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Document 228b0d14-125d-11ed-8fa0-01aa75ed71a1

Consolidated text: Council Regulation (EU) No 36/2012 of 18 January 2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011

02012R0036 — EN — 01.06.2022 — 057.001


This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

►B

COUNCIL REGULATION (EU) No 36/2012

of 18 January 2012

concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011

(OJ L 016 19.1.2012, p. 1)

Amended by:

 

 

Official Journal

  No

page

date

 M1

COUNCIL IMPLEMENTING REGULATION (EU) No 55/2012 of 23 January 2012

  L 19

6

24.1.2012

►M2

COUNCIL REGULATION (EU) No 168/2012 of 27 February 2012

  L 54

1

28.2.2012

 M3

COUNCIL IMPLEMENTING REGULATION (EU) No 266/2012 of 23 March 2012

  L 87

45

24.3.2012

 M4

COUNCIL IMPLEMENTING REGULATION (EU) No 410/2012 of 14 May 2012

  L 126

3

15.5.2012

►M5

COUNCIL REGULATION (EU) No 509/2012 of 15 June 2012

  L 156

10

16.6.2012

 M6

COUNCIL IMPLEMENTING REGULATION 2012/544/CFSP of 25 June 2012

  L 165

20

26.6.2012

►M7

COUNCIL REGULATION (EU) No 545/2012 of 25 June 2012

  L 165

23

26.6.2012

 M8

COUNCIL IMPLEMENTING REGULATION (EU) No 673/2012 of 23 July 2012

  L 196

8

24.7.2012

 M9

COUNCIL IMPLEMENTING REGULATION (EU) No 742/2012 of 16 August 2012

  L 219

1

17.8.2012

►M10

COUNCIL REGULATION (EU) No 867/2012 of 24 September 2012

  L 257

1

25.9.2012

 M11

COUNCIL IMPLEMENTING REGULATION (EU) No 944/2012 of 15 October 2012

  L 282

9

16.10.2012

 M12

COUNCIL IMPLEMENTING REGULATION (EU) No 1117/2012 of 29 November 2012

  L 330

9

30.11.2012

►M13

COUNCIL REGULATION (EU) No 325/2013 of 10 April 2013

  L 102

1

11.4.2013

 M14

COUNCIL IMPLEMENTING REGULATION (EU) No 363/2013 of 22 April 2013

  L 111

1

23.4.2013

 M15

COUNCIL REGULATION (EU) No 517/2013 of 13 May 2013

  L 158

1

10.6.2013

►M16

COUNCIL REGULATION (EU) No 697/2013 of 22 July 2013

  L 198

28

23.7.2013

►M17

COUNCIL REGULATION (EU) No 1332/2013 of 13 December 2013

  L 335

3

14.12.2013

►M18

COUNCIL REGULATION (EU) No 124/2014 of 10 February 2014

  L 40

8

11.2.2014

►M19

COUNCIL IMPLEMENTING REGULATION (EU) No 578/2014 of 28 May 2014

  L 160

11

29.5.2014

 M20

COUNCIL IMPLEMENTING REGULATION (EU) No 693/2014 of 23 June 2014

  L 183

15

24.6.2014

 M21

COUNCIL IMPLEMENTING REGULATION (EU) No 793/2014 of 22 July 2014

  L 217

10

23.7.2014

 M22

COUNCIL IMPLEMENTING REGULATION (EU) No 1013/2014 of 26 September 2014

  L 283

9

27.9.2014

►M23

COUNCIL IMPLEMENTING REGULATION (EU) No 1105/2014 of 20 October 2014

  L 301

7

21.10.2014

►M24

COUNCIL REGULATION (EU) No 1323/2014 of 12 December 2014

  L 358

1

13.12.2014

 M25

COUNCIL IMPLEMENTING REGULATION (EU) 2015/108 of 26 January 2015

  L 20

2

27.1.2015

 M26

COUNCIL IMPLEMENTING REGULATION (EU) 2015/375 of 6 March 2015

  L 64

10

7.3.2015

 M27

COUNCIL IMPLEMENTING REGULATION (EU) 2015/780 of 19 May 2015

  L 124

1

20.5.2015

►M28

COUNCIL REGULATION (EU) 2015/827 of 28 May 2015

  L 132

1

29.5.2015

 M29

COUNCIL IMPLEMENTING REGULATION (EU) 2015/828 of 28 May 2015

  L 132

3

29.5.2015

 M30

COUNCIL IMPLEMENTING REGULATION (EU) 2015/961 of 22 June 2015

  L 157

20

23.6.2015

►M31

COUNCIL REGULATION (EU) 2015/1828 of 12 October 2015

  L 266

1

13.10.2015

►M32

COUNCIL IMPLEMENTING REGULATION (EU) 2015/2350 of 16 December 2015

  L 331

1

17.12.2015

 M33

COUNCIL IMPLEMENTING REGULATION (EU) 2016/840 of 27 May 2016

  L 141

30

28.5.2016

►M34

COUNCIL IMPLEMENTING REGULATION (EU) 2016/1735 of 29 September 2016

  L 264

1

30.9.2016

 M35

COUNCIL IMPLEMENTING REGULATION (EU) 2016/1893 of 27 October 2016

  L 293

25

28.10.2016

 M36

COUNCIL IMPLEMENTING REGULATION (EU) 2016/1984 of 14 November 2016

  L 305I

1

14.11.2016

►M37

COUNCIL IMPLEMENTING REGULATION (EU) 2016/1996 of 15 November 2016

  L 308

3

16.11.2016

►M38

COUNCIL REGULATION (EU) 2016/2137 of 6 December 2016

  L 332

3

7.12.2016

 M39

COUNCIL IMPLEMENTING REGULATION (EU) 2017/480 of 20 March 2017

  L 75

12

21.3.2017

 M40

COUNCIL IMPLEMENTING REGULATION (EU) 2017/907 of 29 May 2017

  L 139

15

30.5.2017

►M41

COUNCIL IMPLEMENTING REGULATION (EU) 2017/1241 of 10 July 2017

  L 178

1

11.7.2017

 M42

COUNCIL IMPLEMENTING REGULATION (EU) 2017/1327 of 17 July 2017

  L 185

20

18.7.2017

 M43

COUNCIL IMPLEMENTING REGULATION (EU) 2017/1751 of 25 September 2017

  L 246

1

26.9.2017

 M44

COUNCIL IMPLEMENTING REGULATION (EU) 2018/282 of 26 February 2018

  L 54I

3

26.2.2018

 M45

COUNCIL IMPLEMENTING REGULATION (EU) 2018/420 of 19 March 2018

  L 75I

1

19.3.2018

►M46

COUNCIL IMPLEMENTING REGULATION (EU) 2018/774 of 28 May 2018

  L 131

1

29.5.2018

 M47

COUNCIL IMPLEMENTING REGULATION (EU) 2019/85 of 21 January 2019

  L 18I

4

21.1.2019

 M48

COUNCIL IMPLEMENTING REGULATION (EU) 2019/350 of 4 March 2019

  L 63I

1

4.3.2019

►M49

COUNCIL IMPLEMENTING REGULATION (EU) 2019/798 of 17 May 2019

  L 132

1

20.5.2019

 M50

COMMISSION IMPLEMENTING REGULATION (EU) 2019/1163 of 5 July 2019

  L 182

33

8.7.2019

 M51

COUNCIL IMPLEMENTING REGULATION (EU) 2020/211 of 17 February 2020

  L 43I

1

17.2.2020

►M52

COUNCIL IMPLEMENTING REGULATION (EU) 2020/716 of 28 May 2020

  L 168

1

29.5.2020

►M53

COUNCIL IMPLEMENTING REGULATION (EU) 2020/1505 of 16 October 2020

  L 342I

1

16.10.2020

►M54

COUNCIL IMPLEMENTING REGULATION (EU) 2020/1649 of 6 November 2020

  L 370I

7

6.11.2020

►M55

COUNCIL IMPLEMENTING REGULATION (EU) 2021/29 of 15 January 2021

  L 12I

1

15.1.2021

►M56

COUNCIL IMPLEMENTING REGULATION (EU) 2021/743 of 6 May 2021

  L 160

1

7.5.2021

►M57

COUNCIL IMPLEMENTING REGULATION (EU) 2021/848 of 27 May 2021

  L 188

18

28.5.2021

►M58

COUNCIL IMPLEMENTING REGULATION (EU) 2021/1983 of 15 November 2021

  L 402I

1

15.11.2021

►M59

COUNCIL IMPLEMENTING REGULATION (EU) 2021/2194 of 13 December 2021

  L 445I

7

13.12.2021

►M60

COUNCIL IMPLEMENTING REGULATION (EU) 2022/237 of 21 February 2022

  L 40

6

21.2.2022

►M61

COUNCIL IMPLEMENTING REGULATION (EU) 2022/299 of 24 February 2022

  L 46

1

25.2.2022

►M62

COUNCIL IMPLEMENTING REGULATION (EU) 2022/535 of 4 April 2022

  L 106

1

5.4.2022

►M63

COMMISSION IMPLEMENTING REGULATION (EU) 2022/595 of 11 April 2022

  L 114

60

12.4.2022

►M64

COUNCIL IMPLEMENTING REGULATION (EU) 2022/840 of 30 May 2022

  L 148

8

31.5.2022


Corrected by:

 C1

Corrigendum, OJ L 212, 9.8.2012, p.  20 (673/2012)

 C2

Corrigendum, OJ L 227, 23.8.2012, p.  15 (742/2012)

 C3

Corrigendum, OJ L 123, 4.5.2013, p.  28 (363/2013)

 C4

Corrigendum, OJ L 127, 9.5.2013, p.  27 (363/2013)

 C5

Corrigendum, OJ L 305, 24.10.2014, p.  115 (1105/2014)

 C6

Corrigendum, OJ L 146, 9.6.2017, p.  159 (2017/907)

 C7

Corrigendum, OJ L 167, 4.7.2018, p.  36 (2018/774)

►C8

Corrigendum, OJ L 190, 27.7.2018, p.  20 (36/2012)

 C9

Corrigendum, OJ L 234, 11.9.2019, p.  31 (2019/798)

►C10

Corrigendum, OJ L 129, 15.4.2021, p.  161 (No 509/2012)


The presentation of this consolidated text takes into account judgments of the EU Courts concerning entries in the list of designated persons and entities.




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COUNCIL REGULATION (EU) No 36/2012

of 18 January 2012

concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011



CHAPTER I

DEFINITIONS

Article 1

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

(a) 

‘branch’ of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;

(b) 

‘brokering services’ means:

(i) 

the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology from a third country to any other third country, or

(ii) 

the selling or buying of goods and technology that are located in third countries for their transfer to another third country;

(c) 

‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose ‘contract’ includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

(d) 

‘credit institution’ means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions ( 1 ), including its branches inside or outside the Union;

(e) 

‘crude oil and petroleum products’ means the products listed in Annex IV;

(f) 

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

(g) 

‘financial institution’ means:

(i) 

an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change);

(ii) 

an insurance company duly authorised in accordance with Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance ( 2 ), insofar as it carries out activities covered by that Directive;

(iii) 

an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments ( 3 );

(iv) 

a collective investment undertaking marketing its units or shares; or

(v) 

an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation ( 4 ), with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;

including its branches, whether inside or outside the Union;

(h) 

‘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;

(i) 

‘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;

(j) 

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

(i) 

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

(ii) 

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

(iii) 

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

(iv) 

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

(v) 

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

(vi) 

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

(vii) 

documents evidencing an interest in funds or financial resources;

(k) 

‘goods’ includes items, materials and equipment;

(l) 

‘insurance’ means an undertaking or commitment whereby one or more natural or legal persons are obliged, in return for payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;

(m) 

‘reinsurance’ means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd's, the activity consisting in accepting risks, ceded by any member of Lloyd's, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd's;

(n) 

‘Syrian credit or financial institution’ means:

(i) 

any credit or financial institution domiciled in Syria, including the Central Bank of Syria;

(ii) 

any branch or subsidiary, where it falls within the scope of Article 35, of a credit or financial institution domiciled in Syria;

(iii) 

any branch or subsidiary, where it does not fall within the scope of Article 35, of a credit or financial institution domiciled in Syria;

(iv) 

any credit or financial institution that is not domiciled in Syria but is controlled by one or more persons or entities domiciled in Syria;

(o) 

‘Syrian person, entity or body’ means:

(i) 

the State of Syria or any public authority thereof;

(ii) 

any natural person in, or resident in, Syria;

(iii) 

any legal person, entity or body having its registered office in Syria;

(iv) 

any legal person, entity or body, inside or outside Syria, owned or controlled directly or indirectly by one or more of the above-mentioned persons or bodies;

(p) 

‘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;

(q) 

‘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;

▼M10

(r) 

‘customs territory of the Union’ means the territory as defined in Article 3 of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code ( 5 ).

▼B



CHAPTER II

EXPORT AND IMPORT RESTRICTIONS

▼M16

Article 2

1.  
A Member State may prohibit or impose an authorisation requirement on the export, sale, supply or transfer of equipment which might be used for internal repression other than those listed in Annex IA or Annex IX, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria.
2.  
A Member State may prohibit or impose an authorisation requirement on the provision of technical assistance, financing and financial assistance related to the equipment referred to in paragraph 1, to any person, entity or body in Syria or for use in Syria.

Article 2a

1.  

It shall be prohibited:

(a) 

to sell, supply, transfer or export, directly or indirectly, equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression, as listed in Annex IA, 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).

2.  
By way of derogation from paragraph 1, the competent authorities in the Member States, as identified on the websites listed in Annex III, may grant, under such terms and conditions as they deem appropriate, an authorisation for a transaction in relation to equipment, goods or technology as listed in Annex IA, provided that the equipment, goods or technology are intended for food, agricultural, medical or other humanitarian purposes, or for the benefit of United Nations personnel, personnel of the Union or its Member States.

▼M17

3.  
By way of derogation from paragraph 1(a), the competent authorities of the Member States, as identified on the websites listed in Annex III, may grant, under such conditions as they deem appropriate, an authorisation for sale, supply, transfer or export of equipment, goods or technology as listed in Annex IA undertaken in accordance with paragraph 10 of UN Security Council Resolution 2118(2013) and relevant decisions of the Executive Council of the Organisation for the Prohibition of Chemical Weapons (OPCW), consistent with the objective of the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction (Chemical Weapons Convention) and after consultation with the OPCW.

▼M5

Article 2b

1.  
A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression, as listed in Annex IX, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria.
2.  
The competent authorities in the Member States, as identified on the websites listed in Annex III, shall not grant any authorisation for any sale, supply, transfer or export of the equipment, goods or technology listed in Annex IX, if they have reasonable grounds to determine that the equipment, goods or technology the sale, supply, transfer or export of which is in question is or might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression.
3.  
The authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items ( 6 ). The authorisation shall be valid throughout the Union.

▼M10

Article 2c

1.  
The rules governing the obligation to provide advance information as determined in the relevant provisions concerning summary declarations as well as customs declarations in Regulation (EEC) No 2913/92 and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 ( 7 ) apply to all goods leaving the customs territory of the Union to Syria.

The person or entity who provides that information shall also present any authorisations if required by this Regulation.

▼M16

2.  
The seizure and disposal of equipment, goods or technology, the supply, sale, transfer or export of which is prohibited by Article 2a of this Regulation may, in accordance with national legislation or the decision of a competent authority, be carried out at the expense of the person or entity referred to in paragraph 1 or, if it is not possible to recover these expenses from that person or entity, the expenses may, in accordance with national legislation, be recovered from any person or entity who assumes responsibility for the carriage of the goods or equipment in the attempted illicit supply, sale, transfer or export.

▼M16

Article 2d

A Member State may prohibit or impose an authorisation requirement on the export to Syria of dual-use items referred to in Article 4(2) of Regulation (EC) No 428/2009.

▼M5

Article 3

▼M16

1.  

It shall be prohibited:

(a) 

to provide, directly or indirectly, technical assistance or brokering services related to equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which could be used for internal repression as listed in Annex IA, to any person, entity or body in Syria or for use in Syria;

(b) 

to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in Annex IA, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, 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 participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibitions referred to in points (a) and (b).

▼M16 —————

▼M16

3.  
By way of derogation from paragraph 1, the competent authorities of the Member States, as identified on the websites listed in Annex III, may grant, under such terms and conditions as they deem appropriate, an authorisation for technical assistance or brokering services, or financing or financial assistance related to equipment, goods or technology, as listed in Annex IA, provided that the equipment, goods or technology are intended for food, agricultural, medical or other humanitarian purposes, or for the benefit of United Nations personnel, personnel of the Union or its Member States.

The Member State concerned shall inform the other Member States and the Commission, within four weeks, of any authorisation granted under the first subparagraph.

▼M7

4.  

Prior authorisation from the competent authority of the relevant Member State, as identified on the websites referred to in Annex III shall be required for the provision of:

(a) 

technical assistance or brokering services related to equipment, goods or technology listed in Annex IX and to the provision, manufacture, maintenance and use of such equipment, goods and technology, directly or indirectly to any person, entity or body in Syria or for use in Syria;

(b) 

financing or financial assistance related to goods and technology referred to in Annex IX, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such goods and technology, or for any provision of related technical assistance to any person, entity or body in Syria or for use in Syria.

The competent authorities shall not grant any authorisation for the transactions referred to inthe first subparagraph, if they have reasonable grounds to determine that those transactions are or may be intended to contribute to internal repression or for the manufacture and maintenance of products which might be used for internal repression.

▼M17

5.  
By way of derogation from points (a) and (b) of paragraph 1, the competent authorities of the Member States, as identified on the websites listed in Annex III, may grant, under such conditions as they deem appropriate, an authorisation for the provision of technical assistance, brokering services, financing or financial assistance related to equipment, goods or technology as listed in Annex IA where such technical assistance, brokering services, financing or financial assistance is provided for the sale, supply, transfer or export of such equipment, goods or technology undertaken in accordance with paragraph 10 of UN Security Council Resolution 2118(2013) and relevant decisions of the Executive Council of the OPCW, consistent with the objective of Chemical Weapons Convention and after consultation with the OPCW.

▼M13

Article 3a

It shall be prohibited:

(a) 

to provide, directly or indirectly, financing or financial assistance relating to the goods and technology listed in the Common Military List, including financial derivatives, as well as insurance and reinsurance and brokering services relating to insurance and reinsurance for any purchase, import or transport of such items if they originate in Syria, or are being exported from Syria to any other country;

(b) 

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

▼M17

Article 3b

Article 3a shall not apply to the provision of financing or financial assistance, including financial derivatives, as well as insurance and reinsurance and brokering services relating to insurance and reinsurance for any import or transport of goods and technology listed in the Common Military List if they originate in Syria, or are being exported from Syria to any other country, undertaken in accordance with paragraph 10 of UN Security Council Resolution 2118(2013) and relevant decisions of the Executive Council of the OPCW, consistent with the objective of the Chemical Weapons Convention.

▼B

Article 4

1.  
It shall be prohibited to sell, supply, transfer or export, directly or indirectly, equipment, technology or software identified in Annex V, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria, unless the competent authority of the relevant Member State, as identified in the websites referred to in Annex III, has given prior authorisation.
2.  
The competent authorities of the Member States, as identified in the websites referred to in Annex III, shall not grant any authorisation under paragraph 1 if they have reasonable grounds to determine that the equipment, technology or software in question would be used for monitoring or interception, by the Syrian regime or on its behalf, of internet or telephone communications in Syria.
3.  
Annex V shall include equipment, technology or software which may be used for the monitoring or interception of internet or telephone communications.
4.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this Article, within four weeks following the authorisation.

Article 5

1.  

It shall be prohibited:

(a) 

to provide, directly or indirectly, technical assistance or brokering services related to the equipment, technology and software identified in Annex V, or related to the provision, manufacture, maintenance and use of the equipment and technology identified in Annex V or to the provision, installation, operation or updating of any software identified in Annex V, to any person, entity or body in Syria or for use in Syria;

(b) 

to provide, directly or indirectly, financing or financial assistance related to the equipment, technology and software identified in Annex V, to any person, entity or body in Syria or for use in Syria;

(c) 

to provide any telecommunication or internet monitoring or interception services of any kind to, or for the direct or indirect benefit of, the State of Syria, its Government, its public bodies, corporations and agencies or any person or entity acting on their behalf or at their direction; and

(d) 

to participate, knowingly and intentionally, in any activity the object or effect of which is to circumvent the prohibitions referred to in point (a), (b) or (c) above;

unless the competent authority of the relevant Member State, as identified in the websites referred to in Annex III, has given prior authorisation, on the basis set out in Article 4(2).

2.  
For the purposes of paragraph 1(c), ‘telecommunication or internet monitoring or interception services’ means those services that provide, in particular using equipment, technology or software as identified in Annex V, access to and delivery of a subject's incoming and outgoing telecommunications and call-associated data for the purpose of its extraction, decoding, recording, processing, analysis and storing or any other related activity.

Article 6

It shall be prohibited:

(a) 

to import crude oil or petroleum products into the Union if they:

(i) 

originate in Syria; or

(ii) 

have been exported from Syria;

(b) 

to purchase crude oil or petroleum products which are located in or which originated in Syria;

(c) 

to transport crude oil or petroleum products if they originate in Syria, or are being exported from Syria to any other country;

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(d) 

to provide, directly or indirectly, financing or financial assistance, including financial derivatives, as well as insurance and re-insurance, related to the prohibitions set out in point (a);

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(da) 

to provide, directly or indirectly, financing or financial assistance, including financial derivatives, as well as insurance and re-insurance, related to the prohibitions set out in points (b) and (c); and

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(e) 

to participate, knowingly and intentionally, in activities whose object or effect is, directly or indirectly, to circumvent the prohibitions set out in points (a), (b), (c), (d) or (da).

Article 6a

1.  
The prohibitions set out in points (b), (c) and (e) of Article 6 shall not apply to the purchase or transport in Syria of petroleum products or to the related provision of financing or financial assistance by public bodies or by legal persons, entities or bodies which receive public funding from the Union or Member States to provide humanitarian relief or assistance to the civilian population in Syria, provided that such products are purchased or transported for the sole purposes of providing humanitarian relief in Syria or assistance to the civilian population in Syria.
2.  

By way of derogation from points (b), (c) and (e) of Article 6, in cases not covered by paragraph 1 of this Article, the competent authority of a Member State, as identified on the website listed in Annex III, may authorise the purchase and transport in Syria of petroleum products or the provision of related financing or financial assistance, under the general and specific terms and conditions it deems appropriate provided that such purchase and transport:

(a) 

are for the sole purpose of providing humanitarian relief in Syria or assistance to the civilian population in Syria; and

(b) 

do not breach any of the prohibitions laid down in this Regulation.

The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this paragraph within two weeks of any authorisation granted. The notification shall contain details about the authorised legal person, entity or body and about its humanitarian activities in Syria.

3.  
Nothing in this Article shall affect compliance with Council Regulation (EC) No 2580/2001 ( 8 ), with Council Regulation (EC) No 881/2002 ( 9 ) or with Council Regulation (EU) 2016/1686 ( 10 ).

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Article 6b

The prohibitions set out in points (b), (c) and (e) of Article 6 shall not apply to the purchase or transport in Syria of petroleum products or the related provision of financing or financial assistance by a diplomatic or consular mission, where such products are purchased or transported for official purposes of the mission.

▼B

Article 7

The prohibitions in Article 6 shall not apply to:

(a) 

the execution, on or prior to 15 November 2011, of an obligation arising from a contract concluded before 2 September 2011, provided that the natural or legal person, entity or body seeking to perform the obligation concerned has notified, at least seven working days in advance, the activity or transaction to the competent authority of the Member State in which it is established, as identified on the websites listed in Annex III; or

(b) 

the purchase of crude oil or petroleum products which had been exported from Syria prior to 2 September 2011, or, where the export was made pursuant to point (a), on or prior to 15 November 2011.

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Article 7a

1.  

It shall be prohibited to:

(a) 

sell, supply, transfer or export, directly or indirectly, jet fuel and fuel additives as identified in Annex Va to any person, entity or body in Syria, or for use in Syria;

(b) 

provide financing or financial assistance, including financial derivatives, as well as insurance and reinsurance related to the sale, supply, transfer or export of jet fuel and fuel additives as identified in Annex Va to any person, entity or body in Syria, or for use in Syria;

(c) 

provide brokering services with regard to the sale, supply, transfer or export of jet fuel and fuel additives as identified in Annex Va to any person, entity or body in Syria, or for use in Syria.

2.  
Annex Va shall include jet fuel and fuel additives.
3.  
By way of derogation from paragraph 1, the competent authorities in the Member States as identified on the websites listed in Annex III may authorise the sale, supply, transfer or export of jet fuel and fuel additives and the provision of financing and financial assistance, including financial derivatives, as well as insurance and reinsurance and brokering services related to the sale, supply, transfer or export of jet fuel and fuel additives as identified in Annex Vb to any person, entity or body in Syria, or for use in Syria under such conditions as they deem appropriate, having determined that the jet fuel and fuel additives are required by the United Nations, or bodies acting on its behalf, for humanitarian purposes such as delivering or facilitating the delivery of assistance, including medical supplies, food or the transfer of humanitarian workers and related assistance, or for evacuations from Syria or within Syria.
4.  
The Member States concerned shall within four weeks inform the other Member States and the Commission of any authorisations granted under this Article.
5.  

The prohibition laid down in paragraph 1 shall not apply to:

(a) 

jet fuel and fuel additives as listed in Annex Vb exclusively used by non-Syrian civilian aircraft landing in Syria, provided that they are intended and used solely for the continuation of the flight operation of the aircraft into which they were loaded;

(b) 

jet fuel and fuel additives as listed in Annex Vb exclusively used by a designated Syrian air carrier as listed in Annexes II and IIa carrying out evacuations from Syria in accordance with Article 16(h);

(c) 

jet fuel and fuel additives as listed in Annex Vb exclusively used by a non-designated Syrian air carrier carrying out evacuations from or within Syria.

▼B

Article 8

1.  
It shall be prohibited to sell, supply, transfer or export the equipment or technology listed in Annex VI, directly or indirectly, to any Syrian person, entity or body, or for use in Syria.
2.  

Annex VI shall include key equipment and technology for the following sectors of the oil and gas industry in Syria:

(a) 

exploration of crude oil and natural gas;

(b) 

production of crude oil and natural gas;

(c) 

refining;

(d) 

liquefaction of natural gas.

3.  
Annex VI shall not include items included in the Common Military List.

Article 9

It shall be prohibited:

(a) 

to provide, directly or indirectly, technical assistance or brokering services related to the equipment and technology listed in Annex VI, or related to the provision, manufacture, maintenance and use of goods listed in Annex VI, to any Syrian person, entity or body, or for use in Syria;

(b) 

to provide, directly or indirectly, financing or financial assistance related to the equipment and technology listed in Annex VI, to any Syrian person, entity or body; or for use in Syria, and

(c) 

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

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Article 9a

1.  

By way of derogation from Articles 8 and 9, the competent authorities of the Member States as identified on the websites listed in Annex III, may authorise, under such terms and conditions as they deem appropriate, the sale, supply, transfer or export of the key equipment or technology as listed in Annex VI, or the provision of related technical assistance or brokering services, or financing or financial assistance, provided that the following conditions are met:

(a) 

on the basis of the information available to it, including information provided by the person, entity or body requesting the authorisation, the competent authority has determined that it is reasonable to conclude that:

(i) 

the activities concerned are for the purpose of providing assistance to the Syrian civilian population, in particular in view of meeting humanitarian concerns, assisting in the provision of basic services, reconstruction or restoring economic activity, or other civilian purposes;

(ii) 

the activities concerned do not entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 14;

(iii) 

the activities concerned do not breach any of the prohibitions laid down in this Regulation;

(b) 

the Member State concerned has consulted in advance the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces as regards, inter alia:

(i) 

the competent authority's determination under points (a) (i) and (ii);

(ii) 

the availability of information indicating that the activities concerned might entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 2 of Regulation (EC) No 2580/2001 or Article 2 of Regulation (EC) No 881/2002;

and the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces has given its views to the relevant Member State.

(c) 

In the absence of the receipt of views from the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces within 30 days after the request was made to them, the competent authority may proceed with its decision on whether or not to issue the authorisation.

2.  
When applying the conditions under points (a) and (b) of paragraph 1, the competent authority shall require adequate information as regards the use of the authorisation granted, including information concerning the end-user and the final destination of the delivery.
3.  
The Member State concerned shall inform, within two weeks, the other Member States and the Commission of any authorisation granted under this Article.

▼B

Article 10

1.  
The prohibitions in Articles 8 and 9 shall not apply to the performance of an obligation required by a contract which was awarded or concluded prior to 19 January 2012, provided that the person or entity seeking to rely on this Article has notified, at least 21 calendar days in advance, the competent authority of the Member State in which they are established, as identified on the websites listed in Annex III.
2.  
For the purposes of this Article, a contract shall have been ‘awarded’ to a person or entity if express written confirmation of the award of the contract to that person or entity has been sent by the other contracting party, following the conclusion of a formal tender process.

Article 11

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, new Syrian denominated banknotes and coinage, printed or minted in the Union, to the Central Bank of Syria.

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Article 11a

1.  

It shall be prohibited:

(a) 

to sell, supply, transfer or export, directly or indirectly, gold, precious metals and diamonds, as listed in Annex VIII, whether or not originating in the Union, to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria, any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them;

(b) 

to purchase, import or transport, directly or indirectly, gold, precious metals and diamonds, as listed in Annex VIII, whether the item concerned originates in Syria or not, from the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them; and

(c) 

to provide, directly or indirectly, technical assistance or brokering services, financing or financial assistance, related to the goods referred to in points (a) and (b), to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them.

2.  
Annex VIII shall include gold, precious metals and diamonds subject to the prohibitions referred to in paragraph 1.

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Article 11b

1.  

It shall be prohibited:

(a) 

to sell, supply, transfer or export, directly or indirectly, luxury goods as listed in Annex X, to Syria;

(b) 

to participate, knowingly and intentionally, in activities whose object or effect is, directly or indirectly, to circumvent the prohibition referred to in point (a).

2.  
By way of derogation from point (a) of paragraph 1, the prohibition referred to therein shall not apply to goods of a non-commercial nature, for personal use, contained in travellers’ luggage.

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Article 11c

1.  
It shall be prohibited to import, export, transfer, or provide brokering services related to the import, export or transfer of, Syrian cultural property goods and other goods of archaeological, historical, cultural, rare scientific or religious importance, including those listed in Annex XI, where there are reasonable grounds to suspect that the goods have been removed from Syria without the consent of their legitimate owner or have been removed in breach of Syrian law or international law, in particular if the goods form an integral part of either the public collections listed in the inventories of the conservation collections of Syrian museums, archives or libraries, or the inventories of Syrian religious institutions.
2.  

The prohibition in paragraph 1 shall not apply if it is demonstrated that:

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(a) 

the goods were exported from Syria prior to 15 March 2011; or

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(b) 

the goods are being safely returned to their legitimate owners in Syria.

▼B



CHAPTER III

RESTRICTIONS ON PARTICIPATION IN INFRASTRUCTURE PROJECTS

Article 12

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1.  

It shall be prohibited:

(a) 

to sell, supply, transfer or export equipment or technology as listed in Annex VII to be used in the construction or installation in Syria of new power plants for electricity production;

(b) 

to provide, directly or indirectly, technical assistance, financing or financial assistance, including financial derivatives, as well as insurance or reinsurance in relation to any project referred to in point (a).

▼B

2.  
This prohibition shall not apply to the performance of an obligation required by a contract or agreement which was concluded prior to 19 January 2012, provided that the person or entity seeking to rely on this Article has notified, at least 21 calendar days in advance, the competent authority of the Member State in which they are established, as identified on the websites listed in Annex III.



CHAPTER IV

RESTRICTIONS ON FINANCING CERTAIN ENTERPRISES

Article 13

1.  

The following shall be prohibited:

(a) 

the granting of any financial loan or credit to any Syrian person, entity or body referred to in paragraph 2;

(b) 

the acquisition or extension of a participation in any Syrian person, entity or body referred to in paragraph 2;

(c) 

the creation of any joint venture with any Syrian person, entity or body referred to in paragraph 2;

(d) 

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

2.  

The prohibitions in paragraph 1 shall apply to any Syrian person, entity or body engaged in:

(a) 

the exploration, production or refining of crude oil; or

(b) 

the construction or installation of new power plants for electricity production.

3.  

For the purposes of paragraph 2 only, the following definitions shall apply:

(a) 

‘exploration of crude oil’ includes the exploration for, prospecting for and management of crude oil reserves, as well as the provision of geological services in relation to such reserves;

(b) 

‘refining of crude oil’ means the processing, conditioning or preparation of oil for the ultimately final sale of fuels.

4.  

The prohibitions in paragraph 1:

(a) 

shall be without prejudice to the execution of an obligation arising from contracts or agreements relating to:

(i) 

the exploration, production or refining of crude oil, concluded before 23 September 2011;

(ii) 

the construction or installation of new power plants for electricity production concluded prior to 19 January 2012;

(b) 

shall not prevent the extension of a participation relating to:

(i) 

the exploration, production or refining of crude oil, if such extension is an obligation under an agreement concluded before 23 September 2011;

(ii) 

the construction or installation of new power plants for electricity production if such extension is an obligation under an agreement concluded prior to 19 January 2012.

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Article 13a

1.  

By way of derogation from Article 13(1), the competent authorities of the Member States as identified on the websites listed in Annex III, may authorise, under such terms and conditions as they deem appropriate, the granting of any financial loan or credit to or the acquisition or extension of a participation in, or the creation of any joint venture with any Syrian person, entity or body referred to in point (a) of Article 13(2), provided that the following conditions are met:

(a) 

on the basis of the information available to it, including information provided by the person, entity or body requesting the authorisation, the competent authority has determined that it is reasonable to conclude that:

(i) 

the activities concerned are for the purpose of providing assistance to the Syrian civilian population, in particular in view of meeting humanitarian concerns, assisting in the provision of basic services, reconstruction or restoring economic activity, or other civilian purposes;

(ii) 

the activities concerned do not entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 14;

(iii) 

the activities concerned do not breach any of the prohibitions laid down in this Regulation;

(b) 

the Member State concerned has consulted in advance the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces as regards, inter alia:

(i) 

the competent authority's determination under points (a) (i) and (ii);

(ii) 

the availability of information indicating that the activities concerned might entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 2 of Regulation (EC) No 2580/2001 or Article 2 of Regulation (EC) No 881/2002;

and the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces has given its views to the relevant Member State.

(c) 

In the absence of the receipt of views from the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces within 30 days after the request was made to them, the competent authority may proceed with its decision on whether or not to issue the authorisation.

2.  
When applying the conditions under points (a) and (b) of paragraph 1, the competent authority shall require adequate information as regards the use of the authorisation granted, including information concerning the purpose of, and the counterparts to the transaction.
3.  
The Member State concerned shall inform, within two weeks, the other Member States and the Commission of any authorisation granted under this Article.

▼B



CHAPTER V

FREEZING OF FUNDS AND ECONOMIC RESOURCES

Article 14

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 and IIa 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 and IIa.
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 15

1.  

Annexes II and IIa shall consist of the following:

(a) 

Annex II shall consist of a list of natural or legal persons, entities and bodies who, in accordance with Article 19(1) of Decision 2011/782/CFSP, have been identified by the Council as being persons or entities responsible for the violent repression against the civilian population in Syria, persons and entities benefiting from or supporting the regime, and natural or legal persons and entities associated with them, and to whom Article 21 of this Regulation shall not apply;

(b) 

Annex IIa shall consist of a list of entities which, in accordance with Article 19(1) of Decision 2011/782/CFSP, have been identified by the Council as being entities associated with the persons or entities responsible for the violent repression against the civilian population in Syria, or with persons and entities benefiting from or supporting the regime, and to which Article 21 of this Regulation shall apply.

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1a.  

The list in Annex II shall also consist of natural or legal persons, entities and bodies who, in accordance with Article 28(2) of Council Decision 2013/255/CFSP ( 11 ), have been identified by the Council as falling within one of the following categories:

(a) 

leading businesspersons operating in Syria;

(b) 

members of the Assad or Makhlouf families;

(c) 

Syrian Government Ministers in power after May 2011;

(d) 

members of the Syrian Armed Forces of the rank of ‘colonel’ or the equivalent or higher in post after May 2011;

(e) 

members of the Syrian security and intelligence services in post after May 2011;

(f) 

members of the regime-affiliated militias;

(g) 

persons, entities, units, agencies, bodies or institutions operating in the chemical weapons proliferation sector.

and natural or legal persons and entities associated with them, and to whom Article 21 of this Regulation does not apply.

1b.  
Persons, entities and bodies within one of the categories referred to in paragraph 1a shall not be included or retained on the list of persons, entities and bodies in Annex II if there is sufficient information that they are not, or are no longer, associated with the regime or do not exercise influence over it or do not pose a real risk of circumvention.

▼B

2.  
Annexes II and IIa shall include the grounds for the listing of listed persons, entities and bodies concerned.
3.  
Annexes II and IIa 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.

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Article 16

By way of derogation from Article 14, 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 natural or legal persons, entities or bodies listed in Annexes II and IIa, and dependent family members of such natural persons, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

(b) 

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

(c) 

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

(d) 

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

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(e) 

in cases not covered by Article 16b, 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, insofar as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation;

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(g) 

necessary to ensure human safety or environmental protection;

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(h) 

necessary for evacuations from Syria;

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(i) 

intended exclusively for payments by Syrian State-owned entities or the Central Bank of Syria, as listed in Annexes II and IIa, on behalf of the Syrian Arab Republic to the OPCW for activities related to the OPCW verification mission and the destruction of Syrian chemical weapons, including in particular payments to the OPCW Special Trust Fund for activities related to the complete destruction of Syrian chemical weapons outside the territory of the Syrian Arab Republic.

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

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Article 16a

1.  
The prohibition set out in Article 14(2) shall not apply to funds or economic resources made available by public bodies or by legal persons, entities or bodies which receive public funding from the Union or Member States to provide humanitarian relief in Syria or assistance to the civilian population in Syria where the provision of such funds or economic resources is in accordance with Article 6a(1).
2.  
In cases not covered by paragraph 1 of this Article, and by way of derogation from Article 14(2), the competent authority of the Member States, as identified on the websites listed in Annex III, may authorise the making available of certain funds or economic resources, under the general and specific terms and conditions it deems appropriate, provided that the funds or economic resources are necessary for the sole purpose of providing humanitarian relief in Syria or assistance to the civilian population in Syria.
3.  

By way of derogation from Article 14(1), the competent authority of the Member State, as identified on the websites listed in Annex III, may authorise the release of certain frozen funds or economic resources, under the general and specific terms and conditions it deems appropriate, provided that:

(a) 

the funds or economic resources are necessary for the sole purpose of providing humanitarian relief in Syria or assistance to the civilian population in Syria; and

(b) 

the funds or economic resources are released to the UN for the purpose of delivering or facilitating the delivery of assistance in Syria in accordance with the Syrian Humanitarian Response Plan or any successor plan coordinated by the UN.

4.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraphs 2 and 3 of this Article within two weeks of any authorisation granted.

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Article 16b

The prohibition set out in Article 14(2) shall not apply to funds or economic resources made available from the account of a diplomatic or consular mission where the provision of such funds or economic resources is for official purposes of the mission in accordance with Article 6b.

▼B

Article 17

By way of derogation from Article 14, 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 provision of such funds or economic resources are necessary for the essential energy needs of the civilian population in Syria, provided that the relevant competent authority has notified for each delivery contract the grounds on which it considers that a specific authorisation should be granted to the competent authorities of the other Member States and to the Commission at least four weeks before the authorisation.

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Article 18

1.  

By way of derogation from Article 14, the competent authorities in Member States, as indicated on the websites 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 are the subject of an arbitral decision rendered prior to the date on which the natural or legal person, entity or body referred to in Article 14 was listed in Annex II or IIa, or of a judicial or administrative decision rendered in the Union, or a judicial decision enforceable in the Member State concerned, prior to or after that date;

(b) 

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

(c) 

the decision is not for the benefit of a natural or legal person, entity or body listed in Annex II or IIa;

(d) 

recognising the decision is not contrary to public policy in the Member State concerned.

2.  
The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this Article.

▼B

Article 19

1.  

Article 14(2) shall not apply to the addition to frozen accounts of:

(a) 

interest or other earnings on those accounts,

(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; or

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(c) 

payments due under judicial, administrative or arbitral decisions rendered in a Member State or enforceable in the Member State concerned,

▼B

provided that any such interest, other earnings and payments are frozen in accordance with Article 14(1).

2.  
Article 14(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 20

By way of derogation from Article 14 and provided that a payment by a person, entity or body listed in Annex II or IIa 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 14.

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Article 20a

By way of derogation from Article 14, the competent authorities of the Member States, as identified on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, the transfer by or through a financial entity listed in Annex II or IIa of funds or economic resources, where the transfer is related to a payment by a person or entity not listed in Annex II or IIa in connection with the provision of financial support to Syrian nationals pursuing an education, professional training or engaged in academic research in the Union, provided that the competent authority of the relevant Member State has determined, on a case-by-case basis, that the payment will not directly or indirectly be received by a person or entity listed in Annex II or IIa.

▼B

Article 21

By way of derogation from Article 14(1), an entity listed in Annex IIa may, for a period of two months from the date on which it was designated, make a payment from frozen funds or economic resources which were received by that entity after the date on which it was designated, provided that:

(a) 

such payment is due under a trade contract; and

(b) 

the competent authority of the relevant Member State has determined that the payment will not directly or indirectly be received by a person or entity listed in Annex II or Annex IIa.

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Article 21a

1.  

By way of derogation from Article 14, the competent authorities of the Member States, as identified on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate:

(a) 

a transfer by or through the Central Bank of Syria of funds or economic resources received and frozen after the date of its designation where the transfer is related to a payment due in connection with a specific trade contract; or

(b) 

a transfer of funds or economic resources to or through the Central Bank of Syria where the transfer is related to a payment due in connection with a specific trade contract;

provided that the competent authority of the relevant Member State has determined, on a case-by-case basis, that the payment will not directly or indirectly be received by any person or entity listed in Annex II or IIa and provided that the transfer is not otherwise prohibited by this Regulation.

2.  
By way of derogation from Article 14, the competent authorities of the Member States, as identified on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, a transfer made by or through the Central Bank of Syria of frozen funds or economic resources in order to provide financial institutions within the jurisdiction of the Member States with liquidity for the financing of trade.

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Article 21b

Article 14(2) shall not prevent acts or transactions carried out with respect to Syrian Arab Airlines for the sole purpose of evacuating citizens of the Union and their family members from Syria.

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Article 21c

1.  

By way of derogation from Article 14, the competent authorities of the Member States, as identified on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate:

(a) 

a transfer by or through the Commercial Bank of Syria of funds or economic resources received from outside of the territory of the Union and frozen after the date of its designation where the transfer is related to a payment due in connection with a specific trade contract for medical supplies, food, shelter, sanitation or hygiene for civilian use; or

(b) 

a transfer of funds or economic resources from outside of the territory of the Union to or through the Commercial Bank of Syria where the transfer is related to a payment due in connection with a specific trade contract for the purpose of meeting essential civilian needs, including medical supplies, food, shelter, sanitation or hygiene for civilian use;

provided that the competent authority of the relevant Member State has determined, on a case-by-case basis, that the payment will not directly or indirectly be received by any person or entity listed in Annex II or IIa and provided that the transfer is not otherwise prohibited by this Regulation.

2.  
The Member State concerned shall inform the other Member States and the Commission, within four weeks, of any authorisation granted under this Article.

▼B

Article 22

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.



CHAPTER VI

RESTRICTIONS ON FINANCIAL SERVICES

Article 23

The European Investment Bank (EIB) shall:

(a) 

be prohibited from making any disbursement or payment under or in connection with any existing loan agreements entered into between the State of Syria or any public authority thereof and the EIB; and

(b) 

suspend all existing Technical Assistance Service Contracts relating to projects financed under the loan agreements referred to in point (a), and which are intended for the direct or indirect benefit of the State of Syria or any public authority thereof to be performed in Syria.

Article 24

It shall be prohibited:

(a) 

to sell or purchase Syrian public or public-guaranteed bonds issued after 19 January 2012, directly or indirectly, to or from any of the following:

(i) 

the State of Syria or its Government, and its public bodies, corporations and agencies;

(ii) 

any Syrian credit or financial institution;

(iii) 

a natural person or a legal person, entity or body acting on behalf or at the direction of a legal person, entity or body referred to in (i) or (ii);

(iv) 

a legal person, entity or body owned or controlled by a person, entity or body referred to in (i), (ii) or (iii);

(b) 

to provide brokering services with regard to Syrian public or public-guaranteed bonds issued after 19 January 2012, to a person, entity or body referred to in point (a);

(c) 

to assist a person, entity or body referred to in point (a) in order to issue Syrian public or public-guaranteed bonds, by providing brokering services, advertising or any other service with regard to such bonds.

Article 25

1.  

It shall be prohibited for credit and financial institutions falling within the scope of Article 35 to:

(a) 

open a new bank account with any Syrian credit or financial institution;

(b) 

to establish a new correspondent banking relationship with any Syrian credit or financial institution;

(c) 

to open a new representative office in Syria or to establish a new branch or subsidiary in Syria;

(d) 

to establish a new joint venture with any Syrian credit or financial institution.

2.  

It shall be prohibited:

(a) 

to authorise the opening of a representative office or the establishment of a branch or subsidiary in the Union of any Syrian credit or financial institution;

(b) 

to conclude agreements for, or on behalf of, any Syrian credit or financial institution, pertaining to the opening of a representative office or the establishment of a branch or subsidiary in the Union;

(c) 

to grant an authorisation for taking up and pursuing the business of a credit or financial institution or for any other business requiring prior authorisation, by a representative office, branch or subsidiary of any Syrian credit or financial institution, if the representative office, branch or subsidiary was not operational before 19 January 2012;

(d) 

to acquire or to extend a participation, or to acquire any other ownership interest in a credit or financial institution falling within the scope of Article 35 by any Syrian credit or financial institution.

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Article 25a

1.  

By way of derogation from points (a) and (c) of Article 25(1), the competent authorities of the Member States as identified on the websites listed in Annex III, may authorise, under such terms and conditions as they deem appropriate, the opening of a new bank account or a new representative office, or the establishment of a new branch or subsidiary, provided that the following conditions are met:

(a) 

on the basis of the information available to it, including information provided by the person, entity or body requesting the authorisation, the competent authority has determined that it is reasonable to conclude that:

(i) 

the activities concerned are for the purpose of providing assistance to the Syrian civilian population, in particular in view of meeting humanitarian concerns, assisting in the provision of basic services, reconstruction or restoring economic activity, or other civilian purposes;

(ii) 

the activities concerned do not entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 14;

(iii) 

the activities concerned do not breach any of the prohibitions laid down in this Regulation;

(b) 

the Member State concerned has consulted in advance the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces as regards, inter alia:

(i) 

the competent authority's determination under points (a) (i) and (ii);

(ii) 

the availability of information indicating that the activities concerned might entail funds or economic resources being made available, directly or indirectly, to or for the benefit of a person, entity or body referred to in Article 2 of Regulation (EC) No 2580/2001 or Article 2 of Regulation (EC) No 881/2002;

and the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces has given its views to the relevant Member State.

(c) 

In the absence of the receipt of views from the person, entity or body designated by the Syrian National Coalition for Opposition and Revolutionary Forces within 30 days after the request was made to them, the competent authority may proceed with its decision on whether or not to issue the authorisation.

2.  
When applying the conditions under points (a) and (b) of paragraph 1, the competent authority shall require adequate information as regards the use of the authorisation granted, including information concerning the purpose of, and the counterparts to the activities concerned.
3.  
The Member State concerned shall inform, within two weeks, the other Member States and the Commission of any authorisation granted under this Article.

▼B

Article 26

1.  

It shall be prohibited:

(a) 

to provide insurance or re-insurance to:

(i) 

the State of Syria, its Government, its public bodies, corporations or agencies; or

(ii) 

any natural or legal person, entity or body when acting on behalf or at the direction of a legal person, entity or body referred to in (i);

(b) 

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

2.  
Paragraph 1(a) shall not apply to the provision of compulsory or third party insurance to Syrian persons, entities or bodies based in the Union or to the provision of insurance for Syrian diplomatic or consular missions in the Union.
3.  
Point (ii) of paragraph 1(a) shall not apply to the provision of insurance, including health and travel insurance, to individuals acting in their private capacity, and re-insurance relating thereto.

Point (ii) of paragraph 1(a) shall not prevent the provision of insurance or re-insurance to the owner of a vessel, aircraft or vehicle chartered by a person, entity or body referred to in point (i) of paragraph 1(a) and which is not listed in Annex II or IIa.

For the purpose of point (ii) of paragraph 1(a), a person, entity or body shall not be considered to act at the direction of a person, entity or body referred to in point (i) of paragraph 1(a) where that direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarily in Syrian waters or airspace.

4.  
This Article prohibits the extension or renewal of insurance and re-insurance agreements concluded before 19 January 2012 (save where there is a prior contractual obligation on the part of the insurer or re-insurer to accept an extension or renewal of a policy), but, without prejudice to Article 14(2), it does not prohibit compliance with agreements concluded before that date.

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CHAPTER VIA

RESTRICTIONS ON TRANSPORT

Article 26a

1.  

It shall be prohibited, consistent with international law, to accept, or provide access to airports in the Union by, exclusively cargo flights operated by Syrian carriers and all flights operated by Syrian Arab Airlines, except where:

(a) 

the aircraft is engaged in non-scheduled international air services and landing is for non-traffic or non-commercial traffic purposes; or

(b) 

the aircraft is engaged in scheduled international air services and landing is for non- traffic purposes;

as provided for under the Chicago Convention on International Civil Aviation or the International Air Services Transit Agreement.

2.  
Paragraph 1 shall not apply to flights for the sole purpose of evacuating citizens of the Union and their family members from Syria.
3.  
It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibition referred to in paragraph 1.

▼B



CHAPTER VII

GENERAL AND FINAL PROVISIONS

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Article 27

1.  

No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims for indemnity or any other claim of that type, such as a claim for compensation or a claim under a guarantee, in particular a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

(a) 

designated persons, entities or bodies listed in Annex II or IIa;

(b) 

any other Syrian person, entity or body, including the Syrian government;

(c) 

any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) or (b).

2.  
In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited under paragraph 1 shall be on the person seeking the enforcement of that claim.
3.  
This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation.

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Article 27a

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the provisions of Articles 2a, 3, 3a, 4, 5, 6, 7a, 8, 9, 11, 11a, 11b, 11c, 12, 13, 14, 24, 25, 26 and 26a.

▼B

Article 28

The prohibitions set out in this Regulation shall not give rise to any liability of any kind on the part of the natural or legal person, entity or body concerned if they did not know, and had no reasonable cause to suspect, that their actions would infringe the prohibition in question.

Article 29

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 14, 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.

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 30

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 31

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

Article 32

1.  
Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 14, it shall amend Annex II or Annex IIa accordingly.

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2.  
The Council shall communicate its decision on the listing referred to in paragraph 1 of this Article, including the grounds therefor, to the person, entity or body concerned, either directly, if the address is known, or through the publication of a notice, providing such person, entity or body with an opportunity to present its observations. In particular, where a person, entity or body is listed in Annex II on the basis that they fall within one of the categories of persons, entities or bodies set out in Article 15(1a), the person, entity or body may present evidence and observations as to why, although they fall within such a category, they consider that their designation is not justified.

▼B

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 lists in Annexes II and IIa shall be reviewed at regular intervals and at least every 12 months.

Article 33

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 19 January 2012 and shall notify it of any subsequent amendment.

Article 34

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 35

This Regulation shall apply:

(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;

(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;

(e) 

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

Article 36

Regulation (EU) No 442/2011 is repealed.

Article 37

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.

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ANNEX Ia

LIST OF EQUIPMENT, GOODS AND TECHNOLOGY REFERRED TO IN ARTICLE 2a

PART 1

Introductory Notes

1. This Part comprises goods, software and technology listed in Annex I to Regulation (EC) No 428/2009 ( 12 ).

2. Unless otherwise stated, the reference numbers used in the column below entitled ‘No’ refer to the control list number and the column below entitled ‘Description’ refers to the control descriptions of dual-use items set out in Annex I to Regulation (EC) No 428/2009.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between ‘double quotation marks’ can be found in Annex I to Regulation (EC) No 428/2009.

General Notes

1. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components is/are the principal element of the goods and can feasibly be removed or used for other purposes.

NB:   In judging whether the controlled component or components is/are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

2. The items specified in this Annex include both new and used goods.

General Technology Note (GTN)

(To be read in conjunction with Section B of this Part)

1. The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of which is controlled in Sections A, B, C and D of this Part, is controlled in accordance with the provisions of Section E.

2. The ‘technology’‘required’ for the ‘development’, ‘production’ or ‘use’ of goods under control remains under control even when it is applicable to non-controlled goods.

3. Controls do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with this Regulation.

4. Controls on ‘technology’ transfer do not apply to information ‘in the public domain’, to ‘basic scientific research’ or to the minimum necessary information for patent applications.

A.    EQUIPMENT



No

Description

I.B.1A004

Protective and detection equipment and components, other than those specified in military goods controls, as follows:

a.  Gas masks, filter canisters and decontamination equipment therefore, designed or modified for defence against any of the following, and specially designed components therefor:

1.  Biological agents ‘adapted for use in war’;

2.  Radioactive materials ‘adapted for use in war’;

3.  Chemical warfare (CW) agents; or

4.  ‘Riot control agents’, including:

a.  α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);

b.  [(2-chlorophenyl) methylene] propanedinitrile, (ο-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);

c.  2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);

d.  Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8);

e.  10-Chloro-5,10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);

f.  N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);

b.  Protective suits, gloves and shoes, specially designed or modified for defence against any of the following:

1.  Biological agents ‘adapted for use in war’;

2.  Radioactive materials ‘adapted for use in war’; or

3.  Chemical warfare (CW) agents;

c.  Detection systems, specially designed or modified for detection or identification of any of the following, and specially designed components therefor:

1.  Biological agents ‘adapted for use in war’;

2.  Radioactive materials ‘adapted for use in war’; or

3.  Chemical warfare (CW) agents;

d.  Electronic equipment designed for automatically detecting or identifying the presence of ‘explosives’ residues and utilising ‘trace detection’ techniques (e.g. surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).

Technical Note:

‘Trace detection’ is defined as the capability to detect less than 1 ppm vapour, or 1 mg solid or liquid.

Note 1:  1A004.d. does not control equipment specially designed for laboratory use.

Note 2:  1A004.d. does not control non-contact walk-through security portals.

Note:  1A004 does not control:

a.  Personal radiation monitoring dosimeters;

b.  Equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:

1.  mining;

2.  quarrying;

3.  agriculture;

4.  pharmaceutical;

5.  medical;

6.  veterinary;

7.  environmental;

8.  waste management;

9.  food industry.

Technical Notes:

1A004 includes equipment and components that have been identified, successfully tested to national standards or otherwise proven effective, for the detection of or defence against radioactive materials ‘adapted for use in war’, biological agents ‘adapted for use in war’, chemical warfare agents, ‘simulants’ or ‘riot control agents’, even if such equipment or components are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.

‘Simulant’ is a substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.

I.B.9A012

‘Unmanned aerial vehicles’ (‘UAVs’), associated systems, equipment and components, as follows:

a.  ‘UAVs’ having any of the following:

1.  An autonomous flight control and navigation capability (e.g. an autopilot with an Inertial Navigation System); or

2.  Capability of controlled-flight out of the direct vision range involving a human operator (e.g. televisual remote control);

b.  Associated systems, equipment and components, as follows:

1.  Equipment specially designed for remotely controlling the ‘UAVs’ specified in 9A012.a.;

2.  Systems for navigation, attitude, guidance or control, other than those specified in 7A in Annex I to Regulation (EC) No 428/2009 and specially designed to provide autonomous flight control or navigation capability to ‘UAVs’ specified in 9A012.a.;

3.  Equipment and components, specially designed to convert a manned ‘aircraft’ to a ‘UAV’ specified in 9A012.a.;

4.  Air breathing reciprocating or rotary internal combustion type engines, specially designed or modified to propel ‘UAVs’ at altitudes above 50 000 feet (15 240 metres).

I.B.9A350

Spraying or fogging systems, specially designed or modified for fitting to aircraft, ‘lighter-than-air vehicles’ or unmanned aerial vehicles, and specially designed components therefor, as follows:

Complete spraying or fogging systems capable of delivering, from a liquid suspension, an initial droplet ‘VMD’ of less than 50 μm at a flow rate of greater than two litres per minute;

Spray booms or arrays of aerosol generating units capable of delivering, from a liquid suspension, an initial droplet ‘VMD’ of less than 50 μm at a flow rate of greater than two litres per minute;

Aerosol generating units specially designed for fitting to systems specified in 9A350.a. and b.

Note:  Aerosol generating units are devices specially designed or modified for fitting to aircraft such as nozzles, rotary drum atomisers and similar devices.

Note:  9A350 does not control spraying or fogging systems and components that are demonstrated not to be capable of delivering biological agents in the form of infectious aerosols.

Technical Notes:

1.  Droplet size for spray equipment or nozzles specially designed for use on aircraft, ‘lighter-than-air vehicles’ or unmanned aerial vehicles should be measured using either of the following:

a.  Doppler laser method;

b.  Forward laser diffraction method.

2.  In 9A350 ‘VMD’ means Volume Median Diameter and for water-based systems this equates to Mass Median Diameter (MMD).

B.    TEST AND PRODUCTION EQUIPMENT



No

Description

I.B.2B350

Chemical manufacturing facilities, equipment and components, as follows:

a.  Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m3 (100 litres) and less than 20 m3 (20 000 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coating or glass lining);

4.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

5.  Tantalum or tantalum ‘alloys’;

6.  Titanium or titanium ‘alloys’;

7.  Zirconium or zirconium ‘alloys’; or

8.  Niobium (columbium) or niobium ‘alloys’;

b.  Agitators for use in reaction vessels or reactors specified in 2B350.a.; and impellers, blades or shafts designed for such agitators, where all surfaces of the agitator that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

5.  Tantalum or tantalum ‘alloys’;

6.  Titanium or titanium ‘alloys’;

7.  Zirconium or zirconium ‘alloys’; or

8.  Niobium (columbium) or niobium ‘alloys’;

c.  Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m3 (100 litres) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

5.  Tantalum or tantalum ‘alloys’;

6.  Titanium or titanium ‘alloys’;

7.  Zirconium or zirconium ‘alloys’; or

8.  Niobium (columbium) or niobium ‘alloys’;

d.  Heat exchangers or condensers with a heat transfer surface area greater than 0,15 m2, and less than 20 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Graphite or ‘carbon graphite’;

5.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

6.  Tantalum or tantalum ‘alloys’;

7.  Titanium or titanium ‘alloys’;

8.  Zirconium or zirconium ‘alloys’;

9.  Silicon carbide;

10.  Titanium carbide; or

11.  Niobium (columbium) or niobium ‘alloys’;

e.  Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors designed for such distillation or absorption columns, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Graphite or ‘carbon graphite’;

5.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

6.  Tantalum or tantalum ‘alloys’;

7.  Titanium or titanium ‘alloys’;

8.  Zirconium or zirconium ‘alloys’; or

9.  Niobium (columbium) or niobium ‘alloys’;

f.  Remotely operated filling equipment in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight; or

2.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

g.  Valves with ‘nominal sizes’ greater than 10 mm and casings (valve bodies) or preformed casing liners designed for such valves, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

5.  Tantalum or tantalum ‘alloys’;

6.  Titanium or titanium ‘alloys’;

7.  Zirconium or zirconium ‘alloys’;

8.  Niobium (columbium) or niobium ‘alloys’; or

9.  Ceramic materials as follows:

a.  Silicon carbide with purity of 80 % or more by weight;

b.  Aluminium oxide (alumina) with purity of 99,9 % or more by weight;

c.  Zirconium oxide (zirconia);

Technical Note:

The ‘nominal size’ is defined as the smaller of the inlet and outlet diameters.

h.  Multi-walled piping incorporating a leak detection port, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.  Glass (including vitrified or enamelled coatings or glass lining);

4.  Graphite or ‘carbon graphite’;

5.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

6.  Tantalum or tantalum ‘alloys’;

7.  Titanium or titanium ‘alloys’;

8.  Zirconium or zirconium ‘alloys’; or

9.  Niobium (columbium) or niobium ‘alloys’;

i.  Multiple-seal and seal-less pumps, with manufacturer’s specified maximum flow-rate greater than 0,6 m3/hour, or vacuum pumps with manufacturer’s specified maximum flow-rate greater than 5 m3/hour (under standard temperature (273 K (0 °C)) and pressure (101,3 kPa) conditions); and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Ceramics;

3.  Ferrosilicon (high silicon iron alloys);

4.  Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

5.  Glass (including vitrified or enamelled coatings or glass lining);

6.  Graphite or ‘carbon graphite’;

7.  Nickel or ‘alloys’ with more than 40 % nickel by weight;

8.  Tantalum or tantalum ‘alloys’;

9.  Titanium or titanium ‘alloys’;

10.  Zirconium or zirconium ‘alloys’; or

11.  Niobium (columbium) or niobium ‘alloys’;

j.  Incinerators designed to destroy chemicals specified in entry 1C350, having specially designed waste supply systems, special handling facilities and an average combustion chamber temperature greater than 1 273 K (1 000  °C), in which all surfaces in the waste supply system that come into direct contact with the waste products are made from or lined with any of the following materials:

1.  ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2.  Ceramics; or

3.  Nickel or ‘alloys’ with more than 40 % nickel by weight.

Technical Notes:

1.  ‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is eight percent or more by weight.

2.  For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.

I.B.2B351

Toxic gas monitoring systems and their dedicated detecting components, other than those specified in 1A004, as follows; and detectors; sensor devices; and replaceable sensor cartridges therefor:

a.  Designed for continuous operation and usable for the detection of chemical warfare agents or chemicals specified in 1C350, at concentrations of less than 0,3 mg/m3; or

b.  Designed for the detection of cholinesterase-inhibiting activity.

I.B.2B352

Equipment capable of use in handling biological materials, as follows:

a.  Complete biological containment facilities at P3, P4 containment level;

Technical Note:

P3 or P4 (BL3, BL4, L3, L4) containment levels are as specified in the WHO Laboratory Biosafety manual (3rd edition Geneva 2004).

b.  Fermenters capable of cultivation of pathogenic ‘micro-organisms’, viruses or capable of toxin production, without the propagation of aerosols, and having a total capacity of 20 litres or more;

Technical Note:

Fermenters include bioreactors, chemostats and continuous-flow systems.

c.  Centrifugal separators, capable of continuous separation without the propagation of aerosols, having all the following characteristics:

1.  Flow rate exceeding 100 litres per hour;

2.  Components of polished stainless steel or titanium;

3.  One or more sealing joints within the steam containment area; and

4.  Capable of in-situ steam sterilisation in a closed state;

Technical Note:

Centrifugal separators include decanters.

d.  Cross (tangential) flow filtration equipment and components as follows:

1.  Cross (tangential) flow filtration equipment capable of separation of pathogenic ‘micro-organisms’, viruses, toxins or cell cultures, without the propagation of aerosols, having all of the following characteristics:

a.  A total filtration area equal to or greater than 1 m2; and

b.  Having either of the following characteristics:

1.  Capable of being sterilised or disinfected in-situ; or

2.  Using disposable or single-use filtration components;

Technical Note:

In 2B352.d.1.b. sterilised denotes the elimination of all viable microbes from the equipment through the use of either physical (e.g. steam) or chemical agents. Disinfected denotes the destruction of potential microbial infectivity in the equipment through the use of chemical agents with a germicidal effect. Disinfection and sterilisation are distinct from sanitisation, the latter referring to cleaning procedures designed to lower the microbial content of equipment without necessarily achieving elimination of all microbial infectivity or viability.

2.  Cross (tangential) flow filtration components (e.g. modules, elements, cassettes, cartridges, units or plates) with filtration area equal to or greater than 0,2 m2 for each component and designed for use in cross (tangential) flow filtration equipment specified in 2B352.d.;

Note:  2B352.d. does not control reverse osmosis equipment, as specified by the manufacturer.

e.  Steam sterilisable freeze drying equipment with a condenser capacity exceeding 10 kg of ice in 24 hours and less than 1 000  kg of ice in 24 hours;

f.  Protective and containment equipment, as follows:

1.  Protective full or half suits, or hoods dependent upon a tethered external air supply and operating under positive pressure;

Note:  2B352.f.1. does not control suits designed to be worn with self-contained breathing apparatus.

2.  Class III biological safety cabinets or isolators with similar performance standards;

Note:  In 2B352.f.2., isolators include flexible isolators, dry boxes, anaerobic chambers, glove boxes and laminar flow hoods (closed with vertical flow).

g.  Chambers designed for aerosol challenge testing with ‘micro-organisms’, viruses or ‘toxins’ and having a capacity of 1 m3 or greater.

C.    MATERIALS



No

Description

I.B.1C350

Chemicals, which may be used as precursors for toxic chemical agents, as follows, and ‘chemical mixtures’ containing one or more thereof:

NB:  SEE ALSO MILITARY GOODS CONTROLS AND 1C450.

1.  Thiodiglycol (111-48-8);

2.  Phosphorus oxychloride (10025-87-3);

3.  Dimethyl methylphosphonate (756-79-6);

4.  SEE MILITARY GOODS CONTROLS FOR

Methyl phosphonyl difluoride (676-99-3);

5.  Methyl phosphonyl dichloride (676-97-1);

6.  Dimethyl phosphite (DMP) (868-85-9);

7.  Phosphorus trichloride (7719-12-2);

8.  Trimethyl phosphite (TMP) (121-45-9);

9.  Thionyl chloride (7719-09-7);

10.  3-Hydroxy-1-methylpiperidine (3554-74-3);

11.  N,N-Diisopropyl-(beta)-aminoethyl chloride (96-79-7);

12.  N,N-Diisopropyl-(beta)-aminoethane thiol (5842-07-9);

13.  3-Quinuclidinol (1619-34-7);

14.  Potassium fluoride (7789-23-3);

15.  2-Chloroethanol (107-07-3);

16.  Dimethylamine (124-40-3);

17.  Diethyl ethylphosphonate (78-38-6);

18.  Diethyl-N,N-dimethylphosphoramidate (2404-03-7);

19.  Diethyl phosphite (762-04-9);

20.  Dimethylamine hydrochloride (506-59-2);

21.  Ethyl phosphinyl dichloride (1498-40-4);

22.  Ethyl phosphonyl dichloride (1066-50-8);

23.  SEE MILITARY GOODS CONTROLS FOR

Ethyl phosphonyl difluoride (753-98-0);

24.  Hydrogen fluoride (7664-39-3);

25.  Methyl benzilate (76-89-1);

26.  Methyl phosphinyl dichloride (676-83-5);

27.  N,N-Diisopropyl-(beta)-amino ethanol (96-80-0);

28.  Pinacolyl alcohol (464-07-3);

29.  SEE MILITARY GOODS CONTROLS FOR

O-Ethyl-2-diisopropylaminoethyl methyl phosphonite (QL) (57856-11-8);

30.  Triethyl phosphite (122-52-1);

31.  Arsenic trichloride (7784-34-1);

32.  Benzilic acid (76-93-7);

33.  Diethyl methylphosphonite (15715-41-0);

34.  Dimethyl ethylphosphonate (6163-75-3);

35.  Ethyl phosphinyl difluoride (430-78-4);

36.  Methyl phosphinyl difluoride (753-59-3);

37.  3-Quinuclidone (3731-38-2);

38.  Phosphorus pentachloride (10026-13-8);

39.  Pinacolone (75-97-8);

40.  Potassium cyanide (151-50-8);

41.  Potassium bifluoride (7789-29-9);

42.  Ammonium hydrogen fluoride or ammonium bifluoride (1341-49-7);

43.  Sodium fluoride (7681-49-4);

44.  Sodium bifluoride (1333-83-1);

45.  Sodium cyanide (143-33-9);

46.  Triethanolamine (102-71-6);

47.  Phosphorus pentasulphide (1314-80-3);

48.  Di-isopropylamine (108-18-9);

49.  Diethylaminoethanol (100-37-8);

50.  Sodium sulphide (1313-82-2);

51.  Sulphur monochloride (10025-67-9);

52.  Sulphur dichloride (10545-99-0);

53.  Triethanolamine hydrochloride (637-39-8);

54.  N,N-Diisopropyl-(Beta)-aminoethyl chloride hydrochloride (4261-68-1);

55.  Methylphosphonic acid (993-13-5);

56.  Diethyl methylphosphonate (683-08-9);

57.  N,N-Dimethylaminophosphoryl dichloride (677-43-0);

58.  Triisopropyl phosphite (116-17-6);

59.  Ethyldiethanolamine (139-87-7);

60.  O,O-Diethyl phosphorothioate (2465-65-8);

61.  O,O-Diethyl phosphorodithioate (298-06-6);

62.  Sodium hexafluorosilicate (16893-85-9);

63.  Methylphosphonothioic dichloride (676-98-2).

Note 1:  For exports to ‘States not Party to the Chemical Weapons Convention’, 1C350 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, .32, .33, .34, .35, .36, .54, .55, .56, .57 and .63 in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

Note 2:  1C350 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entries 1C350.2, .6, .7, .8, .9, .10, .14, .15, .16, .19, .20, .24, .25, .30, .37, .38, .39, .40, .41, .42, .43, .44, .45, .46, .47, .48, .49, .50, .51, .52, .53, .58, .59, .60, .61 and .62 in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:  1C350 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

I.B.1C351

Human pathogens, zoonoses and ‘toxins’, as follows:

a.  Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Andes virus;

2.  Chapare virus;

3.  Chikungunya virus;

4.  Choclo virus;

5.  Congo-Crimean haemorrhagic fever virus;

6.  Dengue fever virus;

7.  Dobrava-Belgrade virus;

8.  Eastern equine encephalitis virus;

9.  Ebola virus;

10.  Guanarito virus;

11.  Hantaan virus;

12.  Hendra virus (Equine morbillivirus);

13.  Japanese encephalitis virus;

14.  Junin virus;

15.  Kyasanur Forest virus;

16.  Laguna Negra virus;

17.  Lassa fever virus;

18.  Louping ill virus;

19.  Lujo virus;

20.  Lymphocytic choriomeningitis virus;

21.  Machupo virus;

22.  Marburg virus;

23.  Monkey pox virus;

24.  Murray Valley encephalitis virus;

25.  Nipah virus;

26.  Omsk haemorrhagic fever virus;

27.  Oropouche virus;

28.  Powassan virus;

29.  Rift Valley fever virus;

30.  Rocio virus;

31.  Sabia virus;

32.  Seoul virus;

33.  Sin nombre virus;

34.  St Louis encephalitis virus;

35.  Tick-borne encephalitis virus (Russian Spring-Summer encephalitis virus);

36.  Variola virus;

37.  Venezuelan equine encephalitis virus;

38.  Western equine encephalitis virus;

39.  Yellow fever virus;

b.  Rickettsiae, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Coxiella burnetii;

2.  Bartonella quintana (Rochalimaea quintana, Rickettsia quintana);

3.  Rickettsia prowasecki;

4.  Rickettsia rickettsii;

c.  Bacteria, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Bacillus anthracis;

2.  Brucella abortus;

3.  Brucella melitensis;

4.  Brucella suis;

5.  Chlamydia psittaci;

6.  Clostridium botulinum;

7.  Francisella tularensis;

8.  Burkholderia mallei (Pseudomonas mallei);

9.  Burkholderia pseudomallei (Pseudomonas pseudomallei);

10.  Salmonella typhi;

11.  Shigella dysenteriae;

12.  Vibrio cholerae;

13.  Yersinia pestis;

14.  Clostridium perfringens epsilon toxin producing types;

15.  Enterohaemorrhagic Escherichia coli, serotype O157 and other verotoxin producing serotypes;

d.  ‘Toxins’, as follows, and ‘sub-unit of toxins’ thereof:

1.  Botulinum toxins;

2.  Clostridium perfringens toxins;

3.  Conotoxin;

4.  Ricin;

5.  Saxitoxin;

6.  Shiga toxin;

7.  Staphylococcus aureus toxins;

8.  Tetrodotoxin;

9.  Verotoxin and shiga-like ribosome inactivating proteins;

10.  Microcystin (Cyanginosin);

11.  Aflatoxins;

12.  Abrin;

13.  Cholera toxin;

14.  Diacetoxyscirpenol toxin;

15.  T-2 toxin;

16.  HT-2 toxin;

17.  Modeccin;

18.  Volkensin;

19.  Viscum album Lectin 1 (Viscumin);

Note:  1C351.d. does not control botulinum toxins or conotoxins in product form meeting all of the following criteria:

1.  Are pharmaceutical formulations designed for human administration in the treatment of medical conditions;

2.  Are pre-packaged for distribution as medical products;

3.  Are authorised by a state authority to be marketed as medical products.

e.  Fungi, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Coccidioides immitis;

2.  Coccidioides posadasii.

Note:  1C351 does not control ‘vaccines’ or ‘immunotoxins’.

I.B.1C352

Animal pathogens, as follows:

a.  Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  African swine fever virus;

2.  Avian influenza virus, which are:

a.  Uncharacterised; or

b.  Defined in Annex I(2) to Directive 2005/94/EC (1) as having high pathogenicity, as follows:

1.  Type A viruses with an IVPI (intravenous pathogenicity index) in six-week-old chickens of greater than 1,2; or

2.  Type A viruses of the subtypes H5 or H7 with genome sequences codified for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease;

3.  Bluetongue virus;

4.  Foot and mouth disease virus;

5.  Goat pox virus;

6.  Porcine herpes virus (Aujeszky’s disease);

7.  Swine fever virus (Hog cholera virus);

8.  Lyssa virus;

9.  Newcastle disease virus;

10.  Peste des petits ruminants virus;

11.  Porcine enterovirus type 9 (swine vesicular disease virus);

12.  Rinderpest virus;

13.  Sheep pox virus;

14.  Teschen disease virus;

15.  Vesicular stomatitis virus;

16.  Lumpy skin disease virus;

17.  African horse sickness virus;

b.  Mycoplasmas, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Mycoplasma mycoides subspecies mycoides SC (small colony);

2.  Mycoplasma capricolum subspecies capripneumoniae.

Note:  1C352 does not control ‘vaccines’.

I.B.1C353

Genetic elements and genetically modified organisms, as follows:

a.  Genetically modified organisms or genetic elements that contain nucleic acid sequences associated with pathogenicity of organisms specified in 1C351.a., 1C351.b., 1C351.c, 1C351.e., 1C352 or 1C354;

b.  Genetically modified organisms or genetic elements that contain nucleic acid sequences coding for any of the ‘toxins’ specified in 1C351.d. or ‘sub-units of toxins’ thereof.

Technical Notes:

1.  Genetic elements include, inter alia, chromosomes, genomes, plasmids, transposons and vectors whether genetically modified or unmodified.

2.  Nucleic acid sequences associated with the pathogenicity of any of the micro-organisms specified in 1C351.a., 1C351.b., 1C351.c., 1C351.e., 1C352 or 1C354 means any sequence specific to the specified micro-organism that:

a.  In itself or through its transcribed or translated products represents a significant hazard to human, animal or plant health; or

b.  Is known to enhance the ability of a specified micro-organism, or any other organism into which it may be inserted or otherwise integrated, to cause serious harm to humans, animals or plant health.

Note:  1C353 does not apply to nucleic acid sequences associated with the pathogenicity of enterohaemorrhagic Escherichia coli, serotype O157 and other verotoxin producing strains, other than those coding for the verotoxin, or for its sub-units.

I.B.1C354

Plant pathogens, as follows:

a.  Viruses, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Potato Andean latent tymovirus;

2.  Potato spindle tuber viroid;

b.  Bacteria, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Xanthomonas albilineans;

2.  Xanthomonas campestris pv. citri including strains referred to as Xanthomonas campestris pv. citri types A,B,C,D,E or otherwise classified as Xanthomonas citri, Xanthomonas campestris pv. aurantifolia or Xanthomonas campestris pv. citrumelo;

3.  Xanthomonas oryzae pv. Oryzae (Pseudomonas campestris pv. Oryzae);

4.  Clavibacter michiganensis subsp. Sepedonicus (Corynebacterium michiganensis subsp. Sepedonicum or Corynebacterium Sepedonicum);

5.  Ralstonia solanacearum Races 2 and 3 (Pseudomonas solanacearum Races 2 and 3 or Burkholderia solanacearum Races 2 and 3);

c.  Fungi, whether natural, enhanced or modified, either in the form of ‘isolated live cultures’ or as material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.  Colletotrichum coffeanum var. virulans (Colletotrichum kahawae);

2.  Cochliobolus miyabeanus (Helminthosporium oryzae);

3.  Microcyclus ulei (syn. Dothidella ulei);

4.  Puccinia graminis (syn. Puccinia graminis f. sp. tritici);

5.  Puccinia striiformis (syn. Puccinia glumarum);

6.  Magnaporthe grisea (pyricularia grisea/pyricularia oryzae).

I.B.1C450

Toxic chemicals and toxic chemical precursors, as follows, and ‘chemical mixtures’ containing one or more thereof:

NB:  SEE ALSO ENTRY 1C350, 1C351.d. AND MILITARY GOODS CONTROLS.

a.  Toxic chemicals, as follows:

1.  Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate (78-53-5) and corresponding alkylated or protonated salts;

2.  PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-21-8);

3.  SEE MILITARY GOODS CONTROLS FOR

BZ: 3-Quinuclidinyl benzilate (6581-06-2);

4.  Phosgene: Carbonyl dichloride (75-44-5);

5.  Cyanogen chloride (506-77-4);

6.  Hydrogen cyanide (74-90-8);

7.  Chloropicrin: Trichloronitromethane (76-06-2);

Note 1:  For exports to ‘States not Party to the Chemical Weapons Convention’, 1C450 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entries 1C450.a.1. and .a.2. in which no individually specified chemical constitutes more than 1 % by the weight of the mixture.

Note 2:  1C450 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entries 1C450.a.4., .a.5., .a.6. and .a.7. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:  1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

b.  Toxic chemical precursors, as follows:

1.  Chemicals, other than those specified in the Military Goods Controls or in 1C350, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms;

Note:  1C450.b.1 does not control Fonofos: O-Ethyl S-phenyl ethylphosphonothiolothionate (944-22-9);

2.  N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophosphoryl dichloride;

NB:  See 1C350.57. for N,N-Dimethylaminophosphoryl dichloride.

3.  Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphoramidates, other than Diethyl-N,N-dimethylphosphoramidate which is specified in 1C350;

4.  N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethyl-2-chlorides and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethyl chloride or N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride which are specified in 1C350;

5.  N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-ols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethanol (96-80-0) and N,N-Diethylaminoethanol (100-37-8) which are specified in 1C350;

Note:  1C450.b.5. does not control the following:

a.  N,N-Dimethylaminoethanol (108-01-0) and corresponding protonated salts;

b.  Protonated salts of N,N-Diethylaminoethanol (100-37-8).

6.  N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-thiols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethane thiol which is specified in 1C350;

7.  See 1C350 for ethyldiethanolamine (139-87-7);

8.  Methyldiethanolamine (105-59-9).

Note 1:  For exports to ‘States not Party to the Chemical Weapons Convention’, 1C450 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entries 1C450.b.1., .b.2., .b.3., .b.4., .b.5. and .b.6. in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

Note 2:  1C450 does not control ‘chemical mixtures’ containing one or more of the chemicals specified in entry 1C450.b.8. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:  1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

(1)   

Council Directive 2005/94/EC of 20 December 2005 on Community measures for the control of avian influenza (OJ L 10, 14.1.2006, p. 16).

D.    SOFTWARE



No

Description

I.B.1D003

‘Software’ specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

I.B.2D351

‘Software’, other than that specified in 1D003, specially designed for ‘use’ of equipment specified in 2B351.

I.B.9D001

‘Software’ specially designed or modified for the ‘development’ of equipment or ‘technology’, specified in 9A012.

I.B.9D002

‘Software’ specially designed or modified for the ‘production’ of equipment specified in 9A012.

E.    TECHNOLOGY



No

Description

I.B.1E001

‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of equipment or materials specified in 1A004, 1C350 to 1C354 or 1C450.

I.B.2E001

‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’ specified in 2B350, 2B351, 2B352 or 2D351.

I.B.2E002

‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 2B350, 2B351 or 2B352.

I.B.2E301

‘Technology’ according to the General Technology Note for the ‘use’ of goods specified in 2B350 to 2B352.

I.B.9E001

‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’, specified in 9A012 or 9A350.

I.B.9E002

‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 9A350.

I.B.9E101

‘Technology’ according to the General Technology Note for the ‘production’ of ‘UAVs’ specified in 9A012.

Technical Note:

In 9E101.b. ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

I.B.9E102

‘Technology’ according to the General Technology Note for the ‘use’‘UAVs’ specified in 9A012.

Technical Note:

In 9E101.b. ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

PART 2

Introductory Notes

1. Unless otherwise stated, reference numbers used in the column below entitled ‘Description’ refer to the descriptions of dual-use items set out in Annex I to Regulation (EC) No 428/2009.

2. A reference number in the column below entitled ‘Related item from Annex I to Regulation (EC) No 428/2009’ means that the characteristics of the item described in the ‘Description’ column lie outside the parameters set out in the description of the dual-use entry referred to.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between ‘double quotation marks’ can be found in Annex I to Regulation (EC) No 428/2009.

General Notes

1. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components is/are the principal element of the goods and can feasibly be removed or used for other purposes.

NB:   In judging whether the controlled component or components is/are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

2. The items specified in this Annex include both new and used goods.

General Technology Note (GTN)

(To be read in conjunction with Section B of Part 1)

1. The sale, supply, transfer or export of ‘technology’ which is ‘required’ for the ‘development’, ‘production’ or ‘use’ of goods the sale, supply, transfer or export of which is controlled in Section I.C.A of this Part, is controlled in accordance with the provisions of Section I.C.B of this Part.

2. The ‘technology’‘required’ for the ‘development’, ‘production’ or ‘use’ of goods under control remains under control even when it is applicable to non-controlled goods.

3. Controls do not apply to that ‘technology’ which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with this Regulation.

4. Controls on ‘technology’ transfer do not apply to information ‘in the public domain’, to ‘basic scientific research’ or to the minimum necessary information for patent applications.

I.C.A.    GOODS

(Materials and chemicals)



No

Description

Related item from Annex I to Regulation (EC) No 428/2009

I.C.A.001

Chemicals at 95 % concentration or greater, as follows:

1.  Ethylene dichloride, (CAS 107-06-2)

 

I.C.A.002

Chemicals at 95 % concentration or greater, as follows:

1.  Nitromethane, (CAS 75-52-5)

2.  Picric acid, (CAS 88-89-1)

 

I.C.A.003

Chemicals at 95 % concentration or greater, as follows:

1.  Aluminum chloride, (CAS 7446-70-0)

2.  Arsenic, (CAS 7440-38-2)

3.  Arsenic trioxide, (CAS 1327-53-3)

4.  Bis(2-chloroethyl)ethylamine hydrochloride, (CAS 3590-07-6)

5.  Bis(2-chloroethyl)methylamine hydrochloride, (CAS 55-86-7)

6.  Tris(2-chloroethyl)amine hydrochloride, (CAS 817-09-4)

 

I.C.B.    TECHNOLOGY



B.001

‘Technology’ required for the ‘development’, ‘production’ or ‘use’ of the items in Section I.C.A.

Technical Note:

The term ‘technology’ includes ‘software’.

 

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ANNEX II

LIST OF NATURAL AND LEGAL PERSONS, ENTITIES OR BODIES REFERRED TO IN ARTICLES 14, 15(1)(A) AND 15(1A)



A.  Persons

 

Name

Identifying information

Reasons

Date of listing

1.

Bashar (image) AL‐ASSAD (image)

Date of birth: 11.9.1965;

Place of birth: Damascus, Syria;

Diplomatic passport No D1903;

Gender: male

President of the Republic; person authorising and supervising the crackdown on demonstrators.

23.5.2011

2.

Maher (image) (a.k.a. Mahir) AL‐ASSAD (image)

Date of birth: 8.12.1967;

Place of birth: Damascus, Syria;

Diplomatic passport No 4138;

Position: Major General of the 42nd Brigade and former Brigadier Commander of the Army’s 4th Armoured Division

Gender: male

Member of the Syria Armed Forces of the rank of Colonel and the equivalent or higher in post after May 2011; Major General of the 42nd Brigade and former Brigadier Commander of the Army’s 4th Armoured Division. Member of the Assad family; brother of President Bashar al‐Assad.

9.5.2011

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3.

Ali MAMLUK

(a.k.a. Ali Mamlouk; Ali Al-Mamlouk; Abu Ayham)

(علي المملوك; أبو أيهم; علي مملوك)

Date of birth: 19.2.1946;

Place of birth: Damascus, Syria;

Diplomatic passport No 983;

Gender: male

Vice President of the Syrian Arab Republic for Security Affairs. Former Director of the National Security Bureau. Former Head of Syrian Intelligence Directorate involved in violence against demonstrators.

9.5.2011

4.

Atif NAJIB

(a.k.a. Atef; Atej Najeeb)

(عاطف نجيب)

Place of birth: Jablah, Syria;

Rank: Brigadier General;

Gender: male

Former Head of the Political Security Directorate in Dara’a. Involved in violence against demonstrators. Member of the Assad family; cousin of President Bashar al-Assad.

9.5.2011

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5.

Hafiz (image) MAKHLOUF (image)

(a.k.a. Hafez Makhlouf)

Date of birth: 2.4.1971;

Place of birth: Damascus, Syria;

Diplomatic passport No 2246;

Gender: male

Former Colonel and Head of Unit in General Intelligence Directorate, Damascus Branch in post after May 2011. Member of the Makhlouf family; cousin of President Bashar al‐Assad.

9.5.2011

6.

Muhammad (image) Dib (image) ZAYTUN (image)

(a.k.a. Mohammed Dib Zeitoun; a.k.a. Mohamed Dib Zeitun)

Date of birth: 20.5.1951;

Place of birth: Jubba, Damascus province, Syria;

Diplomatic passport No D000001300;

Gender: male

Director of the National Security Bureau since July 2019. Former Head of the General Security Directorate; involved in violence against demonstrators.

9.5.2011

7.

Amjad (image) ABBAS (image) (a.k.a. al‐Abbas)

Gender: male

Former head of Political Security in Banyas, involved in violence against demonstrators in Baida. Promoted to the rank of Colonel in 2018.

9.5.2011

8.

Rami (image) MAKHLOUF (image)

Date of birth: 10.7.1969;

Place of birth: Damascus, Syria;

Passport No 000098044;

Issue No 002‐03‐0015187;

Gender: male

Leading businessman operating in Syria with interests in the telecommunications, financial services, transport and property sectors. He has financial interests in and/or holds senior and executive positions in Syriatel (the leading mobile telephone operator in Syria) and in the investment funds Al Mashreq, Bena Properties and Cham Holding.

He furnishes financing and support to the Syrian regime, through his business interests.

He is an influential member of the Makhlouf family and closely connected to the Assad family; cousin of President Bashar Al‐Assad.

9.5.2011

9.

Abd al‐Fatah (image) QUDSIYAH (image)

Date of birth: 1953;

Place of birth: Hama, Syria;

Diplomatic passport No D0005788;

Gender: male

Officer of the rank of Major General in the Syrian Armed Forces in post after May 2011.

Deputy Director of the National Security Bureau of the Ba’ath Party. Former Head of the Syrian Military Intelligence Directorate. Involved in violent repression of the civilian population in Syria.

9.5.2011

10.

Jamil (image) (a.k.a. Jameel) HASSAN (image) (a.k.a. al‐Hassan)

Date of birth: 7.7.1953;

Place of birth: Qusayr, Homs province, Syria;

Former Head of Syrian Air Force Intelligence;

Gender: male

Officer of the rank of Major‐General in the Syrian Air Force in post after May 2011. Former head of the Syrian Air Force Intelligence in post after May 2011 and until July 2019. Responsible for violent repression of the civilian population in Syria.

9.5.2011

11.

Mohammad Mouti' MOUAYYAD

(a.k.a. Mohammad Muti'a Moayyad)

Date of birth: 1968;

Place of birth: Ariha (Idlib), Syria;

Gender: male

Former Minister of State in power after May 2011 (appointed 27.8.2014). As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

12.

Ghazwan Kheir BEK

(a.k.a. Ghazqan Kheir Bek)

Date of birth: 1961;

Place of birth: Latakia, Syria;

Gender: male

Former Minister of Transport in power after May 2011 (appointed 27.8.2014). He was previously General Director of the Port of Tartous. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

13.

Munzir (image) (a.k.a. Mundhir, Monzer) Jamil (image) AL‐ASSAD (image)

Date of birth: 1.3.1961;

Place of birth: Kerdaha, Latakia Province, Syria;

Passports No 86449 and No 842781;

Gender: male

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

9.5.2011

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14.

Brigadier General Mohammed BILAL

(a.k.a. Lieutenant Colonel Muhammad Bilal)

Gender: male

As a senior officer in the Syrian Air Force Intelligence Service, he supports the Syrian regime and is responsible for the violent repression of the civilian population. He is also associated with the listed Scientific Studies Research Centre (SSRC).

21.10.2014

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15.

Kamal CHEIKHA

(a.k.a. Kamal al‐Sheikha)

Date of birth: 1961;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Water Resources in power after May 2011 (appointed 27.8.2014). As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

16.

Faruq (image) (a.k.a. Farouq, Farouk) AL SHAR' (image) (a.k.a. Al Char', Al Shara', Al Shara)

Date of birth: 10.12.1938;

Gender: male

Former Vice‐President of Syria; involved in violence against the civilian population.

23.5.2011

17.

Hassan NOURI

(a.k.a. Hassan al‐Nouri)

Date of birth: 9.2.1960;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Administrative Development in power after May 2011 (appointed 27.8.2014). As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

18.

Mohammed (image) HAMCHO (image)

Date of birth: 20.5.1966;

Passport No 002954347;

Gender: male

Leading businessman operating in Syria, with interests in the engineering and construction, media, hospitality and health sector. He has financial interests in and/or holds senior and executive positions within a number of companies in Syria, in particular Hamsho International, Hamsho Communication, Mhg International, Jupiter for Investment and Tourism project and Syria Metal Industries.

He plays an important role in the business community in Syria as general secretary of the Damascus Chamber of Commerce (appointed by the then Minister for economy Khodr Orfali in December 2014), chairman of the China‐Syria Bilateral Business Councils (since March 2014) and chairman of the Syrian Metal and Steel Council (since December 2015).

He has close business relationships with key figures of the Syrian regime, including Maher al‐Assad.

He benefits from and provides support to the Syrian regime through his business interests, and is associated with persons benefiting from and providing support to that regime.

27.1.2015

19.

Iyad (image) (a.k.a. Eyad) MAKHLOUF (image)

Date of birth: 21.1.1973;

Place of birth: Damascus, Syria;

Passport No N001820740;

Gender: male

Member of the Makhlouf family; son of Mohammed Makhlouf, brother of Hafez Makhlouf and Rami Makhlouf and brother of Ihab Makhlouf; cousin of President Bashar al‐Assad.

Member of the Syrian security and intelligence services in post after May 2011.

As an officer in the General Intelligence Directorate, involved in violence against the civilian population in Syria.

23.5.2011

20.

Bassam (image) AL HASSAN (image) (a.k.a. Al Hasan)

Date of birth: 1961;

Place of birth: Sheen, Homs, Syria;

Rank: Major General;

Gender: male

Presidential Advisor for Strategic Affairs; head of the General Secretariat of the National Defence. Involved in violence against the civilian population.

23.5.2011

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22.

Ihab MAKHLOUF

(a.k.a. Ehab, Iehab)

(ايهاب مخلوف)

Date of birth: 21.1.1973;

Place of birth: Damascus, Syria;

Passport no: N002848852;

Gender: male

Leading businessman operating in Syria. He has business interests in several Syrian companies and entities, including Ramak Construction Co and Syrian International Private University for Science and Technology (SIUST).

He is an influential member of the Makhlouf family and closely connected to the Assad family; cousin of President Bashar al-Assad. In 2020, Ehab Makhlouf took over Rami Makhlouf’s business activities and the Syrian government granted him the contracts to operate and manage the duty-free markets across the country.

23.5.2011

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23.

Zoulhima (image) (a.k.a. Zu al‐Himma) CHALICHE (image) (a.k.a. Shalish, Shaleesh)

(a.k.a. Dhu al‐Himma Shalish)

Date of birth: 1946 or 1951 or 1956;

Place of birth: Kerdaha, Syria;

Rank: Major General;

Gender: male

Officer of the Syrian security and intelligence services in post after May 2011; former Head of Presidential Security.

Member of the Syrian Armed Forces of the rank of Major General in post after May 2011.

Involved in violence against demonstrators.

Member of the Assad family; cousin of President Bashar al‐Assad.

23.6.2011

24.

Riyad (image) CHALICHE (image) (a.k.a. Shalish, Shaleesh)

(a.k.a. Riyad Shalish)

Function: chairman of Riyad Isa Development Corporation;

Gender: male

Former Director of Military Housing Establishment; provides funding to the Syrian regime; first cousin of President Bashar al‐Assad.

23.6.2011

25.

Brigadier Commander Mohammad (image) (a.k.a. Mohamed, Muhammad, Mohammed) Ali (image) JAFARI (image) (a.k.a. Jaafari, 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‐Naja‐fabadi, Mohammad Ali)

Date of birth: 1.9.1957;

Place of birth: Yazd, Iran;

Gender: male

Head of ‘Baqiayt Allah’, cultural organisation of the Islamic Revolutionary Guard Corps. General Commander of the Islamic Revolutionary Guard Corps until 21.4.2019, involved in providing equipment and support to help the Syrian regime suppress protests in Syria.

23.6.2011

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27.

Hossein (image) TAEB (image)

(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)

Date of birth: 1963;

Place of birth: Tehran, Iran;

Gender: male

Director of the Islamic Revolutionary Guard Corps Intelligence Service. Former Deputy Commander for Intelligence of the Islamic Revolutionary Guard Corps, involved in providing equipment and support to help the Syrian regime suppress protests in Syria.

23.6.2011

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28.

Khalid (a.k.a. Khaled) QADDUR (a.k.a. Qadour, Qaddour, Kaddour)

(خالد قدور)

Gender: male

Leading businessperson operating in Syria, with interests and/or activities in the telecommunications, oil, plastic and tobacco industry sectors and close business relations with Maher al-Assad. He is linked to smuggling activities.

He benefits from and provides support to the Syrian regime, through his business activities.

Associate of Maher al-Assad, including through his business activities.

27.1.2015

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29.

Ra'if (image) AL‐QUWATLY (image)

(a.k.a. Ri'af al‐Quwatli a.k.a. Raeef al‐Kouatly)

Date of birth: 3.2.1967;

Place of birth: Damascus, Syria;

Gender: male

Business associate of Maher al‐Assad and responsible for managing some of his business interests; provides funding to the Syrian regime.

23.6.2011

30.

Mohammad (image) (a.k.a. Muhammad, Mohamed, Mohammed) MUFLEH (image) (a.k.a. Muflih)

Gender: male

Head of Syrian Military Intelligence in the town of Hama; involved in the crackdown on demonstrators.

1.8.2011

31.

Major General Tawfiq (image) (a.k.a. Tawfik) YOUNES (image) (a.k.a. Yunes)

Gender: male

Former head of the Department for Internal Security of the General Intelligence Directorate; involved in violence against the civilian population.

1.8.2011

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33.

Ayman JABIR

(a.k.a. Aiman Jaber)

(أيمن جابر)

Place of birth: Latakia, Syria;

Gender: male

Leading businessman operating in Syria, involved in the steel, media, consumable goods and oil sectors, including in trading those goods. He has financial interests and/or holds senior executive positions in a number of companies and entities in Syria, in particular Al Jazira (a.k.a. Al Jazerra, El Jazireh), Dunia TV and Sama Satellite Channel.

Through his company Al Jazira, Ayman Jabir has facilitated the importation of oil from Overseas Petroleum Trading to Syria.

Ayman Jabir benefits from and provides support to the Syrian regime, through his business interests.

Provides direct support for and plays a leading role in activities of regime-affiliated militias known as Shabiha and/or Suqur as-Sahraa. He is an honorary president of ‘Wafa lil-Watan’ (loyalty to homeland), which is an association providing aid to families of Syrian soldiers and militias.

Associate of Rami Makhlouf through his business activities, and an associate of Maher al-Assad through his role in regime-affiliated militias.

27.1.2015

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34.

Hayel (image) AL‐ASSAD (image)

(a.k.a. Hael al‐Asad (هاىلالأسد))

Gender: male

Assistant to Maher al‐Assad; Head of the military police unit of the army’s 4th Division, involved in repression.

23.8.2011

35.

Ali (image) AL‐SALIM (image) (a.k.a. al‐Saleem)

Gender: male

Director of the supplies office of the Syrian Ministry of Defence, entry point for all arms acquisitions by the Syrian army.

23.8.2011

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36.

Nizar AL-ASSAD (a.k.a. al-Asad, Assad, Asad, Assaad, Asaad, Al-Assaad)

(اسعد, الاسعد,الاسد;نزار)

Date of birth: 2.3.1948 or 23.3.1948 or March 1948;

Nationalities: Syrian, Lebanese and Canadian;

Syrian passport No 011090258;

Lebanese passport No RL0003434;

Canadian passport No AG629220;

Gender: male

Leading Syrian businessperson with close ties to the regime. Associated with the Assad and Makhlouf families.

As such, he has been participating in, benefiting from or otherwise supporting the Syrian regime.

Leading oil investor, founder and head of the Lead Contracting & Trading Ltd company.

23.8.2011

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37.

Major General Rafiq (image) (a.k.a. Rafeeq) SHAHADAH (image) (a.k.a. Shahada, Shahade, Shahadeh, Chahada, Chahade, Chahadeh, Chahada)

Date of birth: 1956;

Place of birth: Jablah, Latakia Province, Syria;

Gender: male

Member of the Syrian Armed Forces of the rank of Major General in post after May 2011. Former 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

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41.

Ali (image) DOUBA (image)

Date of birth: 1933;

Place of birth: Karfis, Syria;

Gender: male

Special Advisor to President Bashar al‐Assad.

As Special Advisor, participates in, benefits from and supports the Syrian regime. Has been involved in violently repressing the civilian population in Syria.

23.8.2011

42.

Brigadier‐General Nawful (image) (a.k.a. Nawfal, Nofal, Nawfel) AL‐HUSAYN (image) (a.k.a. al‐Hussain, al‐Hussein)

Gender: male

Idlib Syrian Military Intelligence (SMI) Branch Chief. Directly involved in repression of and violence against the civilian population in Idlib province.

23.8.2011

43.

Brigadier Husam (image) SUKKAR (image)

Gender: male

Presidential Adviser on Security Affairs. Presidential Adviser for security agencies’ repression of and violence against the civilian population in Syria.

23.8.2011

44.

Brigadier‐General Muhammed (image) (a.k.a. Muhamad) ZAMRINI (image) (a.k.a. Zamreni)

Gender: male

Branch Chief for Syrian Military Intelligence (SMI) in Homs. Directly involved in repression of and violence against the civilian population in Homs.

23.8.2011

45.

Munir (image) (a.k.a. Mounir, Mouneer, Monir, Moneer, Muneer) ADANOV (image) (a.k.a. Adnuf, Adanof)

Date of birth: 1951;

Place of birth: Homs, Syria;

Passport No 0000092405;

Position: Deputy Chief of General Staff, Operations and Training, Syrian Army;

Rank: Lieutenant‐General, Syrian Arab Army;

Gender: male

Officer of the rank of Lieutenant General and Deputy Chief of General Staff, Operations and Training for the Syrian Army in post after May 2011. In his position as Deputy Chief of General Staff he was directly involved in repression of and violence against the civilian population in Syria.

23.8.2011

46.

Brigadier‐General Ghassan (image) KHALIL (image) (a.k.a. Khaleel)

Gender: male

Head of General Intelligence Directorate’s Information Branch. Directly involved in repression of and violence against the civilian population in Syria.

23.8.2011

47.

Mohammed (image) (a.k.a. Mohammad, Muhammad, Mohamed) JABIR (image) (a.k.a. Jaber)

Place of birth: Latakia, Syria;

Gender: male

Shabiha militia. Associate of Maher al‐Assad for the Shabiha militia. Directly involved in repression of and violence against the civilian population, and in coordination of Shabiha militia groups.

23.8.2011

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48.

Samir HASSAN

(سمير حسن)

Gender: male

Leading businessperson operating in Syria, with interests and/or activities in multiple sectors of Syria’s economy. He holds interests in and/or has significant influence in the Amir Group and Cham Holding, two conglomerates with interests in the real estate, tourism, transport and finance sectors. President of the Syria-Russia Business Council and plays a significant role in the economic relations with the Russian Federation through the Syria-Russia Business Council.

Samir Hassan supports the Syrian regime’s war effort with cash donations.

Samir Hassan is associated with persons benefitting from or supporting the regime. In particular, he is associated with Rami Makhlouf and Issam Anbouba, who have been designated by the Council and benefit from the Syrian regime.

27.9.2014

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49.

Fares (image) CHEHABI (image)

(a.k.a. Fares Shihabi; Fares Chihabi)

Son of Ahmad Chehabi;

Date of birth: 7.5.1972;

Gender: male

President of Aleppo Chamber of Industry; Chairman of the Federation of Chambers of Industry since 16.12.2018. Vice‐Chairman of Cham Holding. Provides economic support to the Syrian regime. Member of Syrian Parliament since 2016.

2.9.2011

50.

Tarif (image) AKHRAS (image) (a.k.a. Al Akhras (image))

Date of birth: 2.6.1951;

Place of birth: Homs, Syria;

Syrian passport No 0000092405;

Gender: male

Prominent businessman benefiting from and supporting the Syrian regime. Founder of the Akhras Group (commodities, trading, processing and logistics) and former Chairman of the Homs Chamber of Commerce. Close business relations with President Bashar al‐Assad’s family. Member of the Board of the Federation of Syrian Chambers of Commerce. Provided logistical support for the regime (buses and tank loaders).

2.9.2011

51.

Issam (image) ANBOUBA (image)

President of Anbouba for Agricultural Industries Co.;

Date of birth: 1952;

Place of birth: Homs, Syria;

Gender: male

Providing financial support for the repressive apparatus and the paramilitary groups exerting violence against the civil population in Syria. Providing property (premises, warehouses) for improvised detention centres. Financial relations with high‐ranking Syrian officials. Co‐founder and member of the board of Cham Holding.

2.9.2011

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53.

Adib (image) MAYALEH (image)

(a.k.a. André Mayard)

Date of birth: 15.5.1955;

Place of birth: Bassir, Syria;

Gender: male

Former Governor and Chairman of the Board of Directors of the Central Bank of Syria.

Adib Mayaleh controlled the Syrian banking sector and managed the Syrian money supply through the issue and withdrawal of bank notes and control of the foreign exchange rate value of the Syrian Pound. Through his role at the Central Bank of Syria, Adib Mayaleh provided economic and financial support to the Syrian regime.

Former Minister of Economy and Foreign Trade in power after May 2011.

15.5.2012

54.

Major General Jumah (image) AL‐AHMAD (image) (a.k.a. al‐Ahmed)

Gender: male

Commander Special Forces. Responsible for the use of violence against protestors across Syria.

14.11.2011

55.

Colonel Lu'ai (image) (a.k.a. Louay, Loai) AL‐ALI (image)

Place of birth: Jablah, Latakia Province, Syria;

Gender: male

Head of Syrian Military Intelligence, Dara’a Branch. Responsible for violence against protesters in Dara’a.

14.11.2011

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56.

Ali (image) Abdullah (image) (a.k.a. Abdallah) AYYUB (image) (a.k.a. Ayyoub, Ayub, Ayoub, Ayob)

Date of birth: 1952;

Place of birth: Lattakia, Syria;

Gender: male

Vice President of the Council of Ministers and Minister of Defence. Appointed in January 2018.

Officer of the rank of General in the Syrian Army, in post after May 2011. Former Chief of General Staff of the Syrian Armed Forces. Person supporting the Syrian regime and responsible for repression of and violence against the civilian population in Syria.

14.11.2011

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57.

Fahd (image) (a.k.a. Fahid, Fahed) Jasim (image) (a.k.a. Jasem, Jassim, Jassem) AL‐FURAYJ (image) (a.k.a. al‐Freij)

Date of birth: 1.1.1950;

Place of birth: Hama, Syria;

Gender: male

Former Minister of Defence. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population in Syria.

14.11.2011

58.

Major General Aous (image) (a.k.a. Aws, Aus) ‘Ali’ ASLAN (image)

Date of birth: 1958;

Gender: male

High‐ranking officer. Close to Maher al‐Assad and President Bashar al‐Assad. Former positions: Commander of the 40th Brigade (4th Division) between 2011 and 2014; deputy Commander of the 4th Division in 2015; Commander of the 2nd Corps in 2016. Involved in the crackdown on the civilian population across Syria, including arbitrary arrests, mass killings and forced displacements of civilian population.

14.11.2011

59.

General Ghassan (image) BELAL (image) (a.k.a. Bilal)

Gender: male

Head of the 4th Division security bureau, head of the 555th paratrooper regiment. Adviser to Maher al‐Assad and coordinator of security operations. Responsible for the crackdown on the civilian population across Syria and involved in several breaches of cessation of hostilities in the Ghouta.

14.11.2011

60.

Abdullah (image) (a.k.a. Abdallah) BERRI (image)

Gender: male

Head of the Berri family militia. In charge of pro‐government militia involved in the crackdown on the civilian population in Aleppo.

14.11.2011

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61.

George CHAOUI

(جورج شاوي)

Gender: male

Member of the Syrian electronic army (territorial army intelligence service). Involved in the violent crackdown and call for violence against the civilian population across Syria.

14.11.2011

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62.

Zuhair (image) (a.k.a. Zouheir, Zuheir, Zouhair) HAMAD (image)

Place of birth: Damascus, Syria;

Rank: Major General;

Position: Deputy Head of General Intelligence Directorate (a.k.a. General Security Directorate) since July 2012;

Gender: male

Officer of the rank of Major General in the Syrian Armed Forces in post after May 2011. Deputy Head of General Intelligence Directorate. Responsible for repression, human rights abuses and violence against the civilian population in Syria.

14.11.2011

63.

Amar (image) (a.k.a. Ammar) ISMAEL (image) (a.k.a. Ismail)

Date of birth on or around 3.4.1973;

Place of birth: Damascus, Syria;

Gender: male

Civilian ‐ Head of Syrian electronic army (territorial army intelligence service). Involved in the violent crackdown and call for violence against the civilian population across Syria.

14.11.2011

64.

Mujahed (image) ISMAIL (image) (a.k.a. Ismael)

Gender: male

Member of Syrian electronic army (territorial army intelligence service). Involved in the violent crackdown and call for violence against the civilian population across Syria.

14.11.2011

65.

Major General Nazih (image)

Gender: male

Deputy Director of General Intelligence Directorate. Responsible for the use of violence across Syria and intimidation and torture of protestors.

14.11.2011

66.

Major General Kifah (image) MOULHEM (image) (a.k.a. Moulhim, Mulhem, Mulhim, Milhem)

Place of birth: Junaynat Ruslan, Tartous province, Syria;

Gender: male

Head of the Military Intelligence Directorate since March 2019. Former Head of the Security Committee in the Southern region and former deputy head of the Military Intelligence directorate, leading the regime’s operation in Homs and Aleppo regions. Responsible for the crackdown on the civilian population in Deir ez‐Zor and the main individual responsible for the violent repression committed by the Military Intelligence Directorate (Branch 248) throughout 2011 and 2012 as well as torture and severe violations on detainees.

14.11.2011

67.

Major General Wajih (image) (a.k.a. Wajeeh) MAHMUD (image)

Gender: male

Commander 18th Armoured Division. Responsible for the violence against protestors in Homs.

14.11.2011

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68.

██████

██████

██████

██████

██████

██████

██████

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69.

Lt. General Talal (image) Mustafa (image) TLASS (image)

Gender: male

Deputy Chief of General Staff (Logistics and supplies). Responsible for the use of violence against protestors across Syria.

14.11.2011

70.

Major General Fu'ad (image) TAWIL (image)

Gender: male

Deputy head of the Syrian Air Force Intelligence. Responsible for the use of violence across Syria and intimidation and torture of protestors.

14.11.2011

71.

Bushra (image) AL‐ASSAD (image)

(a.k.a. Bushra Shawkat, Bouchra Al Assad)

Date of birth: 24.10.1960;

Gender: female

Member of the Assad family; sister of President Bashar al‐Assad. Given the close personal relationship and intrinsic financial relationship to President Bashar al‐Assad, she benefits from and is associated with the Syrian regime.

23.3.2012

72.

Asma (image) AL‐ASSAD (image)

(a.k.a. Asma Fawaz Al Akhras)

Date of birth: 11.8.1975;

Place of birth: London, UK;

Passport No 707512830, expires 22.9.2020;

Maiden name: Al Akhras;

Gender: female

Member of the Assad family and closely connected to key regime figures; wife of President Bashar al‐Assad. Given the close personal relationship and intrinsic financial relationship to President Bashar al‐Assad, she benefits from and is associated with the Syrian regime.

23.3.2012

73.

Manal (image) AL‐ASSAD (image)

(a.k.a. Manal Al Ahmad)

Date of birth: 2.2.1970;

Place of birth: Damascus, Syria;

Passport No (Syrian) 0000000914;

Maiden name: Al Jadaan;

Gender: female

Wife of Maher al‐Assad, and as such benefits from and is closely associated with the Syrian regime.

23.3.2012

74.

Mohammad Walid GHAZAL

Date of birth: 1951;

Place of birth: Aleppo, Syria;

Gender: male

Former Minister of Housing and Urban Development (appointed 27.8.2014). As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

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76.

Major General Ibrahim (image) AL‐HASSAN (image) (a.k.a. al‐Hasan)

Gender: male

Deputy Chief of Staff. Military official involved in the violence in Homs.

1.12.2011

77.

Brigadier Khalil (image) (a.k.a. Khaleel) ZGHRAYBIH (image,image) (a.k.a. Zghraybeh, Zghraybe, Zghrayba, Zghraybah, Zaghraybeh, Zaghraybe, Zaghrayba, Zaghraybah, Zeghraybeh, Zeghraybe, Zeghrayba, Zeghraybah, Zughraybeh, Zughraybe, Zughrayba, Zughraybah, Zighraybeh, Zighraybe, Zighrayba, Zighraybah)

Gender: male

14th Division. Military official involved in the violence in Homs.

1.12.2011

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78.

Ali BARAKAT

(a.k.a. Barakat Ali Barakat)

( علي بركات; بركات علي بركات)

Gender: male

Military official involved in the violence in Homs. Currently serves in the 30th Mobile Infantry Division of the Republican Guard.

1.12.2011

▼M52

79.

Major General Talal (image) MAKHLUF (image) (a.k.a. Makhlouf)

Gender: male

Former commander of the 105th Brigade of the Republican Guards. Former Commander General of the Republican Guards. Current Commander of the 2nd Corps. Member of the Syrian Armed Forces of the rank of Major General in post after May 2011. Military official involved in the violence in Damascus.

1.12.2011

80.

Major General Nazih (image) (a.k.a. Nazeeh) HASSUN (image) (a.k.a. Hassoun)

Gender: male

Officer of the rank of Major General in the Syrian Armed Forces in post after May 2011. Head of the Political Security Directorate of the Syrian security services in post after May 2011. Responsible for violent repression of the civilian population in Syria.

1.12.2011

81.

Captain Maan (image) (a.k.a. Ma'an) JDIID (image) (a.k.a. Jdid, Jedid, Jedeed, Jadeed, Jdeed)

Gender: male

Presidential Guard. Military official involved in the violence in Homs.

1.12.2011

82.

Mohammad (image) (a.k.a. Mohamed, Muhammad, Mohammed) AL‐SHAAR (image) (a.k.a. al‐Chaar, al‐Sha'ar, al‐Cha'ar)

Gender: male

Political Security Division. Military official involved in the violence in Homs.

1.12.2011

83.

Khald (image) (a.k.a. Khaled) AL‐TAWEEL (image) (a.k.a. al‐Tawil)

Gender: male

Political Security Division. Military official involved in the violence in Homs.

1.12.2011

84.

Ghiath (image) FAYAD (image) (a.k.a. Fayyad)

Gender: male

Political Security Division. Military official involved in the violence in Homs.

1.12.2011

85.

Brigadier General Jawdat (image) Ibrahim (image) SAFI (image)

Position: Commander of the 154th Regiment;

Gender: male

Ordered troops to shoot at protestors in and around Damascus, including Mo’adamiyeh, Douma, Abasiyeh, Duma.

23.1.2012

86.

Major General Muhammad (image) (a.k.a. Mohammad, Muhammad, Mohammed) Ali (image) DURGHAM

Position: Commander of the 4th Division;

Gender: male

Ordered troops to shoot at protestors in and around Damascus, including Mo’adamiyeh, Douma, Abasiyeh, Duma.

23.1.2012

87.

Major General Ramadan (image) Mahmoud (image) RAMADAN (image)

Position: Commander of the 35th Special Forces Regiment;

Gender: male

Ordered troops to shoot protestors in Baniyas and Deraa.

23.1.2012

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89.

Major General Naim (image) (a.k.a. Naaeem, Naeem, Na'eem, Naaim, Na'im) Jasem (image) SULEIMAN (image)

Position: Commander of the 3rd Division;

Gender: male

Gave orders to troops to shoot protestors in Douma.

23.1.2012

90.

Brigadier General Jihad (image) Mohamed (image) (a.k.a Mohammad, Muhammad, Mohammed) SULTAN (image)

Position: Commander of the 65th Brigade;

Gender: male

Gave orders to troops to shoot protestors in Douma.

23.1.2012

91.

Major General Fo'ad (image) (a.k.a. Fouad, Fu'ad) HAMOUDEH (image) (a.k.a. Hammoudeh, Hammoude, Hammouda, Hammoudah)

Position: Commander of the military operations in Idlib;

Gender: male

Gave orders to troops to shoot protestors in Idlib at the beginning of September 2011.

23.1.2012

92.

Major General Bader (image) AQEL (image)

Position: Special Forces Commander;

Gender: male

Gave soldiers orders to pick up the bodies and hand them over to the mukhabarat and responsible for the violence in Bukamal.

23.1.2012

93.

Brigadier General Ghassan (image) AFIF (image) (a.k.a. Afeef)

Position: Commander of the 45th Regiment;

Gender: male

Commander of military operations in Homs, Baniyas and Idlib.

23.1.2012

94.

Brigadier General Mohamed (image) (a.k.a. Mohammad, Muhammad, Mohammed) MAARUF (image) (a.k.a. Maarouf, Ma'ruf)

Position: Commander of the 45th Regiment;

Gender: male

Commander of military operations in Homs. Gave orders to shoot protestors in Homs.

23.1.2012

95.

Brigadier General Yousef (image) ISMAIL (image) (a.k.a. Ismael)

Position: Commander of the 134th Brigade;

Gender: male

Gave orders to troops to shoot at houses and people on roofs during a funeral in Talbiseh for protesters killed the previous day.

23.1.2012

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96.

Brigadier General Jamal YUNES

(a.k.a. Younes)

(جمال يونس)

Position: Commander of the 555th Regiment;

Gender: male

Gave orders to troops to shoot at protestors in Mo'adamiyeh.

Head of the Military Security Committee in Hama in 2018.

23.1.2012

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98.

Brigadier General Ali (image) DAWWA

Gender: male

Gave orders to troops to shoot protestors in Al‐Herak.

23.1.2012

99.

Major General Mohamed (image) (a.k.a. Mohammad, Muhammad, Mohammed) KHADDOR (image) (a.k.a. Khaddour, Khaddur, Khadour, Khudour)

Position: Commander of the 106th Brigade, Presidential Guard;

Gender: male

Gave orders to troops to beat protesters with sticks and then arrest them. Responsible for repression of peaceful protestors in Douma.

23.1.2012

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101.

Wafiq (image) (a.k.a. Wafeeq) NASSER (image)

Position: Head of Suwayda Regional Branch (Department of Military Intelligence);

Gender: male

As Head of the Suwayda Regional Branch of the Department for Military Intelligence, responsible for arbitrary detention and torture of detainees in Suwayda.

23.1.2012

102.

Ahmed (image) (a.k.a. Ahmad) DIBE (image) (a.k.a. Dib, Deeb)

Head of Deraa Regional Branch (General Security Directorate);

Gender: male

As Head of the Deraa Regional Branch of the General Security Directorate, responsible for arbitrary detention and torture of detainees in Deraa.

23.1.2012

103.

Makhmoud (image) (a.k.a. Mahmoud) AL‐KHATTIB (image) (a.k.a. al‐Khatib, al‐Khateeb)

Position: Head of Investigative Branch (Political Security Directorate);

Gender: male

As Head of the Investigative Branch of the Political Security Directorate, responsible for detention and torture of detainees.

23.1.2012

104.

Mohamed (image) (a.k.a. Mohammad, Muhammad, Mohammed) Heikmat (image) (a.k.a. Hikmat, Hekmat) IBRAHIM (image)

Position: Major General. Head of the police of Al‐Hassaka;

Gender: male

Head of the police of Al‐Hassaka. Major General. As former Head of the Operations Branch of the Political Security Directorate, was responsible for detention and torture of detainees.

23.1.2012

105.

Nasser (image) (a.k.a. Naser) AL‐ALI (image)

(a.k.a. Brigadier General Nasr al‐Ali)

Position: Head of the Political Security Directorate;

Gender: male

Head of the Political Security Directorate since July 2019. Responsible for detention and torture of detainees.

23.1.2012

106.

Dr. Wael (image) Nader (image) AL–HALQI (image) (a.k.a. al‐Halki)

Date of birth: 1964;

Place of birth: Dara’a Province, Syria;

Gender: male

Former Prime Minister, in office until 3.7.2016, and former Minister of Health. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population. Chair of the Board of Trustees of the Qasyoun Private University.

27.2.2012

107.

Mohammad Ibrahim AL‐SHA'AR

Date of birth: 1956;

Place of birth: Aleppo, Syria;

Gender: male

Former Minister of the Interior. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population. Vice Chair of the National Progressive Front of Syria.

1.12.2011

108.

Mohammad (image) (a.k.a. Mohamed, Muhammad, Mohammed) AL‐JLEILATI (image)

Date of birth: 1945;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Finance, in office until 9.2.2013. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

1.12.2011

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109.

Imad (image) Mohammad

(image) (a.k.a. Mohamed, Muhammad, Mohammed) Deeb (image) KHAMIS (image)

(a.k.a. Imad Mohammad Dib Khamees)

Date of birth: 1.8.1961;

Place of birth: near Damascus, Syria;

Gender: male

Former Prime Minister and Former Minister of Electricity.

As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

23.3.2012

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110.

Omar (image) Ibrahim (image) GHALAWANJI (image)

Date of birth: 1954;

Place of birth: Tartous, Syria;

Gender: male

Former Vice Prime Minister for Services Affairs, former Minister of Local Administration, in office until 3.7.2016. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

23.3.2012

111.

Joseph (image) SUWAID (image)

Date of birth: 1958;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of State, in office until at least 21.1.2014. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population. Chair of the Amana wing of the Syrian Social Nationalist Party.

23.3.2012

112.

Hussein (image) (a.k.a. Hussain) Mahmoud (image) FARZAT (image)

(a.k.a.: Hussein Mahmud Farzat)

Date of birth: 1957;

Place of birth: Hama, Syria;

Gender: male

Former Minister of State, in office until at least 2014. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

23.3.2012

113.

Mansour (image) Fadlallah (image) AZZAM (image)

(a.k.a.: Mansur Fadl Allah Azzam)

Date of birth: 1960;

Place of birth: Sweida Province, Syria;

Gender: male

Minister for Presidency Affairs. As a Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

27.2.2012

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114.

Emad Abdul-Ghani SABOUNI

(a.k.a. Imad Abdul Ghani Al Sabuni)

(عماد عبدالغني صابوني)

Date of birth: 1964;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Telecommunications and Technology, in office until at least April 2014. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population. Former Head of Planning and International Cooperation Agency (PICC). The PICC is a government agency, affiliated to the Prime Ministry and produces, in particular, the five-year plans that provide the broad guidelines for the Government’s economic and development policies.

27.2.2012

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116.

Tayseer (image) Qala (image) AWWAD (image)

Date of birth: 1943;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Justice. Associated with the Syrian regime and its violent repression of the civilian population. Former Head of Military Court. Member of the High Judicial Council.

23.9.2011

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117.

Adnan Hassan MAHMOUD

(عدنان حسن محمود)

Date of birth: 1966;

Place of birth: Tartous, Syria;

Gender: male

Former Syrian Ambassador to Iran until 2020. Former Minister of Information in power after May 2011. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

23.9.2011

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118.

Khalaf Souleymane ABDALLAH

(a.k.a. Khalaf Sleiman al‐Abdullah)

Date of birth: 1960;

Place of birth: Deir ez‐Zor, Syria;

Gender: male

Former Minister of Labour in power after May 2011 (appointed 27.8.2014). As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

21.10.2014

119.

Sufian (image) ALLAW (image)

Date of birth: 1944;

Place of birth: al‐Bukamal, Deir Ezzor, Syria;

Gender: male

Former Minister of Oil and Mineral Resources. Associated with the Syrian regime and its violent repression of the civilian population.

27.2.2012

120.

Dr. Adnan (image) SLAKHO (image)

Date of birth: 1955;

Place of birth: Damascus, Syria;

Gender: male

Former Minister of Industry. Associated with the Syrian regime and its violent repression of the civilian population.

27.2.2012

121.

Dr. Saleh (image) AL‐RASHED (image)

Date of birth: 1964;

Place of birth: Aleppo Province, Syria;

Gender: male

Former Minister of Education. Associated with the Syrian regime and its violent repression of the civilian population.

27.2.2012

122.

Dr. Fayssal (image) (a.k.a. Faysal) ABBAS (image)

Date of birth: 1955;

Place of birth: Hama Province, Syria;

Gender: male

Former Minister of Transport. Associated with the Syrian regime and its violent repression of the civilian population.

27.2.2012

123.

Ghiath (image) JERAATLI (image) (a.k.a. Jer'atli, Jir'atli, Jiraatli)

Date of birth: 1950;

Place of birth: Salamiya, Syria;

Gender: male

Former Minister of State. Associated with the Syrian regime and its violent repression of the civilian population.

23.3.2012

124.

Yousef (image) Suleiman (image) AL‐AHMAD (image) (a.k.a. al‐Ahmed)

Date of birth: 1956;

Place of birth: Hasaka, Syria;

Gender: male

Former Minister of State. Associated with the Syrian regime and its violent repression of the civilian population.

23.3.2012

125.

Hassan (image,image) AL‐SARI (image)

Date of birth: 1953;

Place of birth: Hama, Syria;

Gender: male

Former Minister of State. Associated with the Syrian regime and its violent repression of the civilian population.

23.3.2012

126.

Bouthaina (image) SHAABAN (image)

(a.k.a. Buthaina Shaaban)

Date of birth: 1953;

Place of birth: Homs, Syria;

Gender: female

Political and Media Advisor to the President since July 2008 and as such associated with the violent crackdown on the civilian population.

26.6.2012

127.

Brigadier General Sha'afiq (image) (a.k.a. Shafiq, Shafik) MASA (image) (a.k.a. Massa)

Date of birth: 1956;

Place of birth: Al‐Zara (Hama), Syria;

Gender: male

Head of Branch 215 (Damascus) of the army’s intelligence service. Responsible for the torture of detained opponents. Involved in repressive actions against civilians.

24.7.2012

128.

Brigadier General Burhan (image) QADOUR (image) (a.k.a. Qaddour, Qaddur)

Gender: male

Former Head of Branch 291 (Damascus) of the army’s intelligence service. Responsible for the torture of opponents in custody.

24.7.2012

129.

Brigadier General Salah (image) HAMAD (image)

Gender: male

Deputy Head of Branch 291 of the army’s intelligence service. Responsible for the torture of opponents in custody.

24.7.2012

130.

Brigadier General Muhammad (image) (a.k.a. Mohammed) KHALLOUF (image) (a.k.a. Abou Ezzat)

Gender: male

Former (2009‐2014) Head of Branch 235 a.k.a. ‘Palestine’ (Damascus) of the army’s intelligence service, which is at the centre of the army’s apparatus of repression. Directly involved in repression of opponents. Responsible for the torture of opponents in custody.

24.7.2012

131.

Major General Riad (image) (a.k.a. Riyad) AL‐AHMED (image) (a.k.a. al‐Ahmad)

Gender: male

Deputy Head of Latakia Branch of the army’s intelligence service. Responsible for the torture and murder of opponents in custody.

24.7.2012

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132.

Brigadier General Abdul-Salam Fajr MAHMOUD

(عبدالسلام فجر محمود)

Date of birth: 1959

Gender: male

Head of the Security Committee of the Southern Region since December 2020. Former Head of the Bab Tuma (Damascus) Branch of the Syrian Air Force Intelligence Service. Former Head of the Mezze Airport Air Force intelligence investigation branch. Responsible for the torture of opponents in custody. Under international arrest warrant for ‘complicity in acts of torture’, ‘complicity in crimes against humanity’ and ‘complicity in war crimes’.

24.7.2012

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133.

Brigadier General Jawdat (image) AL‐AHMED (image) (a.k.a. al‐Ahmad)

Place of birth: Qardaha, Lattakia province, Syria;

Gender: male

Head of the Homs Branch of the Syrian Air Force Intelligence Service. Responsible for the torture of opponents in custody as well as killings of peaceful protesters.

24.7.2012

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134.

Colonel Qusay Ibrahim MIHOUB

(قصي إبراهيم ميهوب )

Date of birth: 1961;

Place of birth: Derghamo, Jableh, Lattakia, Syria;

Gender: male

High-ranking officer at the Syrian Air Force Intelligence Service. Former Head of the Deraa branch of the air force’s intelligence service (sent from Damascus to Deraa at the start of demonstrations there). Responsible for the torture of opponents in custody as well as the violent repression of peaceful protests in the southern region.

24.7.2012

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135.

Brigadier General Suhail (image) (a.k.a. Suheil) AL‐ABDULLAH (image) (a.k.a. al‐Abdallah)

Gender: male

Head of the Latakia Branch of the Syrian Air Force Intelligence Service. Responsible for the torture of opponents in custody.

24.7.2012

136.

Brigadier General Khudr (image) KHUDR (image)

Gender: male

Head of the Latakia branch of the General Intelligence Directorate. Responsible for the torture of opponents in custody.

24.7.2012

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137.

Brigadier General Ibrahim MA'ALA

(a.k.a. Maala, Maale, Ma'la)

( معلى;معلا (ابراهيم

Gender: male

Head of Branch 285 (Damascus) of the General Intelligence Directorate (replaced Brigadier General Hussam Fendi at the end of 2011). Responsible for the torture of opponents in custody.

24.7.2012

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138.

Brigadier General Firas (image) AL‐HAMED (image) (a.k.a. al‐Hamid)

Gender: male

Head of Branch 318 (Homs) of the General Intelligence Directorate. Responsible for the torture of opponents in custody.

24.7.2012

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139.

Major General Hussam LUQA

(a.k.a. Husam, Housam, Houssam; Louqa, Louca, Louka, Luka)

(حسام لوقا)

Date of birth: 1964;

Place of birth: Damascus, Syria;

Gender: male

Former Head of the Security Committee of the Southern Region from 2018 to 2020. Former Head of the General Security Directorate. Major General. From April 2012 to 2 December 2018, was head of the Homs branch of the Political Security Directorate (succeeded Brigadier General Nasr al-Ali). Since 3 December 2018, head of the Political Security Directorate. Director of the General Intelligence Department since 2019. Responsible for the torture of opponents in custody.

24.7.2012

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140.

Brigadier General Taha TAHA

(طه طه)

Gender: male

Deputy assistant to the Head of the Political Security Division. Former site manager of the Latakia branch of the Political Security Directorate. Responsible for the torture of opponents in custody.

24.7.2012

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141.

Bassel (image) (a.k.a. Basel) BILAL (image)

Gender: male

Police officer at Idlib central prison; has taken part directly in acts of torture of opponents held in Idlib central prison.

24.7.2012

142.

Ahmad (image) (a.k.a. Ahmed) KAFAN (image)

Gender: male

Police officer at Idlib central prison; has taken part directly in acts of torture of opponents held in Idlib central prison.

24.7.2012

143.

Bassam (image) AL‐MISRI (image)

Gender: male

Police officer at Idlib central prison; has taken part directly in acts of torture of opponents held in Idlib central prison.

24.7.2012

▼M57

144.

Major General Ahmed AL-JARROUCHEH (a.k.a. Ahmad; al-Jarousha, al-Jarousheh, al-Jaroucha, al-Jarouchah, al-Jaroucheh)

(احمد الجروشة)

Date of birth: 1957;

Gender: male

Former head of the foreign branch of General Intelligence (Branch 279). As such, responsible for General Intelligence arrangements in Syrian embassies.

24.7.2012

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145.

Michel (image) KASSOUHA (image) (a.k.a. Kasouha) (a.k.a. Ahmed Salem; Ahmed Salem Hassan)

Date of birth: 1.2.1948;

Gender: male

Member of the Syrian security services since the early 1970s, he is involved in combating opposition in France and Germany. Since March 2006, has been responsible for public relations of Branch 273 of the Syrian General Intelligence Directorate. A longstanding member of the managerial staff, he is close to General Intelligence Directorate head Ali Mamlouk, one of the top security officials of the regime who has been subject to EU restrictive measures since 9.5.2011. He directly supports the Syrian regime’s repression of opponents and is responsible inter alia for repression of the Syrian opposition abroad.

24.7.2012

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146.

General Ghassan Jaoudat ISMAIL

(a.k.a. Ismael)

(غسان جودت اسماعيل)

Date of birth: 1960;

Place of birth: Junaynat Ruslan – Darkoush, Tartous region, Syria;

Gender: male

Head of the Syrian Air Force Intelligence Service since 2019. Former deputy director of the Air Force Intelligence Service and previously in charge of the missions branch of the Air Force Intelligence Service which, in cooperation with the special operations branch, manages the elite troops of the Air Force Intelligence Service, who play an important role in the repression conducted by the Syrian regime. As such, Ghassan Jaoudat Ismail is one of the top military leaders directly implementing the violent repression of opponents conducted by the Syrian regime as well as practices of disappearance of civilians.

24.7.2012

147.

Major General Amer AL-ACHI

(a.k.a. Amer Ibrahim al-Achi; Amis al Ashi; Ammar Aachi; Amer Ashi)

(عامر ابراهيم العشي)

Gender: male

Former Governor of the Sweida Governorate, appointed by President Bashar al-Assad in July 2016. Former Head of the intelligence branch of the Syrian Air Force Intelligence Service (2012-2016). Through his role in the Air Force Intelligence Service, Amer al-Achi is implicated in the repression of the Syrian opposition.

24.7.2012

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148.

General Mohammed (image) (a.k.a. Muhammad, Mohamed, Mohammad) Ali (image) NASR (image) (a.k.a. Mohammed Ali Naser)

Date of birth: around 1960;

Gender: male

Close to Maher al‐Assad, younger brother of President Bashar al‐Assad. Most of his career has been spent in the Republican Guard. In 2010 he joined the internal branch (Branch 251) of the General Intelligence Directorate which is responsible for combating the political opposition. As one of its senior officers, General Mohammed Ali Nasr is directly involved in the repression of opponents.

24.7.2012

149.

General Issam (image) HALLAQ (image)

Gender: male

Air Force Chief of Staff since 2010. Commands air operations against opponents.

24.7.2012

150.

Ezzedine (image) ISMAEL (image) (a.k.a. Ismail)

Date of birth: middle of the 1940s (probably 1947);

Place of birth: Bastir, Jableh region, Syria;

Gender: male

Retired general, longstanding member of the managerial staff of the Air Force Intelligence Service, of which he became the head in the early 2000s. Was appointed political and security adviser to the President in 2006. As political and security adviser to President Bashar al‐Assad, Ezzedine Ismael is implicated in the political repression conducted by the Syrian regime against the opposition.

24.7.2012

151.

Samir (image) (a.k.a. Sameer) JOUMAA (image) (a.k.a. Jumaa, Jum'a, Joum'a)

(a.k.a. Abou Sami)

Date of birth: around 1962;

Gender: male

For almost 20 years he has been head of the office of Mohammad Nassif Kheir Bek, one of the main security advisers of President Bashar al‐Assad (and officially deputy to the Vice President, Farouk al‐Sharaa). Samir Joumaa’s closeness to President Bashar al‐Assad and Mohammed Nassif Kheir Bek means that he is implicated in the policy of repression conducted by the Syrian regime against its opponents.

24.7.2012

152.

Dr. Qadri (image) (a.k.a. Kadri) JAMIL (image) (a.k.a. Jameel)

Date of birth: 1952;

Place of birth: Damascus, Syria;

Gender: male

Former Vice Prime Minister for Economic Affairs, former Minister of Domestic Trade and Consumer Protection. As a former Government Minister, shares responsibility for the Syrian regime’s violent repression of the civilian population.

16.10.2012

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