technical assistance 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 any person, entity or body in, or for use in Zimbabwe;

(b) to 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, directly or indirectly to any person, entity or body in, or for use in Zimbabwe;

(c) to participate, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to promote the transactions referred to at points (a) or (b).

Article 3

It shall be prohibited:

(a) knowingly and intentionally, to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex I, whether or not originating in the Community, to any natural or legal person, entity or body in, or for use in Zimbabwe;

(b) to grant, sell, supply or transfer, directly or indirectly, technical assistance related to the equipment referred to at point (a), to any natural or legal person, entity or body in, or for use in Zimbabwe;

(c) to provide, directly or indirectly, financing or financial assistance related to the equipment referred to at point (a), to any natural or legal person, entity or body in, or for use in Zimbabwe;

(d) to participate, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to promote the transactions referred to at points (a), (b) or (c).

Article 4

1.   By way of derogation from Articles 2 and 3 the competent authorities of Member States as listed in Annex II may authorise:

(a) the provision of financing and financial assistance and technical assistance related to:

(i) non-lethal military equipment intended solely for humanitarian or protective use, or for institution-building programmes of the United Nations, the European Union and the Community;

(ii) materiel intended for European Union and United Nations crisis-management operations;

(b) the sale, supply, transfer or export of equipment listed in Annex I intended solely for humanitarian or protective use, and the provision of financial assistance, financing and technical assistance related to these transactions.

2.   No authorisations shall be granted for activities that have already taken place.

Article 4a

1.   By way of derogation from Article 3, the competent authority, as listed in Annex II, of the Member State where the exporter is established or the Member State where the explosive substances or related equipment is supplied from, may authorise, under such conditions as it deems appropriate, the sale, supply, transfer or export of explosive substances and related equipment as listed in point 4 of Annex I and financial and technical assistance, where the explosive substances and related equipment are intended and will be used solely for civilian use in mining and infrastructure projects.

2.   The authorisation referred to in this Article shall be granted in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be valid throughout the Union.

3.   Exporters shall supply the competent authority with all relevant information required for the assessment of their application for an authorisation.

4.   The relevant Member State shall inform the other Members States and the Commission at least two weeks in advance of its intention to grant an authorisation referred to in paragraph 1 of this Article.

Article 5

Articles 2 and 3 shall not apply to protective clothing, including flak jackets and military helmets, temporarily exported to Zimbabwe by United Nations personnel, personnel of the European Union, the Community or its Member States, representatives of the media and humanitarian and development workers and associated personnel for their personal use only.

Article 6

1.   All funds and economic resources belonging to individual members of the Government of Zimbabwe and to any natural or legal persons, entities or bodies associated with them as listed in Annex III shall be frozen.

2.   No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of natural or legal persons, entities or bodies listed in Annex III.

3.   The participation, knowingly and intentionally, in activities the object or effect of which is, directly or indirectly, to promote the transactions referred to in paragraphs 1 and 2 shall be prohibited.

Article 7

1.   By way of derogation from Article 6, the competent authorities of the Member States as listed in Annex II may authorise the release of certain frozen funds or economic resources or the making available of certain frozen funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources concerned 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 payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services;

(c) intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources;

(d) necessary for extraordinary expenses, provided that the relevant competent authority has notified the grounds on which it considers that a specific authorisation should be granted to all other competent authorities and the Commission at least two weeks prior to the authorisation.

The relevant competent authority shall inform the competent authorities of the other Member States and the Commission of any authorisation granted under this paragraph.

2.   Article 6(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 prior to the date on which those accounts became subject to Regulation (EC) No 310/2002 or this Regulation,

provided that any such interest, other earnings and payments continue to be subject to Article 6(1).

Article 7a

1.   Article 6(1) and (2) shall not apply to the making available of funds or economic resources necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs where such assistance and other activities are carried out by:

(a) the United Nations (UN), including its programmes, funds and other entities and bodies, as well as its specialised agencies and related organisations;

(b) international organisations;

(c) humanitarian organisations having observer status with the UN General Assembly and members of those humanitarian organisations;

(d) bilaterally or multilaterally funded non-governmental organisations participating in the UN Humanitarian Response Plans, UN Refugee Response Plans, other UN appeals or humanitarian clusters coordinated by the UN Office for the Coordination of Humanitarian Affairs;

(e) organisations and agencies to which the Union has granted the Humanitarian Partnership Certificate or which are certified or recognised by a Member State in accordance with national procedures;

(f) Member States’ specialised agencies; or

(g) the employees, grantees, subsidiaries or implementing partners of the entities referred to in points (a) to (f) while and to the extent that they are acting in those capacities.

2.   Without prejudice to paragraph 1, and by way of derogation from Article 6(1) and (2), the competent authorities of the Member States as listed in Annex II 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 provision of such funds or economic resources is necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs.

3.   In the absence of a negative decision, a request for information or a notification for additional time from the relevant competent authority within five working days of the date of receipt of a request for authorisation under paragraph 2, that authorisation shall be considered granted.

4.   The Member State concerned shall inform the other Member States and the Commission of any authorisations granted under paragraphs 2 and 3 within four weeks of such authorisation.

Article 8

1.   Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy and to the provisions of Article 284 of the Treaty, natural and legal persons, entities and bodies shall:

(a) supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 6, to the competent authorities of the Member States listed in Annex II where they are resident or located, and shall transmit such information, directly or through these competent authorities, to the Commission;

(b) cooperate with the competent authorities listed in Annex II in any verification of this information.

2.   Any additional information directly received by the Commission shall be made available to the competent authorities of the Member State concerned.

3.   Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 9

The freezing of funds and economic resources or the not making available of funds, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen as result of negligence.

Article 10

The Commission and Member States shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violation and enforcement problems and judgments handed down by national courts.

Article 11

The Commission shall be empowered to:

(a) amend Annex II on the basis of information supplied by Member States;

(b) amend Annex III on the basis of decisions taken in respect of the Annex to Common Position 2004/161/CFSP.

Article 11a

1.   Annex III shall include the grounds for the listing of natural or legal persons, entities or bodies concerned.

2.   Annex III shall include, where available, information necessary to identify the natural or legal persons, entities or bodies concerned. With regard to natural 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 legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business.

Article 12

The Member States shall lay down the rules on sanctions applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The sanctions provided for must be effective, proportionate and dissuasive. The Member States shall notify those rules to the Commission without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 13

This Regulation shall apply:

(a) within the territory of the Community, including its airspace;

(b) on board any aircraft or any vessel under the jurisdiction of a Member State;

(c) to any person inside or outside the territory of the Community who is a national of a Member State;

(d) to any legal person, group or entity which is incorporated or constituted under the law of a Member State;

(e) to any legal person, group or entity doing business within the Community.

Article 14

This Regulation shall enter into force on 21 February 2004.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Annex I - List of equipment which might be used for internal repression referred to in Article 3

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Annex II - Web sites for information on the competent authorities referred to in Articles 4, 7 and 8 and address for notifications to the European Commission

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Annex III - List of persons and entities referred to in Article 6

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Initial version

Council Regulation (EC) No 314/2004 of 19 February 2004 concerning certain restrictive measures in respect of Zimbabwe

Official Journal of the European Union L 55 of 24 February 2004 ,p. 1

Amended by

Commission Regulation (EC) No 1488/2004 of 20 August 2004 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 273 of 21 August 2004 ,p. 12
Commission Regulation (EC) No 898/2005 of 15 June 2005 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 153 of 16 June 2005,p. 9
Commission Regulation (EC) No 1272/2005 of 1 August 2005 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 201 of 2 August 2005,p. 40
Commission Regulation (EC) No 1367/2005 of 19 August 2005 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 216 of 20 August 2005,p. 6
Commission Regulation (EC) No 1791/2006 of 20 November 2006 adapting certain Regulations and Decisions in the fields of free movement of goods, freedom of movement of persons, company law, competition policy, agriculture (including veterinary and phytosanitary legislation), transport policy, taxation, statistics, energy, environment, cooperation in the fields of justice and home affairs, customs union, external relations, common foreign and security policy and institutions, by reason of the accession of Bulgaria and Romania	Official Journal of the European Union L 363 of 20 December 2006,p. 1
Commission Regulation (EC) No 236/2007 of 2 March 2007 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 66 of 6 March 2007,p. 14
Commission Regulation (EC) No 412/2007 of 16 April 2007 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 101 of 18 April 2007,p. 6
Commission Regulation (EC) No 777/2007 of 2 July 2007 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 173 of 3 July 2007,p. 3
Commission Regulation (EC) No 702/2008 of 23 July 2008 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 195 of 24 July 2008,p. 19
Commission Regulation (EC) No 1226/2008 of 8 December 2008 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 331 of 10 December 2008,p. 11
Commission Regulation (EC) No 77/2009 of 26 January 2009 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 23 of 27 January 2009,p. 5
Commission Regulation (EC) No 173/2010 of 25 February 2010 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 51 of 2 March 2010,p. 13
Commission Regulation (EC) No 174/2011 of 23 February 2011 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 49 of 24 February 2011,p. 23
Commission Implementing Regulation (EC) No 151/2012 of 21 February 2012 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 49 of 22 February 2012,p. 2
Commission Implementing Regulation (EC) No 145/2013 of 19 February 2013 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 47 of 20 February 2013,p. 63
Council Regulation (EC) No 517/2013 of 13 May 2013 adapting certain regulations and decisions in the fields of free movement of goods, freedom of movement for persons, company law, competition policy, agriculture, food safety, veterinary and phytosanitary policy, transport policy, energy, taxation, statistics, trans-European networks, judiciary and fundamental rights, justice, freedom and security, environment, customs union, external relations, foreign, security and defence policy and institutions, by reason of the accession of the Republic of Croatia	Official Journal of the European Union L 158 of 10 June  2013,p. 1
Commission Implementing Regulation (EC) No 915/2013 of 23 September 2013 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 252 of 24 September 2013,p. 23
Council Regulation (EC) No 153/2014 of 17 February 2014 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe and repealing Regulation (EU) No 298/2013	Official Journal of the European Union L 50 of 20 February 2014,p. 1
Commission Implementing Regulation (EC) 2015/275 of 19 February 2015 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 47 of 20 February 2015,p. 15
Council Regulation (EC) 2015/612 of 20 April 2015 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 102 of 21 April 2015,p. 1
Council Regulation (EC) 2015/1919 of 26 October 2015 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 281 of 27 October 2015,p. 1
Commission Implementing Regulation (EC) 2015/1921 of 26 October 2015 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 281 of 27 October 2015,p. 5
Council Regulation (EC) 2016/214 of 15 February 2016 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 40 of 17 February 2016,p. 1
Commission Implementing Regulation (EC) 2016/218 of 16 February 2016 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 40 of 17 February 2016,p. 7
Council Regulation (EC) 2017/284 of 17 February 2017 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 42 of 18 February 2017,p. 1
Commission Implementing Regulation (EC) 2018/223 of 15 February 2018 amending Council Regulation (EC) No 314/2004 concerning restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 43 of 16 February 2018,p. 10
Council Regulation (EC) 2019/278 of 18 February 2019 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 47 of 19 February 2019,p. 1
Commission Implementing Regulation (EC) 2019/283 of 18 February 2019 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 47 of 19 February 2019,p. 36
Commission Implementing Regulation (EC) 2019/1163 of 5 July 2019 amending and setting out a single list for the Annexes containing contact details of Member States competent authorities and address for notifications to the European Commission to certain Regulations concerning restrictive measures	Official Journal of the European Union L 182 of 8 July 2019,p. 33
Council Regulation (EC) 2020/213 of 17 February 2020 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 45 of 18 February 2020,p. 1
Commission Implementing Regulation (EC) 2020/219 of 17 February 2020 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 44 of 18 February 2020,p. 17
Council Regulation (EC) 2021/251 of 18 February 2021 amending Regulation (EC) No 314/2004 concerning restrictive measures in view of the situation in Zimbabwe	Official Journal of the European Union L 58 of 19 February 2021,p. 9
Commission Implementing Regulation (EC) 2021/253 of 17 February 2021 amending Council Regulation (EC) No 314/2004 concerning restrictive measures in view of the situation in Zimbabwe	Official Journal of the European Union L 58 of 19 February 2021,p. 15
Council Regulation (EC) 2022/225 of 17 February 2022 amending Regulation (EC) No 314/2004 concerning restrictive measures in view of the situation in Zimbabwe	Official Journal of the European Union L 38 of 18 February 2022,p. 1
Commission Implementing Regulation (EC) 2022/226 of 17 February 2022 amending Council Regulation (EC) No 314/2004 concerning restrictive measures in view of the situation in Zimbabwe	Official Journal of the European Union L 38 of 18 February 2022,p. 3
Commission Implementing Regulation (EC) 2022/595 of 11 April 2022 amending certain Regulations concerning restrictive measures and setting out a single list for the Annexes to those Regulations containing the contact details of Member States’ competent authorities and the address for notifications to the European Commission	Official Journal of the European Union L 114 of 12 April 2022,p. 60
Council Regulation (EU) 2023/2694 of 27 November 2023 amending certain Council Regulations concerning restrictive measures in order to insert provisions on humanitarian exceptions	OJ L, 2023/2694, 28.11.2023

Corrected by

Corrigendum to Commission Regulation (EC) No 77/2009 of 26 January 2009 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 46 of 17 February 2009,p. 79
Corrigendum to Commission Regulation (EC) No 77/2009 of 26 January 2009 amending Council Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 75 of 21 March 2009,p. 28
Corrigendum to Council Regulation (EU) 2020/213 of 17 February 2020 amending Regulation (EC) No 314/2004 concerning certain restrictive measures in respect of Zimbabwe	Official Journal of the European Union L 89 of 24 March 2009,p. 5
Corrigendum to Council Regulation (CFSP) 2021/251 of 18 February 2021 amending Regulation (EC) No 314/2004 concerning restrictive measures in view of the situation in Zimbabwe	Official Journal of the European Union L 65 of 25 February 2021,p. 60