I. Relevant Security Council resolutions and Committee Guidelines
The exceptions and exemptions from the assets freeze are provided for by the following:
- Security Council resolution 2664 (2022): paragraph 1
- Security Council resolution 1844 (2008): paragraphs 4 and 5
- Committee Guidelines: Section 11
II. What types of assets freeze exemptions are in effect?
There are three types of exemptions to assets freeze:
- For basic expenses
- For extraordinary expenses
- The humanitarian exemption (“carve-out”)
III. Who is entitled to submit the request for exemptions to the assets freeze?
Member States who intend to authorize, where appropriate, access to frozen funds or other financial assets or economic resources. The humanitarian carve-out is a standing exemption and does not require notification to the Committee.
1. The basic expenses exemption
Pursuant to paragraph 4 (a) of resolution 1844 (2008) and Section 11 (d) of Committee’s Guidelines, notifications for the basic expense are to be submitted for Committee’s consideration and must, as appropriate, include the following information:
- Recipient (name and address)
- Recipient’s bank information (name and address of bank, account number)
- Purpose of payment and justification of the determination of the expenses falling under the basic expenses exemption:
- Basic expenses, including payment for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;
- Payment of reasonable professional fees and reimbursement of incurred expenses associated with the provisions of legal services;
- Fees or service charges for routine holding or maintenance of frozen funds or other financial assets or economic resources.
2. The extraordinary expenses exemption
Pursuant to paragraph 4 (b) of resolution 1844 (2008) and Section 11 (d) of Committee’s Guidelines, requests for the extraordinary expenses are to be submitted for Committee’s consideration and must, as appropriate, include the following information:
- Recipient (name and address)
- Recipient’s bank information (name and address of bank, account number)
- Purpose of payment and justification of the determination of the expenses falling under the extraordinary expenses (other categories than the ones mentioned under paragraph 4(a) of resolution 1844 (2008))
- Amount of installment
- Number of installments
- Payment starting date
- Bank transfer or direct debit
- Interests
- Specific funds being unfrozen
- Other information.
Please Note that Member States are encouraged, when submitting requests for the extraordinary expenses exemption, to report in a timely way on the use of such funds, with a view to preventing such funds from being used to conduct any of the acts described in the Listing Criteria.
3. The humanitarian exemption (“carve-out”)
Pursuant to paragraph 1 of resolution 2664 (2022), without prejudice to the obligations imposed on Member States to freeze the funds and other financial assets or economic resources of individuals, groups, undertakings, and entities designated by the Council or by the Committee, the provision, processing or payment of funds, other financial assets, or economic resources, or the provision of goods and services necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs by the United Nations, including its Programmes, Funds and Other Entities and Bodies, as well as its Specialized Agencies and Related Organizations, international organizations, humanitarian organizations having observer status with the United Nations General Assembly and members of those humanitarian organizations, or bilaterally or multilaterally funded non-governmental organizations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or OCHA-coordinated humanitarian “clusters,” or their employees, grantees, subsidiaries, or implementing partners while and to the extent that they are acting in those capacities, or by appropriate others as added by the Committee, are permitted and are not a violation of the assets freeze.
IV. How to make the request for exemptions to the assets freeze?
Please send the requests/notifications for exemptions to the assets freeze to:
- The Chair of the Committee, His Excellency Mr. Kazuyuki Yamazaki through the Permanent Mission of Japan to the United Nations
With copies to:
- The Senior Committee Secretary, Ms. Sana Khan,
Email address: SC-2713-Committee@un.org
Please Note that pursuant to paragraph 30 of resolution 2713 (2023), the United Nations Emergency Relief Coordinator is required to provide, by 15 October 2024, an update on the delivery of humanitarian assistance in Somalia and any impediments to its delivery.
V. Decision Making of the Committee
The Committee, through the Secretariat, will immediately acknowledge receipt of the basic expense notification. Should no negative decision be taken by the Committee within the requisite 3 working day period, the Committee, through its Chair, will inform the notifying Member State thereof. The Committee will also inform the notifying Member State if a negative decision has been taken regarding the notification.
The Committee, through its Chair, will inform the Member States requesting an exemption for extraordinary expenses about its decision.