# Official Journal L 121/2011

| | ISSN 1725-2555
  doi:10.3000/17252555.L_2011.121.eng |
| --- | --- |
| Official Journal
  of the European Union | L 121 |
| | |
| English edition | Legislation | Volume 5410 May 2011 |

ISSN 1725-2555

doi:10.3000/17252555.L_2011.121.eng

Official Journal

of the European Union

L 121

English edition

Legislation

Volume 5410 May 2011

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| Contents | | II   Non-legislative acts | page |
| --- | --- | --- | --- |
| | | REGULATIONS |
| | * | Council Regulation (EU) No 442/2011 of 9 May 2011 concerning restrictive measures in view of the situation in Syria | 1 |
| | | DECISIONS |
| | * | Council Decision 2011/273/CFSP of 9 May 2011 concerning restrictive measures against Syria | 11 |

Contents

II   Non-legislative acts

page

REGULATIONS

*

Council Regulation (EU) No 442/2011 of 9 May 2011 concerning restrictive measures in view of the situation in Syria

1

DECISIONS

*

Council Decision 2011/273/CFSP of 9 May 2011 concerning restrictive measures against Syria

11

| EN | Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.
  The titles of all other Acts are printed in bold type and preceded by an asterisk. |
| --- | --- |

EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.

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II Non-legislative acts

REGULATIONS

| 10.5.2011 | EN | Official Journal of the European Union | L 121/1 |
| --- | --- | --- | --- |

10.5.2011

EN

Official Journal of the European Union

L 121/1

---

COUNCIL REGULATION (EU) No 442/2011

of 9 May 2011

concerning restrictive measures in view of the situation in Syria

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,

Having regard to Council Decision 2011/273/CFSP of 9 May 2011 concerning restrictive measures against Syria (1), adopted in accordance with Chapter 2 of Title V of the Treaty on European Union,

Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the European Commission,

Whereas:

| (1) | Decision 2011/273/CFSP provides for an arms embargo, a ban on internal repression equipment, and restrictions on the admission to the Union, and the freezing of funds and economic resources, of certain persons and entities responsible for the violent repression against the civilian population in Syria. Those persons, entities and bodies are listed in the Annex to that Decision. |
| --- | --- |

(1)

Decision 2011/273/CFSP provides for an arms embargo, a ban on internal repression equipment, and restrictions on the admission to the Union, and the freezing of funds and economic resources, of certain persons and entities responsible for the violent repression against the civilian population in Syria. Those persons, entities and bodies are listed in the Annex to that Decision.

| (2) | Some of those measures fall within the scope of the Treaty on the Functioning of the European Union and regulatory action at the level of the Union is therefore necessary in order to implement them, in particular with a view to ensuring their uniform application by economic operators in all Member States. |
| --- | --- |

(2)

Some of those measures fall within the scope of the Treaty on the Functioning of the European Union and regulatory action at the level of the Union is therefore necessary in order to implement them, in particular with a view to ensuring their uniform application by economic operators in all Member States.

| (3) | This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and, in particular, the right to an effective remedy and to a fair trial and the right to the protection of personal data. This Regulation should be applied in accordance with those rights. |
| --- | --- |

(3)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union and, in particular, the right to an effective remedy and to a fair trial and the right to the protection of personal data. This Regulation should be applied in accordance with those rights.

| (4) | The power to amend the list in Annex II to this Regulation should be exercised by the Council, in view of the serious political situation in Syria, and to ensure consistency with the process for amending and reviewing the Annex to Decision 2011/273/CFSP. |
| --- | --- |

(4)

The power to amend the list in Annex II to this Regulation should be exercised by the Council, in view of the serious political situation in Syria, and to ensure consistency with the process for amending and reviewing the Annex to Decision 2011/273/CFSP.

| (5) | The procedure for amending the lists in Annex II to this Regulation should include providing designated natural or legal persons, entities or bodies with the grounds for listing, so as to give them an opportunity to submit observations. Where observations are submitted, or substantial new evidence is presented, the Council should review its decision in light of those observations and inform the person, entity or body concerned accordingly. |
| --- | --- |

(5)

The procedure for amending the lists in Annex II to this Regulation should include providing designated natural or legal persons, entities or bodies with the grounds for listing, so as to give them an opportunity to submit observations. Where observations are submitted, or substantial new evidence is presented, the Council should review its decision in light of those observations and inform the person, entity or body concerned accordingly.

| (6) | For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with this Regulation, must be made public.Any processing of personal data should comply with Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (2) and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (3). |
| --- | --- |

(6)

For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with this Regulation, must be made public.Any processing of personal data should comply with Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (2) and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (3).

| (7) | In order to ensure that the measures provided for in this Regulation are effective, this Regulation should enter into force on the day of its publication, |
| --- | --- |

(7)

In order to ensure that the measures provided for in this Regulation are effective, this Regulation should enter into force on the day of its publication,

HAS ADOPTED THIS REGULATION:

Article 1

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

| (a) | ‘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; |
| --- | --- | --- |

(a)

‘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; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(v)

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

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

(vi)

letters of credit, bills of lading, bills of sale;

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

(vii)

documents evidencing an interest in funds or financial resources;

| (b) | ‘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; |
| --- | --- |

(b)

‘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;

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

(c)

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

| (d) | ‘freezing of economic resources’ means preventing their use to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them; |
| --- | --- |

(d)

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

| (e) | ‘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, the transmission of working knowledge or skills or consulting services; including verbal forms of assistance; |
| --- | --- |

(e)

‘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, the transmission of working knowledge or skills or consulting services; including verbal forms of assistance;

| (f) | ‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace. |
| --- | --- |

(f)

‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace.

Article 2

1.   It shall be prohibited:

| (a) | 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 Union, to any person, entity or body in Syria or for use in Syria; |
| --- | --- |

(a)

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 Union, to any person, entity or body in Syria or for use in Syria;

| (b) | to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in point (a). |
| --- | --- |

(b)

to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in point (a).

2.   Paragraph 1 shall not apply to protective clothing, including flak jackets and helmets, temporarily exported to Syria by United Nations (UN) personnel, personnel of the Union or its Member States, representatives of the media or humanitarian and development workers and associated persons exclusively for their personal use.

3.   By way of derogation from paragraph 1, the competent authorities in the Member States as listed in Annex III may authorise the sale, supply, transfer or export of equipment which might be used for internal repression, under such conditions as they deem appropriate, if they determine that such equipment is intended solely for humanitarian or protective use.

Article 3

1.   It shall be prohibited:

| (a) | to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union (4) (Common Military List), or related to the provision, manufacture, maintenance and use of goods included in that list, to any person, entity or body in Syria or for use in Syria; |
| --- | --- |

(a)

to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union (4) (Common Military List), or related to the provision, manufacture, maintenance and use of goods included in that list, to any person, entity or body in Syria or for use in Syria;

| (b) | to provide, directly or indirectly, technical assistance or brokering services related to equipment which might be used for internal repression as listed in Annex I, to any person, entity or body in Syria or for use in Syria; |
| --- | --- |

(b)

to provide, directly or indirectly, technical assistance or brokering services related to equipment which might be used for internal repression as listed in Annex I, to any person, entity or body in Syria or for use in Syria;

| (c) | to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List or in Annex I, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any person, entity or body in Syria or for use in Syria; |
| --- | --- |

(c)

to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List or in Annex I, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any provision of related technical assistance to any person, entity or body in Syria or for use in Syria;

| (d) | to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) to (c). |
| --- | --- |

(d)

to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) to (c).

2.   By way of derogation from paragraph 1, the prohibitions refered to therein shall not apply to the provision of technical assistance, financing and financial assistance related to:

| — | technical assistance intended solely for the support of the United Nations Disengagement Observer Force (UNDOF); |
| --- | --- |

—

technical assistance intended solely for the support of the United Nations Disengagement Observer Force (UNDOF);

| — | non-lethal military equipment, or equipment which might be used for internal repression, intended solely for humanitarian purposes or protective use or for institution building programmes of the UN and the Union, or for Union or UN crisis management operations; or |
| --- | --- |

—

non-lethal military equipment, or equipment which might be used for internal repression, intended solely for humanitarian purposes or protective use or for institution building programmes of the UN and the Union, or for Union or UN crisis management operations; or

| — | non-combat vehicles fitted with materials to provide ballistic protection, intended solely for the protective use of personnel of the Union and its Member States in Syria; |
| --- | --- |

—

non-combat vehicles fitted with materials to provide ballistic protection, intended solely for the protective use of personnel of the Union and its Member States in Syria;

provided that such provision shall first have been approved by the competent authority of a Member State, as identified on the websites listed in Annex III.

Article 4

1.   All funds and economic resources belonging to, owned, held or controlled by the natural or legal persons, entities and bodies listed in Annex II shall be frozen.

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

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

Article 5

1.   Annex II shall consist of a list of natural or legal persons, entities and bodies who, in accordance with Article 4(1) of Decision 2011/273/CFSP, have been identified by the Council as being persons and entities responsible for the violent repression against the civilian population in Syria, and natural or legal persons and entities associated with them.

2.   Annex II shall include the grounds for the listing of listed persons, entities and bodies concerned.

3.   Annex II shall also include, where available, information necessary to identify the natural or legal persons, entities and 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 6

By way of derogation from Article 4, the competent authorities in the Member States, as identified on the websites listed in Annex III, 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 are:

| (a) | necessary to satisfy the basic needs of persons listed in Annex II and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; |
| --- | --- |

(a)

necessary to satisfy the basic needs of persons listed in Annex II and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

| (b) | intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services; |
| --- | --- |

(b)

intended exclusively for the payment of reasonable professional fees or the reimbursement of incurred expenses associated with the provision of legal services;

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

(c)

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

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

(d)

necessary for extraordinary expenses, provided that the relevant competent authority has notified to the competent authorities of the other Member States and to the Commission at least two weeks before the authorisation the grounds on which it considers that a specific authorisation should be granted.

The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this Article.

Article 7

By way of derogation from Article 4, the competent authorities in the Member States, as listed in Annex III, may authorise the release of certain frozen funds or economic resources, if the following conditions are met:

| (a) | the funds or economic resources in question are the subject of a judicial, administrative or arbitral lien established prior to the date on which the person, entity or body referred to in Article 4 was included in Annex II, or of a judicial, administrative or arbitral judgment rendered prior to that date; |
| --- | --- |

(a)

the funds or economic resources in question are the subject of a judicial, administrative or arbitral lien established prior to the date on which the person, entity or body referred to in Article 4 was included in Annex II, or of a judicial, administrative or arbitral judgment rendered prior to that date;

| (b) | the funds or economic resources in question will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims; |
| --- | --- |

(b)

the funds or economic resources in question will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

| (c) | the lien or judgment is not for the benefit of a person, entity or body listed in Annex II; and |
| --- | --- |

(c)

the lien or judgment is not for the benefit of a person, entity or body listed in Annex II; and

| (d) | recognising the lien or judgment is not contrary to public policy in the Member State concerned. |
| --- | --- |

(d)

recognising the lien or judgment is not contrary to public policy in the Member State concerned.

The relevant Member State shall inform the other Member States and the Commission of any authorisation granted under this Article.

Article 8

1.   Article 4(2) shall not apply to the addition to frozen accounts of:

| (a) | interest or other earnings on those accounts; or |
| --- | --- |

(a)

interest or other earnings on those accounts; or

| (b) | payments due under contracts, agreements or obligations that were concluded or arose before the date on which the account became subject to this Regulation, |
| --- | --- |

(b)

payments due under contracts, agreements or obligations that were concluded or arose before the date on which the account became subject to this Regulation,

provided that any such interest, other earnings and payments are frozen in accordance with Article 4(1).

2.   Article 4(2) shall not prevent financial or credit institutions in the Union from crediting frozen accounts where they receive funds transferred to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the relevant competent authority about any such transaction without delay.

Article 9

By way of derogation from Article 4, and provided that a payment by a person, entity or body listed in Annex II is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned before the date on which that person, entity or body had been designated, the competent authorities of the Member States, as indicated on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the payment is not directly or indirectly received by a person or entity referred to in Article 4.

Article 10

1.   The freezing of funds and economic resources or the refusal to make funds or economic resources available, 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 or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

2.   The prohibition set out in Article 4(2) shall not give rise to any liability of any kind on the part of the natural and legal persons, entities and bodies who made funds or economic resources available if they did not know, and had no reasonable cause to suspect, that their actions would infringe the prohibition in question.

Article 11

1.   Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, 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 4, to the competent authority in the Member State where they are resident or located, as indicated on the websites listed in Annex III, and shall transmit such information, either directly or through the Member States, to the Commission; and |
| --- | --- |

(a)

supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 4, to the competent authority in the Member State where they are resident or located, as indicated on the websites listed in Annex III, and shall transmit such information, either directly or through the Member States, to the Commission; and

| (b) | cooperate with that competent authority in any verification of this information. |
| --- | --- |

(b)

cooperate with that competent authority in any verification of this information.

2.   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 12

Member States and the Commission 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 13

The Commission shall be empowered to amend Annex III on the basis of information supplied by Member States.

Article 14

1.   Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 4(1), it shall amend Annex II accordingly.

2.   The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraph 1, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.

3.   Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.

4.   The list in Annex II shall be reviewed at regular intervals and at least every 12 months.

Article 15

1.   Member States shall lay down the rules on penalties applicable to infringements of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive.

2.   Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 16

Where there is, in this Regulation, a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex III.

Article 17

This Regulation shall apply:

| (a) | within the territory of the Union, including its airspace; |
| --- | --- |

(a)

within the territory of the Union, including its airspace;

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

(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 Union who is a national of a Member State; |
| --- | --- |

(c)

to any person inside or outside the territory of the Union who is a national of a Member State;

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

(d)

to any legal person, entity or body which is incorporated or constituted under the law of a Member State;

| (e) | to any legal person, entity or body in respect of any business done in whole or in part within the Union. |
| --- | --- |

(e)

to any legal person, entity or body in respect of any business done in whole or in part within the Union.

Article 18

This Regulation shall enter into force on the day 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, 9 May 2011.

For the Council

The President

MARTONYI J.

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(1)  
  OJ L 121, 10.5.2011, p. 11.

1

(2)  
  OJ L 8, 12.1.2001, p. 1.

2

(3)  
  OJ L 281, 23.11.1995, p. 31.

3

(4)  
  OJ C 86, 18.3.2011, p. 1.

4

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ANNEX I

List of equipment which might be used for internal repression as referred to in Article 2 and Article 3

| 1. | Firearms, ammunition and related accessories therefor, as follows:






  1.1 | Firearms not controlled by ML 1 and ML 2 of the Common Military List of the European Union (1) (Common Military List); |
| --- | --- | --- |

1.

Firearms, ammunition and related accessories therefor, as follows:

1.1

Firearms not controlled by ML 1 and ML 2 of the Common Military List of the European Union (1) (Common Military List);

| 1.2 | Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor; |
| --- | --- |

1.2

Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor;

| 1.3 | Weapon-sights not controlled by the Common Military List. |
| --- | --- |

1.3

Weapon-sights not controlled by the Common Military List.

| 2. | Bombs and grenades not controlled by the Common Military List. |
| --- | --- |

2.

Bombs and grenades not controlled by the Common Military List.

| 3. | Vehicles as follows:






  3.1 | Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control; |
| --- | --- | --- |

3.

Vehicles as follows:

3.1

Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

| 3.2 | Vehicles specially designed or modified to be electrified to repel borders; |
| --- | --- |

3.2

Vehicles specially designed or modified to be electrified to repel borders;

| 3.3 | Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection; |
| --- | --- |

3.3

Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

| 3.4 | Vehicles specially designed for the transport or transfer of prisoners and/or detainees; |
| --- | --- |

3.4

Vehicles specially designed for the transport or transfer of prisoners and/or detainees;

| 3.5 | Vehicles specially designed to deploy mobile barriers; |
| --- | --- |

3.5

Vehicles specially designed to deploy mobile barriers;

| 3.6 | Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.

  Note 1: This item does not control vehicles specially designed for the purposes of fire-fighting.


  Note 2: For the purposes of item 3.5 the term ‘vehicles’ includes trailers. |
| --- | --- |

3.6

Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.

Note 1: This item does not control vehicles specially designed for the purposes of fire-fighting.

Note 2: For the purposes of item 3.5 the term ‘vehicles’ includes trailers.

| 4. | Explosive substances and related equipment as follows:






  4.1 | Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of fire sprinkler actuators); |
| --- | --- | --- |

4.

Explosive substances and related equipment as follows:

4.1

Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge arresters of fire sprinkler actuators);

| 4.2 | Linear cutting explosive charges not controlled by the Common Military List; |
| --- | --- |

4.2

Linear cutting explosive charges not controlled by the Common Military List;

| 4.3 | Other explosives not controlled by the Common Military List and related substances as follows:






  (a) | amatol; |
| --- | --- | --- |

4.3

Other explosives not controlled by the Common Military List and related substances as follows:

(a)

amatol;

| (b) | nitrocellulose (containing more than 12,5 % nitrogen); |
| --- | --- |

(b)

nitrocellulose (containing more than 12,5 % nitrogen);

| (c) | nitroglycol; |
| --- | --- |

(c)

nitroglycol;

| (d) | pentaerythritol tetranitrate (PETN); |
| --- | --- |

(d)

pentaerythritol tetranitrate (PETN);

| (e) | picryl chloride; |
| --- | --- |

(e)

picryl chloride;

| (f) | 2,4,6-trinitrotoluene (TNT). |
| --- | --- |

(f)

2,4,6-trinitrotoluene (TNT).

| 5. | Protective equipment not controlled by ML 13 of the Common Military List as follows:






  5.1 | Body armour providing ballistic and/or stabbing protection; |
| --- | --- | --- |

5.

Protective equipment not controlled by ML 13 of the Common Military List as follows:

5.1

Body armour providing ballistic and/or stabbing protection;

| 5.2 | Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

  Note:
  This item does not control:







  — | equipment specially designed for sports activities; |
| --- | --- | --- |

5.2

Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

Note:
  This item does not control:

—

equipment specially designed for sports activities;

| — | equipment specially designed for safety of work requirements. |
| --- | --- |

—

equipment specially designed for safety of work requirements.

| 6. | Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor. |
| --- | --- |

6.

Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor.

| 7. | Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common Military List. |
| --- | --- |

7.

Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common Military List.

| 8. | Razor barbed wire. |
| --- | --- |

8.

Razor barbed wire.

| 9. | Military knives, combat knives and bayonets with blade lengths in excess of 10 cm. |
| --- | --- |

9.

Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.

| 10. | Production equipment specially designed for the items specified in this list. |
| --- | --- |

10.

Production equipment specially designed for the items specified in this list.

| 11. | Specific technology for the development, production or use of the items specified in this list. |
| --- | --- |

11.

Specific technology for the development, production or use of the items specified in this list.

---

(1)  
  OJ C 86, 18.3.2011, p. 1.

---

ANNEX II

List of natural and legal persons, entities or bodies referred to in Article 4

Persons

| | Name | Identifying information | Reasons | Date of listing |
| --- | --- | --- | --- | --- |
| 1. | Maher Al-Assad | Born on 8 December 1967; diplomatic passport No. 4138 | Commander of the army's 4th Division, member of Baath Party Central Command, strongman of the Republican Guard; principal overseer of violence against demonstrators. | 09.05.2011 |
| 2. | Ali Mamlouk | Born on 19 February 1946 in Damascus; diplomatic passport No. 983 | Head of General Intelligence Service; Head of Syrian Intelligence since 2005; involved in violence against demonstrators. | 09.05.2011 |
| 3. | Mohammad Ibrahim Al-Chaar | | Minister for the Interior in the government; involved in violence against demonstrators. | 09.05.2011 |
| 4. | Atef Najib | | Former Head of Political Security in Deraa; involved in violence against demonstrators. | 09.05.2011 |
| 5. | Hafez Makhlouf | Born on 2 April 1971 in Damascus; diplomatic passport No. 2246 | Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch; close to Maher al-Assad; involved in violence against demonstrators. | 09.05.2011 |
| 6. | Mohammed Dib Zeitoun | | Head of Political Security; involved in violence against demonstrators. | 09.05.2011 |
| 7. | Amjad Al-Abbas | | Head of Political Security in Banias, involved in violence against demonstrators in Baida. | 09.05.2011 |
| 8. | Rami Makhlouf | Born on 10 July 1969 in Damascus, passport No. 454224 | Syrian businessman. Associate of Maher al-Assad; bankrolls the regime allowing violence against demonstrators. | 09.05.2011 |
| 9. | Abd Al-Fatah Qudsiyah | | Head of Syrian Military Intelligence and as such involved in the repression against the civilian population. | 09.05.2011 |
| 10. | Jamil Hassan | | Head of Syrian Air Force Intelligence and as such involved in the repression against the civilian population. | 09.05.2011 |
| 11. | Rustum Ghazali | | Head of Syrian Military Intelligence, Damascus Countryside Branch and as such involved in the repression against the civilian population. | 09.05.2011 |
| 12. | Fawwaz Al-Assad | | Involved in the repression against the civilian population as part of the Shabiha militia. | 09.05.2011 |
| 13. | Mundir Al-Assad | | Involved in the repression against the civilian population as part of the Shabiha militia. | 09.05.2011 |

Name

Identifying information

Reasons

Date of listing

1.

Maher Al-Assad

Born on 8 December 1967; diplomatic passport No. 4138

Commander of the army's 4th Division, member of Baath Party Central Command, strongman of the Republican Guard; principal overseer of violence against demonstrators.

09.05.2011

2.

Ali Mamlouk

Born on 19 February 1946 in Damascus; diplomatic passport No. 983

Head of General Intelligence Service; Head of Syrian Intelligence since 2005; involved in violence against demonstrators.

09.05.2011

3.

Mohammad Ibrahim Al-Chaar

Minister for the Interior in the government; involved in violence against demonstrators.

09.05.2011

4.

Atef Najib

Former Head of Political Security in Deraa; involved in violence against demonstrators.

09.05.2011

5.

Hafez Makhlouf

Born on 2 April 1971 in Damascus; diplomatic passport No. 2246

Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch; close to Maher al-Assad; involved in violence against demonstrators.

09.05.2011

6.

Mohammed Dib Zeitoun

Head of Political Security; involved in violence against demonstrators.

09.05.2011

7.

Amjad Al-Abbas

Head of Political Security in Banias, involved in violence against demonstrators in Baida.

09.05.2011

8.

Rami Makhlouf

Born on 10 July 1969 in Damascus, passport No. 454224

Syrian businessman. Associate of Maher al-Assad; bankrolls the regime allowing violence against demonstrators.

09.05.2011

9.

Abd Al-Fatah Qudsiyah

Head of Syrian Military Intelligence and as such involved in the repression against the civilian population.

09.05.2011

10.

Jamil Hassan

Head of Syrian Air Force Intelligence and as such involved in the repression against the civilian population.

09.05.2011

11.

Rustum Ghazali

Head of Syrian Military Intelligence, Damascus Countryside Branch and as such involved in the repression against the civilian population.

09.05.2011

12.

Fawwaz Al-Assad

Involved in the repression against the civilian population as part of the Shabiha militia.

09.05.2011

13.

Mundir Al-Assad

Involved in the repression against the civilian population as part of the Shabiha militia.

09.05.2011

---

ANNEX III

List of competent authorities in the Member States referred to in Articles 3(2), 6, 7, 8, 9, 11(1) and 13(4) and address for notifications to the European Commission

A.   Competent authorities in each Member State:

| | BELGIUM
  http://www.diplomatie.be/eusanctions |
| --- | --- |

BELGIUM

http://www.diplomatie.be/eusanctions

| | BULGARIA
  http://www.mfa.bg/en/pages/view/5519 |
| --- | --- |

BULGARIA

http://www.mfa.bg/en/pages/view/5519

| | CZECH REPUBLIC
  http://www.mfcr.cz/mezinarodnisankce |
| --- | --- |

CZECH REPUBLIC

http://www.mfcr.cz/mezinarodnisankce

| | DENMARK
  http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/ |
| --- | --- |

DENMARK

http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/

| | GERMANY
  http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html |
| --- | --- |

GERMANY

http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html

| | ESTONIA
  http://www.vm.ee/est/kat_622/ |
| --- | --- |

ESTONIA

http://www.vm.ee/est/kat_622/

| | IRELAND
  http://www.dfa.ie/home/index.aspx?id=28519 |
| --- | --- |

IRELAND

http://www.dfa.ie/home/index.aspx?id=28519

| | GREECE
  http://www.mfa.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/Global+Issues/International+Sanctions/ |
| --- | --- |

GREECE

http://www.mfa.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/Global+Issues/International+Sanctions/

| | SPAIN
  http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx |
| --- | --- |

SPAIN

http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx

| | FRANCE
  http://www.diplomatie.gouv.fr/autorites-sanctions/ |
| --- | --- |

FRANCE

http://www.diplomatie.gouv.fr/autorites-sanctions/

| | ITALY
  http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm |
| --- | --- |

ITALY

http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm

| | CYPRUS
  http://www.mfa.gov.cy/sanctions |
| --- | --- |

CYPRUS

http://www.mfa.gov.cy/sanctions

| | LATVIA
  http://www.mfa.gov.lv/en/security/4539 |
| --- | --- |

LATVIA

http://www.mfa.gov.lv/en/security/4539

| | LITHUANIA
  http://www.urm.lt |
| --- | --- |

LITHUANIA

http://www.urm.lt

| | LUXEMBOURG
  http://www.mae.lu/sanctions |
| --- | --- |

LUXEMBOURG

http://www.mae.lu/sanctions

| | HUNGARY
  http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/ |
| --- | --- |

HUNGARY

http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/

| | MALTA
  http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp |
| --- | --- |

MALTA

http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp

| | NETHERLANDS
  http://www.minbuza.nl/sancties |
| --- | --- |

NETHERLANDS

http://www.minbuza.nl/sancties

| | AUSTRIA
  http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version= |
| --- | --- |

AUSTRIA

http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=

| | POLAND
  http://www.msz.gov.pl |
| --- | --- |

POLAND

http://www.msz.gov.pl

| | PORTUGAL
  http://www.min-nestrangeiros.pt |
| --- | --- |

PORTUGAL

http://www.min-nestrangeiros.pt

| | ROMANIA
  http://www.mae.ro/node/1548 |
| --- | --- |

ROMANIA

http://www.mae.ro/node/1548

| | SLOVENIA
  http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/ |
| --- | --- |

SLOVENIA

http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/

| | SLOVAKIA
  http://www.foreign.gov.sk |
| --- | --- |

SLOVAKIA

http://www.foreign.gov.sk

| | FINLAND
  http://formin.finland.fi/kvyhteistyo/pakotteet |
| --- | --- |

FINLAND

http://formin.finland.fi/kvyhteistyo/pakotteet

| | SWEDEN
  http://www.ud.se/sanktioner |
| --- | --- |

SWEDEN

http://www.ud.se/sanktioner

| | UNITED KINGDOM
  www.fco.gov.uk/competentauthorities |
| --- | --- |

UNITED KINGDOM

www.fco.gov.uk/competentauthorities

B.   Address for notifications to or other communication with the European Commission:

| European Commission |
| --- |
| Service for Foreign Policy Instruments |
| CHAR 12/096 |
| B-1049 Bruxelles/Brussel |
| Belgium |
| E-mail: relex-sanctions@ec.europa.eu |
| Tel.: +(32 2) 295 66 73 |

European Commission

Service for Foreign Policy Instruments

CHAR 12/096

B-1049 Bruxelles/Brussel

Belgium

E-mail: relex-sanctions@ec.europa.eu

Tel.: +(32 2) 295 66 73

---

DECISIONS

| 10.5.2011 | EN | Official Journal of the European Union | L 121/11 |
| --- | --- | --- | --- |

10.5.2011

EN

Official Journal of the European Union

L 121/11

---

COUNCIL DECISION 2011/273/CFSP

of 9 May 2011

concerning restrictive measures against Syria

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on European Union, and in particular Article 29 thereof,

Whereas:

| (1) | On 29 April 2011, the European Union expressed its grave concern about the situation unfolding in Syria and the deployment of military and security forces in a number of Syrian cities. |
| --- | --- |

(1)

On 29 April 2011, the European Union expressed its grave concern about the situation unfolding in Syria and the deployment of military and security forces in a number of Syrian cities.

| (2) | The Union strongly condemned the violent repression, including through the use of live ammunition, of peaceful protest in various locations across Syria resulting in the death of several demonstrators, wounded persons and arbitrary detentions, and called on the Syrian security forces to exercise restraint instead of repression. |
| --- | --- |

(2)

The Union strongly condemned the violent repression, including through the use of live ammunition, of peaceful protest in various locations across Syria resulting in the death of several demonstrators, wounded persons and arbitrary detentions, and called on the Syrian security forces to exercise restraint instead of repression.

| (3) | In view of the seriousness of the situation, restrictive measures should be imposed against Syria and against persons responsible for the violent repression against the civilian population in Syria. |
| --- | --- |

(3)

In view of the seriousness of the situation, restrictive measures should be imposed against Syria and against persons responsible for the violent repression against the civilian population in Syria.

| (4) | Further action by the Union is needed in order to implement certain measures, |
| --- | --- |

(4)

Further action by the Union is needed in order to implement certain measures,

HAS ADOPTED THIS DECISION:

Article 1

1.   The sale, supply, transfer or export of arms and related matériel of all types, including weapons and ammunition, military vehicles and equipment, paramilitary equipment and spare parts for the aforementioned, as well as equipment which might be used for internal repression, to Syria by nationals of Member States or from the territories of Member States or using their flag vessels or aircraft, shall be prohibited, whether originating or not in their territories.

2.   It shall be prohibited to:

| (a) | provide, directly or indirectly, technical assistance, brokering services or other services related to the items referred to in paragraph 1 or related to the provision, manufacture, maintenance and use of such items, to any natural or legal person, entity or body in, or for use in, Syria; |
| --- | --- |

(a)

provide, directly or indirectly, technical assistance, brokering services or other services related to the items referred to in paragraph 1 or related to the provision, manufacture, maintenance and use of such items, to any natural or legal person, entity or body in, or for use in, Syria;

| (b) | provide, directly or indirectly, financing or financial assistance related to the items referred to in paragraph 1, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for the provision of related technical assistance, brokering services or other services to any natural or legal person, entity or body in, or for use in, Syria; |
| --- | --- |

(b)

provide, directly or indirectly, financing or financial assistance related to the items referred to in paragraph 1, including in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for the provision of related technical assistance, brokering services or other services to any natural or legal person, entity or body in, or for use in, Syria;

| (c) | participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) or (b). |
| --- | --- |

(c)

participate, knowingly and intentionally, in activities, the object or effect of which is to circumvent the prohibitions referred to in points (a) or (b).

Article 2

1.   Article 1 shall not apply to:

| (a) | supplies and technical assistance intended solely for the support of or use by the United Nations Disengagement Observer Force (UNDOF); |
| --- | --- |

(a)

supplies and technical assistance intended solely for the support of or use by the United Nations Disengagement Observer Force (UNDOF);

| (b) | the sale, supply, transfer or export of non-lethal military equipment or of equipment which might be used for internal repression, intended solely for humanitarian or protective use, or for institution building programmes of the United Nations (UN) and the European Union, or for European Union and UN crisis management operations; |
| --- | --- |

(b)

the sale, supply, transfer or export of non-lethal military equipment or of equipment which might be used for internal repression, intended solely for humanitarian or protective use, or for institution building programmes of the United Nations (UN) and the European Union, or for European Union and UN crisis management operations;

| (c) | the sale, supply, transfer or export of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection, intended solely for the protective use of personnel of the European Union and its Member States in Syria; |
| --- | --- |

(c)

the sale, supply, transfer or export of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection, intended solely for the protective use of personnel of the European Union and its Member States in Syria;

| (d) | the provision of technical assistance, brokering services and other services related to such equipment or to such programmes and operations; |
| --- | --- |

(d)

the provision of technical assistance, brokering services and other services related to such equipment or to such programmes and operations;

| (e) | the provision of financing and financial assistance related to such equipment or to such programmes and operations; |
| --- | --- |

(e)

the provision of financing and financial assistance related to such equipment or to such programmes and operations;

on condition that such exports and assistance have been approved in advance by the relevant competent authority.

2.   Article 1 shall not apply to protective clothing, including flak jackets and military helmets, temporarily exported to Syria by UN personnel, personnel of the European Union or its Member States, representatives of the media and humanitarian and development workers and associated personnel for their personal use only.

Article 3

1.   Member States shall take the necessary measures to prevent the entry into, or transit through, their territories of the persons responsible for the violent repression against the civilian population in Syria, and persons associated with them, as listed in the Annex.

2.   Paragraph 1 shall not oblige a Member State to refuse its own nationals entry into its territory.

3.   Paragraph 1 shall be without prejudice to the cases where a Member State is bound by an obligation of international law, namely:

| (a) | as a host country to an international intergovernmental organisation; |
| --- | --- |

(a)

as a host country to an international intergovernmental organisation;

| (b) | as a host country to an international conference convened by, or under the auspices of, the UN; |
| --- | --- |

(b)

as a host country to an international conference convened by, or under the auspices of, the UN;

| (c) | under a multilateral agreement conferring privileges and immunities; or |
| --- | --- |

(c)

under a multilateral agreement conferring privileges and immunities; or

| (d) | under the 1929 Treaty of Conciliation (Lateran pact) concluded by the Holy See (State of the Vatican City) and Italy. |
| --- | --- |

(d)

under the 1929 Treaty of Conciliation (Lateran pact) concluded by the Holy See (State of the Vatican City) and Italy.

4.   Paragraph 3 shall be considered as also applying in cases where a Member State is host country to the Organisation for Security and Cooperation in Europe (OSCE).

5.   The Council shall be duly informed in all cases where a Member State grants an exemption pursuant to paragraphs 3 or 4.

6.   Member States may grant exemptions from the measures imposed under paragraph 1 where travel is justified on the grounds of urgent humanitarian need, or on grounds of attending intergovernmental meetings, including those promoted by the Union, or hosted by a Member State holding the Chairmanship in office of the OSCE, where a political dialogue is conducted that directly promotes democracy, human rights and the rule of law in Syria.

7.   A Member State wishing to grant exemptions referred to in paragraph 6 shall notify the Council in writing. The exemption shall be deemed to be granted unless one or more of the Council members raises an objection in writing within two working days of receiving notification of the proposed exemption. Should one or more of the Council members raise an objection, the Council, acting by a qualified majority, may decide to grant the proposed exemption.

8.   In cases where pursuant to paragraphs 3, 4, 6 and 7, a Member State authorises the entry into, or transit through, its territory of persons listed in the Annex, the authorisation shall be limited to the purpose for which it is given and to the persons concerned therewith.

Article 4

1.   All funds and economic resources belonging to, owned, held or controlled by persons responsible for the violent repression against the civilian population in Syria, and natural or legal persons, and entities associated with them, as listed in the Annex, 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 or entities listed in the Annex.

3.   The competent authority of a Member State 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 it deems appropriate, after having determined that the funds or economic resources concerned are:

| (a) | necessary to satisfy the basic needs of the persons listed in the Annex and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges; |
| --- | --- |

(a)

necessary to satisfy the basic needs of the persons listed in the Annex and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

| (b) | intended exclusively for the payment of reasonable professional fees and the reimbursement of incurred expenses associated with the provision of legal services; |
| --- | --- |

(b)

intended exclusively for the payment of reasonable professional fees and the reimbursement of incurred expenses associated with the provision of legal services;

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

(c)

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

| (d) | necessary for extraordinary expenses, provided that the competent authority has notified the competent authority 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. |
| --- | --- |

(d)

necessary for extraordinary expenses, provided that the competent authority has notified the competent authority 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.

A Member State shall inform the other Member States and the Commission of any authorisation it grants under this paragraph.

4.   By way of derogation from paragraph 1, the competent authorities of a Member State may authorise the release of certain frozen funds or economic resources, provided that the following conditions are met:

| (a) | the funds or economic resources are the subject of a judicial, administrative or arbitral lien established prior to the date on which the natural or legal person or entity referred to in Article 4(1) was included in the Annex, or of a judicial, administrative or arbitral judgment rendered prior to that date; |
| --- | --- |

(a)

the funds or economic resources are the subject of a judicial, administrative or arbitral lien established prior to the date on which the natural or legal person or entity referred to in Article 4(1) was included in the Annex, or of a judicial, administrative or arbitral judgment rendered prior to that date;

| (b) | the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims; |
| --- | --- |

(b)

the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

| (c) | the lien or judgment is not for the benefit of a natural or legal person or entity listed in the Annex; and |
| --- | --- |

(c)

the lien or judgment is not for the benefit of a natural or legal person or entity listed in the Annex; and

| (d) | recognising the lien or judgement is not contrary to public policy in the Member State concerned. |
| --- | --- |

(d)

recognising the lien or judgement is not contrary to public policy in the Member State concerned.

A Member State shall inform the other Member States and the Commission of any authorisation granted under this paragraph.

5.   Paragraph 1 shall not prevent a designated person or entity from making a payment due under a contract entered into before the listing of such a person or entity, provided that the relevant Member State has determined that the payment is not directly or indirectly received by a person or entity referred to in paragraph 1.

6.   Paragraph 2 shall not apply to the addition to frozen accounts of:

| (a) | interest or other earnings on those accounts; or |
| --- | --- |

(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 this Decision, |
| --- | --- |

(b)

payments due under contracts, agreements or obligations that were concluded or arose prior to the date on which those accounts became subject to this Decision,

provided that any such interest, other earnings and payments remain subject to paragraph 1.

Article 5

1.   The Council, acting upon a proposal by a Member State or the High Representative of the Union for Foreign Affairs and Security Policy, shall establish and amend the list in the Annex.

2.   The Council shall communicate its decision, including the grounds for listing, to the person or entity concerned, either directly, if the address is known, or through the publication of a notice, providing such person or entity with an opportunity to present observations.

3.   Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the person or entity concerned accordingly.

Article 6

1.   The Annex shall include the grounds for listing the persons and entities concerned.

2.   The Annex shall also contain, where available, the information necessary to identify the persons or entities concerned. With regard to persons, such information may include names, including aliases, date and place of birth, nationality, passport and identity card numbers, gender, address if known, and function or profession. With regard to entities, such information may include names, place and date of registration, registration number and place of business.

Article 7

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 contained in this Decision.

Article 8

This Decision shall apply for a period of 12 months. It shall be kept under constant review. It shall be renewed, or amended as appropriate, if the Council deems that its objectives have not been met.

Article 9

This Decision shall enter into force on the date of its adoption.

Done at Brussels, 9 May 2011.

For the Council

The President

MARTONYI J.

---

ANNEX

List of persons and entities referred to in Articles 3 and 4

Persons

| | Name | Identifying information | Reasons | Date of listing |
| --- | --- | --- | --- | --- |
| 1. | Maher Al-Assad | Born on 8 December 1967; diplomatic passport No 4138 | Commander of the army's 4th Division, member of Baath Party Central Command, strongman of the Republican Guard; principal overseer of violence against demonstrators. | 09.05.2011 |
| 2. | Ali Mamlouk | Born on 19 February 1946 in Damascus; diplomatic passport No 983 | Head of General Intelligence Service; Head of Syrian Intelligence since 2005; involved in violence against demonstrators. | 09.05.2011 |
| 3. | Mohammad Ibrahim Al-Chaar | | Minister for the Interior in the government; involved in violence against demonstrators. | 09.05.2011 |
| 4. | Atef Najib | | Former Head of Political Security in Deraa; involved in violence against demonstrators. | 09.05.2011 |
| 5. | Hafez Makhlouf | Born on 2 April 1971 in Damascus; diplomatic passport No 2246 | Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch; close to Maher al-Assad; involved in violence against demonstrators. | 09.05.2011 |
| 6. | Mohammed Dib Zeitoun | | Head of Political Security; involved in violence against demonstrators. | 09.05.2011 |
| 7. | Amjad Al-Abbas | | Head of Political Security in Banias, involved in violence against demonstrators in Baida. | 09.05.2011 |
| 8. | Rami Makhlouf | Born on 10 July 1969 in Damascus, passport No 454224 | Syrian businessman. Associate of Maher al-Assad; bankrolls the regime allowing violence against demonstrators. | 09.05.2011 |
| 9. | Abd Al-Fatah Qudsiyah | | Head of Syrian Military Intelligence and as such involved in the repression against the civilian population. | 09.05.2011 |
| 10. | Jamil Hassan | | Head of Syrian Air Force Intelligence and as such involved in the repression against the civilian population. | 09.05.2011 |
| 11. | Rustum Ghazali | | Head of Syrian Military Intelligence, Damascus Countryside Branch and as such involved in the repression against the civilian population. | 09.05.2011 |
| 12. | Fawwaz Al-Assad | | Involved in the repression against the civilian population as part of the Shabiha militia. | 09.05.2011 |
| 13. | Mundir Al-Assad | | Involved in the repression against the civilian population as part of the Shabiha militia. | 09.05.2011 |

Name

Identifying information

Reasons

Date of listing

1.

Maher Al-Assad

Born on 8 December 1967; diplomatic passport No 4138

Commander of the army's 4th Division, member of Baath Party Central Command, strongman of the Republican Guard; principal overseer of violence against demonstrators.

09.05.2011

2.

Ali Mamlouk

Born on 19 February 1946 in Damascus; diplomatic passport No 983

Head of General Intelligence Service; Head of Syrian Intelligence since 2005; involved in violence against demonstrators.

09.05.2011

3.

Mohammad Ibrahim Al-Chaar

Minister for the Interior in the government; involved in violence against demonstrators.

09.05.2011

4.

Atef Najib

Former Head of Political Security in Deraa; involved in violence against demonstrators.

09.05.2011

5.

Hafez Makhlouf

Born on 2 April 1971 in Damascus; diplomatic passport No 2246

Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch; close to Maher al-Assad; involved in violence against demonstrators.

09.05.2011

6.

Mohammed Dib Zeitoun

Head of Political Security; involved in violence against demonstrators.

09.05.2011

7.

Amjad Al-Abbas

Head of Political Security in Banias, involved in violence against demonstrators in Baida.

09.05.2011

8.

Rami Makhlouf

Born on 10 July 1969 in Damascus, passport No 454224

Syrian businessman. Associate of Maher al-Assad; bankrolls the regime allowing violence against demonstrators.

09.05.2011

9.

Abd Al-Fatah Qudsiyah

Head of Syrian Military Intelligence and as such involved in the repression against the civilian population.

09.05.2011

10.

Jamil Hassan

Head of Syrian Air Force Intelligence and as such involved in the repression against the civilian population.

09.05.2011

11.

Rustum Ghazali

Head of Syrian Military Intelligence, Damascus Countryside Branch and as such involved in the repression against the civilian population.

09.05.2011

12.

Fawwaz Al-Assad

Involved in the repression against the civilian population as part of the Shabiha militia.

09.05.2011

13.

Mundir Al-Assad

Involved in the repression against the civilian population as part of the Shabiha militia.

09.05.2011

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