2011D0273 — EN — 23.09.2011 — 005.001

This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents

►B COUNCIL DECISION 2011/273/CFSP of 9 May 2011 concerning restrictive measures against Syria (OJ L 121, 10.5.2011, p.11)

Amended by:





Corrected by:









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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. (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. (4) Further action by the Union is needed in order to implement certain measures, Whereas: 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;

(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).

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);

(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;

(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;

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.

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Article 2a

1. The purchase, import or transport from Syria of crude oil and petroleum products shall be prohibited.

2. It shall be prohibited to provide, directly or indirectly, financing or financial assistance, including financial derivatives, as well as insurance and reinsurance, related to the prohibitions referred to in paragraph 1.

3. It shall be prohibited to participate, knowingly or intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in paragraphs 1 and 2.

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Article 2b

The following shall be prohibited:

(a) the granting of any financial loan or credit to enterprises in Syria that are engaged in the Syrian oil industry sectors of exploration, production or refining, or to Syrian or Syrian-owned enterprises engaged in those sectors outside Syria;

(b) the acquisition or extension of a participation in enterprises in Syria that are engaged in the Syrian oil industry sectors of exploration, production or refining, or in Syrian or Syrian-owned enterprises engaged in those sectors outside Syria, including the acquisition in full of such enterprises and the acquisition of shares or securities of a participating nature;

(c) the creation of any joint venture with enterprises in Syria that are engaged in the Syrian oil industry sectors of exploration, production or refining and with any subsidiary or affiliate under their control.

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Article 2c

1. The prohibitions in Article 2a shall be without prejudice to the execution, until 15 November 2011, of obligations provided for in contracts concluded before 2 September 2011.

2. The prohibitions in Article 2b(a) and (b) respectively:

(i) shall be without prejudice to the execution of an obligation arising from contracts or agreements concluded before 23 September 2011;

(ii) shall not prevent the extension of a participation, if such extension is an obligation under an agreement concluded before 23 September 2011.

Article 2d

The delivery of Syrian denominated banknotes and coinage to the Central Bank of Syria shall be prohibited.

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Article 3

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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, persons benefiting from or supporting the regime, and persons associated with them, as listed in the Annex.

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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;

(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

(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

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1. All funds and economic resources belonging to, or owned, held or controlled by, persons responsible for the violent repression against the civilian population in Syria, persons and entities benefiting from or supporting the regime, and persons and entities associated with them, as listed in the Annex, shall be frozen.

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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;

(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

(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;

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(e) necessary for humanitarian purposes, such as delivering or facilitating the delivery of assistance, including medical supplies, food, humanitarian workers and related assistance, or evacuations from Syria;

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(f) to be paid into or from an account of a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, in so far as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation.

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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;

(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

(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

(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.

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Article 4a

No claims, including for compensation or any other claim of this kind, such as a claim of set-off or a claim under a guarantee, in connection with any contract or transaction the performance of which was affected, directly or indirectly, wholly or in part, by reason of measures covered by this Decision, shall be granted to the designated persons or entities listed in the Annex, or any other person or entity in Syria, including the Government of Syria, or any person or entity claiming through or for the benefit of any such person or entity.

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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.

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ANNEX

LIST OF PERSONS AND ENTITIES REFERRED TO IN ARTICLES 3 AND 4







A. Persons Name Identifying information Reasons Date of listing 1. Bashar Al-Assad Born on 11 September 1965 in Damascus; diplomatic passport No D1903 President of the Republic; person authorising and supervising the crackdown on demonstrators. 23.05.2011 2. Maher (a.k.a. Mahir) Al-Assad Born on 8 December 1967; diplomatic passport No 4138 Commander of the Army’s 4th Armoured Division, member of Baath Party Central Command, strongman of the Republican Guard; brother of President Bashar Al-Assad; principal overseer of violence against demonstrators. 09.05.2011 3. Ali Mamluk (a.k.a. Mamlouk) Born on 19 February 1946 in Damascus; diplomatic passport No 983 Head of Syrian General Intelligence Directorate (GID); involved in violence against demonstrators. 09.05.2011 4. Muhammad Ibrahim Al-Sha’ar (a.k.a. Mohammad Ibrahim Al-Chaar) Minister of Interior; involved in violence against demonstrators. 09.05.2011 5. Atej (a.k.a Atef, Atif) Najib Former Head of the Political Security Directorate in Deraa; cousin of President Bashar Al-Assad; involved in violence against demonstrators. 09.05.2011 6. Hafiz Makhluf (a.k.a. Hafez Makhlouf) Born on 2 April 1971 in Damascus; diplomatic passport No 2246 Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch; cousin of President Bashar Al-Assad; close to Maher Al-Assad; involved in violence against demonstrators. 09.05.2011 7. Muhammad Dib Zaytun (a.k.a. Mohammed Dib Zeitoun) Born on 20 May 1951 in Damascus; diplomatic passport No D000001300 Head of Political Security Directorate; involved in violence against demonstrators. 09.05.2011 8. Amjad Al-Abbas Head of Political Security in Banyas, involved in violence against demonstrators in Baida. 09.05.2011 9. Rami Makhlouf Born on 10 July 1969 in Damascus, passport No 454224 Syrian businessman; associate of Maher Al-Assad; cousin of President Bashar Al-Assad; provides funding to the regime allowing violence against demonstrators. 09.05.2011 10. Abd Al-Fatah Qudsiyah Born in 1953 in Hama; diplomatic passport No D0005788 Head of Syrian Military Intelligence (SMI); involved in violence against the civilian population. 09.05.2011 11. Jamil Hassan Head of Syrian Air Force Intelligence; involved in violence against the civilian population. 09.05.2011 12. Rustum Ghazali Born on 3 May 1953 in Dara’a; diplomatic passport No D000000887 Head of Syrian Military Intelligence, Damascus Countryside Branch; involved in violence against the civilian population. 09.05.2011 13. Fawwaz Al-Assad Born on 18 June 1962 in Kerdala; passport No 88238 Involved in violence against the civilian population as part of the Shabiha militia. 09.05.2011 14. Munzir Al-Assad Born on 1 March 1961 in Lattakia; passport No 86449 and No 842781 Involved in violence against the civilian population as part of the Shabiha militia. 09.05.2011 15. Asif Shawkat Born on 15 January 1950 in Al-Madehleh, Tartus Deputy Chief of Staff for Security and Reconnaissance; involved in violence against the civilian population. 23.05.2011 16. Hisham Ikhtiyar Born in 1941 Head of Syrian National Security Bureau; involved in violence against the civilian population. 23.05.2011 17. Faruq Al Shar’ Born on 10 December 1938 Vice-President of Syria; involved in violence against the civilian population. 23.05.2011 18. Muhammad Nasif Khayrbik Born on 10 April 1937 (alt. 20 May 1937) in Hama, diplomatic passport No 0002250 Deputy Vice-President of Syria for National Security Affairs; involved in violence against the civilian population. 23.05.2011 19. Mohamed Hamcho Born on 20 May 1966; passport No 002954347 Brother-in-law of Maher Al-Assad; businessman and local agent for several foreign companies; provides funding to the regime allowing violence against demonstrators. 23.05.2011 20. Iyad (a.k.a. Eyad) Makhlouf Born on 21 January 1973 in Damascus; passport No N001820740 Brother of Rami Makhlouf and GID Officer involved in violence against the civilian population. 23.05.2011 21. Bassam Al Hassan Presidential Advisor for Strategic Affairs; involved in violence against the civilian population. 23.05.2011 22. Dawud Rajiha Chief of Staff of the Armed Forces responsible for the military involvement in violence against peaceful protesters. 23.05.2011 23. Ihab (a.k.a. Ehab, Iehab) Makhlouf Born on 21 January 1973 in Damascus; passport No N002848852 Vice-President of SyriaTel and caretaker for Rami Makhlouf's US company; provides funding to the regime allowing violence against demonstrators. 23.05.2011 ▼M2 24. Zoulhima CHALICHE (Dhu al-Himma SHALISH) Born in 1951 or 1946 in Kerdaha. Head of presidential security; involved in violence against demonstrators; first cousin of President Bashar Al-Assad. 23.6.2011 25. Riyad CHALICHE (Riyad SHALISH) Director of Military Housing Establishment; provides funding to the regime; first cousin of President Bashar Al-Assad. 23.6.2011 26. Brigadier Commander Mohammad Ali JAFARI (a.k.a. JA'FARI, Aziz; a.k.a. JAFARI, Ali; a.k.a. JAFARI, Mohammad Ali; a.k.a. JA'FARI, Mohammad Ali; a.k.a. JAFARI-NAJAFABADI, Mohammad Ali) DOB 1 Sep 1957; POB Yazd, Iran. General Commander of Iranian Revolutionary Guard Corps, involved in providing equipment and support to help the Syria regime suppress protests in Syria. 23.6.2011 27. Major General Qasem SOLEIMANI (a.k.a Qasim SOLEIMANY) Commander of Iranian Revolutionary Guard Corps, IRGC - Qods, involved in providing equipment and support to help the Syria regime suppress protests in Syria. 23.6.2011 28. Hossein TAEB (a.k.a. TAEB, Hassan; a.k.a. TAEB, Hosein; a.k.a. TAEB, Hossein; a.k.a. TAEB, Hussayn; a.k.a. Hojjatoleslam Hossein TA'EB) DOB 1963; POB Tehran, Iran. Deputy Commander for Intelligence of Iranian Revolutionary Guard Corps, involved in providing equipment and support to help the Syria regime suppress protests in Syria. 23.6.2011 29. Khalid QADDUR Business associate of Maher Al-Assad; provides funding to the regime. 23.6.2011 30. Ra'if AL-QUWATLI (a.k.a. Ri'af AL-QUWATLI) Business associate of Maher Al-Assad; provides funding to the regime. 23.6.2011 ▼M3 31. Mr Mohammad Mufleh Head of Syrian Military Intelligence in the town of Hama, involved in the crackdown on demonstrators. 1.8.2011 32. Major General Tawfiq Younes Head of the Department for Internal Security of the General Intelligence Directorate; involved in violence against the civilian population. 1.8.2011 33. Mr Mohammed Makhlouf (a.k.a. Abu Rami) Born in Latakia, Syria, 19.10.1932 Close associate and maternal uncle of Bashar and Mahir al-Assad. Business associate and father of Rami, Ihab and Iyad Makhlouf. 1.8.2011 34. Ayman Jabir Born Latakia Associate of Mahir al-Assad for the Shabiha militia. Directly involved in repression and violence against the civilian population and co-ordination of Shabiha militia groups 1.8.2011 35. General Ali Habib Mahmoud Born Tartous, 1939. Appointed Minister of Defence 3 June 2009 Minister of Defence. Responsible for conduct and operations of Syrian Armed Forces involved in repression and violence against the civilian population 1.8.2011 ▼M4 36. Hayel AL-ASSAD Assistant to Maher Al-Assad, Head of the military police unit of the army's 4th Division, involved in repression. 23.8.2011 37. Ali AL-SALIM Director of the supplies office of the Syrian Ministry of Defence, entry point for all arms acquisitions by the Syrian army. 23.8.2011 38. Nizar AL-ASSAAD Very close to key government officials. Financing Shabiha in the region of Latakia. 23.8.2011 39. Brigadier-General Rafiq SHAHADAH Head of Syrian Military Intelligence (SMI) Branch 293 (Internal Affairs) in Damascus. Directly involved in repression and violence against the civilian population in Damascus. Advisor to President Bashar Al-Assad for strategic questions and military intelligence. 23.8.2011 40. Brigadier-General JAMEA JAMEA (Jami Jami) Branch Chief for Syrian Military Intelligence (SMI) in Dayr az-Zor. Directly involved in repression and violence against the civilian population in Dayr az-Zor and Alboukamal. 23.8.2011 41. Hassan Bin-Ali AL-TURKMANI DOB 1935 in Aleppo Deputy Vice Minister, former Minister for Defence, Special Envoy of President Bashar Al-Assad. 23.8.2011 42. Muhammad Said BUKHAYTAN Assistant Regional Secretary of Baath Arab Socialist Party since 2005, 2000-2005 Director for the national security of the regional Baath party. Former Governor of Hama (1998-2000). Close associate of President Bashar Al-Assad and Maher Al-Assad. Senior decision-maker in the regime on repression of civilian population. 23.8.2011 43. Ali DOUBA Responsible for killings in Hama in 1980, has been called back to Damascus as special advisor to President Bashar Al-Assad. 23.8.2011 44. Brigadier-General Nawful AL-HUSAYN Idlib Syrian Military Intelligence (SMI) Branch Chief. Directly involved in repression and violence against the civilian population in Idlib province. 23.8.2011 45. Brigadier Husam SUKKAR Presidential Adviser on Security Affairs. Presidential Adviser for security agencies’ repression and violence against the civilian population. 23.8.2011 46. Brigadier-General Muhammed ZAMRINI Branch Chief for Syrian Military Intelligence (SMI) in Homs. Directly involved in repression and violence against the civilian population in Homs. 23.8.2011 47. Lieutenant-General Munir ADANOV (ADNUF) Deputy Chief of General Staff, Operations and Training for Syrian Army. Directly involved in repression and violence against the civilian population in Syria. 23.8.2011 48. Brigadier-General Ghassan KHALIL Head of General Intelligence Directorate’s (GID) Information Branch. Directly involved in repression and violence against the civilian population in Syria. 23.8.2011 49. Mohammed JABIR POB Latakia Shabiha militia. Associate of Maher Al-Assad for the Shabiha militia. Directly involved in repression and violence against the civilian population and co-ordination of Shabiha militia groups. 23.8.2011 50. Samir HASSAN Close business associate of Maher Al-Assad. Known for supporting economically the Syrian regime. 23.8.2011 ▼M5 51. Fares CHEHABI (Fares SHIHABI) President of Aleppo Chamber of Industry. Provides economic support for the Syrian regime. 2.09.2011 ▼M6 52. Emad GHRAIWATI DoB: March 1959; PoB: Damascus, Syria President of the Damascus Chamber of Industry (Zuhair Ghraiwati Sons). Provides economic support to the Syrian regime. 2.9.2011 53. Tarif AKHRAS DoB: 1949; PoB: Homs, Syria Founder of the Akhras Group (commodities, trading, processing and logistics), Homs. Provides economic support to the Syrian regime. 2.9.2011 54. Issam ANBOUBA DoB: 1949; PoB: Lattakia, Syria President of Issam Anbouba Est. for agro-industry. Provides economic support to the Syrian regime. 2.9.2011 ▼M6 55. Tayseer Qala Awwad DoB: 1943; PoB Damascus Minister of Justice. Associated with the Syrian regime, including by supporting its policies and practices of arbitrary arrest and detention. 23.09.2011 56. Dr. Adnan Hassan Mahmoud DoB: 1966; PoB Tartous Minister of Information. Associated with the Syrian regime, including by supporting and promoting its information policy. 23.09.2011

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