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REPORT (COM(2022)0684 – C90401/2022 – 2022/0398(COD))

On the proposal for a directive of the European Parliament and of the Council on the definition of criminal offences and penalties for the violation of Union restrictive measures

A-9-2023-0235

Committee on Civil Liberties, Justice and Home Affairs · Rapporteur: Sophia in 't Veld

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Parliament's amended version of the Commission proposal for a directive on criminal offences and penalties for violating Union restrictive measures. It sets common minimum rules, defines offences including circumvention, and sets penalties for natural and legal persons. It requires Member States to criminalise intentional and negligent violations, attempts, and to provide effective, proportionate and dissuasive penalties, including imprisonment and fines. It adds rules on confiscation of proceeds, jurisdiction, cooperation among authorities and with Europol, Eurojust, the EPPO and the European Anti-Fraud Office, and protection for whistleblowers. It requires Member States to set up dedicated coordination bodies, provide resources and training, and collect and publish statistics on proceedings and penalties.

Committee position. The committee proposes to amend the Commission proposal by adding common minimum rules, broadening offences to include circumvention, strengthening penalties and confiscation, and adding cooperation, statistics and evaluation provisions.

Key points

  1. Establishes common minimum rules on criminal offences and penalties for violating Union restrictive measures.
  2. Criminalises intentional and negligent violations, including circumvention and conduct with the same effect.
  3. Covers making funds available to designated persons, enabling entry or stay, transactions with third states, and trading in prohibited goods, services or technology.
  4. Excludes from criminalisation goods and services for basic human needs, petty cash, and humanitarian assistance by specified providers.
  5. Sets penalties: at least one year imprisonment for offences involving at least EUR 50 000, and at least five years for at least EUR 100 000.
  6. Requires additional penalties including fines up to at least EUR 10 000 000, withdrawal of permits, disqualification, bans on public office, and publication of decisions.
  7. Holds legal persons liable with fines of at least five percent or fifteen percent of consolidated worldwide turnover depending on the offence.
  8. Lists aggravating circumstances including violations related to International Criminal Court crimes, export of military technology, corruption, and obstruction.
  9. Requires confiscation of funds or economic resources as proceeds of crime, with guidelines on use for compensation and reparations.
  10. Establishes jurisdiction based on territory, airspace, territorial sea, and benefit to legal persons established or doing business in the Member State.
  11. Requires Member States to set up dedicated coordination bodies, provide resources and training, and use effective investigative tools.
  12. Requires cooperation with Europol, Eurojust, the EPPO and the European Anti-Fraud Office, a permanent expert network, and statistics on proceedings and penalties.

Who is affected

  • Member States, which must criminalise violations and set penalties, jurisdiction, coordination bodies and statistics.
  • Natural and legal persons, who may face imprisonment, fines, disqualification and other penalties for violations.
  • Legal professionals and other service providers, who must report violations but have legal privilege exemptions.
  • Designated persons, entities and bodies, whose funds and economic resources may be frozen and confiscated.
  • Humanitarian providers, whose assistance for basic human needs is excluded from criminalisation.

Figures and deadlines

  • EUR 50 000: threshold for at least one year imprisonment for certain offences.
  • EUR 100 000: threshold for at least five years imprisonment for certain offences.
  • EUR 10 000 000: minimum maximum fine for natural persons where offences involve at least EUR 100 000.
  • five percent: minimum maximum fine for legal persons for certain offences.
  • fifteen percent: minimum maximum fine for legal persons for other offences.
  • three times per year for the first two years after six months from entry into force, and annually thereafter: frequency for submitting statistics.
  • 66 months from entry into force, and every three years thereafter: timing for Commission evaluation.
  • 18 months from entry into force: deadline for Commission assessment of cooperation and EPPO competences.

Legal basis: Article 294(2) and Article 83(1) of the Treaty on the Functioning of the European Union.