HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 198/28
EN
Official Journal of the European Union
23.7.2013
COUNCIL REGULATION (EU) No 697/2013
of 22 July 2013
amending Regulation (EU) No 36/2012 concerning restrictive measures in view of the situation in
Syria
THE COUNCIL OF THE EUROPEAN UNION,
transfer of equipment which might be used for internal
repression other than those listed in Annex IA or Annex
Having regard to the Treaty on the Functioning of the European
IX, whether or not originating in the Union, to any
Union, and in particular Article 215 thereof,
person, entity or body in Syria or for use in Syria.
Having regard to Council Decision 2013/255/CFSP of 31 May
2013 concerning restrictive measures against Syria ( 1 ),
2. A Member State may prohibit or impose an auth
orisation requirement on the provision of technical
Having regard to the joint proposals from the High Represen
assistance, financing and financial assistance related to
tative of the Union for Foreign Affairs and Security Policy and
the equipment referred to in paragraph 1, to any person,
the European Commission,
entity or body in Syria or for use in Syria.";
Whereas:
(2) Article 2a is replaced by the following:
(1) On
18
January
2012,
the
Council
adopted
Regulation
(EU) No 36/2012 ( 2 ) in order to give effect to Council
Decision 2011/782/CFSP of 1 December 2011
"
concerning restrictive measures against Syria (
Article 2a

3 ).
1. It
shall
be
prohibited:
(2) On
29
November
2012,
the
Council
adopted
Decision
2012/739/CFSP ( 4 ) which repealed and replaced Decision
2011/782/CFSP.
(a) to sell, supply, transfer or export, directly or indirectly,
equipment, goods or technology which might be used
(3) On
1
June
2013
Decision
2012/739/CFSP
expired.
for internal repression or for the manufacture and
maintenance of products which might be used for
(4) On
31
May
2013,
the
Council
adopted
Decision
2013/255/CFSP.
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;
(5) Annex
IX
to
Regulation
(EU)
No
36/2012
lists
items
which are subject to prior authorisation prior to sale,
supply, transfer or export in accordance with Article 2b
of Regulation No 36/2012. That list should be expanded
(b) to participate, knowingly and intentionally, in activities
to include further items. An exception for products
the object or effect of which is to circumvent the
identified as consumer goods should be provided.
prohibitions referred to in point (a).
(6)
Those measures fall within the scope of the Treaty on the
Functioning of the European Union, and regulatory
2. By
way
of
derogation
from
paragraph
1,
the
action at the level of the Union is necessary in order
competent authorities in the Member States, as identified
to ensure the uniform application of such measures by
on the websites listed in Annex III, may grant, under such
economic operators in all Member States.
terms and conditions as they deem appropriate, an auth
orisation for a transaction in relation to equipment, goods
(7) Regulation
(EU)
No
36/2012
should
therefore
be
or technology as listed in Annex IA, provided that the
amended accordingly,
equipment, goods or technology are intended for food,
agricultural, medical or other humanitarian purposes, or
HAS ADOPTED THIS REGULATION:
for the benefit of United Nations personnel, personnel of
the Union or its Member States.";
Article 1
Regulation (EU) No 36/2012 is amended as follows:
(3) in Article 2c paragraph 2 is replaced by the following:
(1) Article 2 is replaced by the following:
"
"
Article 2
2. The
seizure
and
disposal
of
equipment,
goods
or
technology, the supply, sale, transfer or export of which
1. A Member State may prohibit or impose an auth
is prohibited by Article 2a of this Regulation may, in
orisation requirement on the export, sale, supply or
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
( 1 ) OJ L 147, 1.6.2013, p. 14.
possible to recover these expenses from that person or
( 2 ) OJ L 16, 19.1.2012, p. 1.
( 3 ) OJ L 319, 2.12.2011, p. 56.
entity, the expenses may, in accordance with national
( 4 ) OJ L 330, 30.11.2012, p. 21.
legislation, be recovered from any person or entity who

---

EN
23.7.2013 Official
Journal
of
the
European
Union L
198/29
assumes responsibility for the carriage of the goods or
The Member State concerned shall inform the other
equipment in the attempted illicit supply, sale, transfer
Member States and the Commission, within four
or export.";
weeks, of any authorisation granted under the first
subparagraph.";
(4) the following Article is inserted:
(6) the following Article is inserted:
"Article 2d
"Article 6a
A Member State may prohibit or impose an authorisation
requirement on the export to Syria of dual-use items
1. By
way
of
derogation
from
Article
6,
the
competent
referred to in Article 4(2) of Regulation (EC) No
authorities of the Member States as identified on the
428/2009.";
websites listed in Annex III, may authorise, under such
terms and conditions as they deem appropriate, the
import, purchase or transport of crude oil or petroleum
(5) Article 3 is amended as follows:
products, or the provision of related financing or financial
assistance, including financial derivatives, as well as
insurance and reinsurance, provided that the following
(a) paragraph 1 is replaced by the following:
conditions are met:
"1. It
shall
be
prohibited:
(a) on the basis of the information available to it,
including information provided by the person, entity
or body requesting the authorisation, the competent
(a) to provide, directly or indirectly, technical
authority has determined that it is reasonable to
assistance or brokering services related to
conclude that:
equipment, goods or technology which might be
used for internal repression or for the manufacture
(i) the activities concerned are for the purpose of
and maintenance of products which could be used
providing assistance to the Syrian civilian popu
for internal repression as listed in Annex IA, to any
lation, in particular in view of meeting humani
person, entity or body in Syria or for use in Syria;
tarian concerns, assisting in the provision of basic
services, reconstruction or restoring economic
activity, or other civilian purposes;
(b) to provide, directly or indirectly, financing or
financial assistance related to the goods and tech
nology listed in Annex IA, including in particular
(ii) the activities concerned do not entail funds or
grants, loans and export credit insurance, as well as
economic resources being made available,
insurance and reinsurance, for any sale, supply,
directly or indirectly, to or for the benefit of a
transfer or export of such items, or for any
person, entity or body referred to in Article 14;
provision of related technical assistance to any
person, entity or body in Syria or for use in Syria;
(iii) the activities concerned do not breach any of the
prohibitions laid down in this Regulation;
(c) to participate, knowingly and intentionally, in
activities the object or effect of which is to
(b) the Member State concerned has consulted in advance
circumvent the prohibitions referred to in points
the person, entity or body designated by the Syrian
(a) and (b).";
National Coalition for Opposition and Revolutionary
Forces as regards, inter alia:
(b) paragraph 2 is deleted;
(i) the competent authority's determination under
points (a) (i) and (ii);
(c) paragraph 3 is replaced by the following:
(ii) the availability of information indicating that the
"3. By
way
of
derogation
from
paragraph
1,
the
activities concerned might entail funds or
competent authorities of the Member States, as
economic resources being made available, directly
identified on the websites listed in Annex III, may
or indirectly, to or for the benefit of a person,
grant, under such terms and conditions as they deem
entity or body referred to in Article 2 of Regu
appropriate, an authorisation for technical assistance
lation (EC) No 2580/2001 of 27 December
or brokering services, or financing or financial
2001 on specific restrictive measures directed
assistance related to equipment, goods or technology,
against certain persons and entities with a view
as listed in Annex IA, provided that the equipment,
to combating terrorism (*) or in Article 2 of Regu
goods or technology are intended for food, agricul
lation (EC) No 881/2002 of 27 May 2002
tural, medical or other humanitarian purposes, or for
imposing certain specific restrictive measures
the benefit of United Nations personnel, personnel of
directed against certain persons and entities
the Union or its Member States.
associated with the Al-Qaida network (**);

---

L 198/30
EN
Official Journal of the European Union
23.7.2013
and the person, entity or body designated by the
(iii) the activities concerned do not breach any of the
Syrian National Coalition for Opposition and Revol
prohibitions laid down in this Regulation;
utionary Forces has given its views to the relevant
Member State.
(b) the Member State concerned has consulted in advance
the person, entity or body designated by the Syrian
National Coalition for Opposition and Revolutionary
(c) In the absence of the receipt of views from the person,
Forces as regards, inter alia:
entity or body designated by the Syrian National
Coalition for Opposition and Revolutionary Forces
within 30 days after the request was made to them,
(i) the competent authority's determination under
the competent authority may proceed with its decision
points (a) (i) and (ii);
on whether or not to issue the authorisation.
(ii) the availability of information indicating that the
activities concerned might entail funds or
2. When
applying
the
conditions
under
points
(a)
and
economic resources being made available, directly
(b) of paragraph 1, the competent authority shall require
or indirectly, to or for the benefit of a person,
adequate information as regards the use of the authori
entity or body referred to in Article 2 of Regu
sation granted, including information concerning the
lation (EC) No 2580/2001 or Article 2 of Regu
counterparts to the transaction.
lation (EC) No 881/2002;
and the person, entity or body designated by the
3. The
Member
State
concerned
shall
inform,
within
Syrian National Coalition for Opposition and Revol
two weeks, the other Member States and the Commission
utionary Forces has given its views to the relevant
of any authorisation granted under this Article.;
Member State.
(c) In the absence of the receipt of views from the person,
___________
entity or body designated by the Syrian National
(*) OJ L 344, 28.12.2001, p. 70.
Coalition for Opposition and Revolutionary Forces
(**) OJ L 139, 29.5.2002, p. 9."
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.
(7) the following Article is inserted:
"
2. When
applying
the
conditions
under
points
(a)
and
Article 9a
(b) of paragraph 1, the competent authority shall require
1. By
way
of
derogation
from
Articles
8
and
9,
the
adequate information as regards the use of the authori
competent authorities of the Member States as identified
sation granted, including information concerning the
on the websites listed in Annex III, may authorise, under
end-user and the final destination of the delivery.
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
3. The
Member
State
concerned
shall
inform,
within
related technical assistance or brokering services, or
two weeks, the other Member States and the Commission
financing or financial assistance, provided that the
of any authorisation granted under this Article.";
following conditions are met:
(8) the following Article is inserted:
(a) on the basis of the information available to it,
including information provided by the person, entity
or body requesting the authorisation, the competent
"Article 13a
authority has determined that it is reasonable to
conclude that:
1. By
way
of
derogation
from
Article
13(1),
the
competent authorities of the Member States as identified
(i) the activities concerned are for the purpose of
on the websites listed in Annex III, may authorise, under
providing assistance to the Syrian civilian popu
such terms and conditions as they deem appropriate, the
lation, in particular in view of meeting humani
granting of any financial loan or credit to or the
tarian concerns, assisting in the provision of basic
acquisition or extension of a participation in, or the
services, reconstruction or restoring economic
creation of any joint venture with any Syrian person,
activity, or other civilian purposes;
entity or body referred to in point (a) of Article 13(2),
provided that the following conditions are met:
(ii) the activities concerned do not entail funds or
economic resources being made available,
directly or indirectly, to or for the benefit of a
(a) on the basis of the information available to it,
person, entity or body referred to in Article 14;
including information provided by the person, entity

---

EN
23.7.2013 Official
Journal
of
the
European
Union L
198/31
or body requesting the authorisation, the competent
(9) the following Article is inserted:
authority has determined that it is reasonable to
conclude that:
"Article 25a
1. By way of derogation from points (a) and (c) of
(i) the activities concerned are for the purpose of
Article 25(1), the competent authorities of the Member
providing assistance to the Syrian civilian popu
States as identified on the websites listed in Annex III,
lation, in particular in view of meeting humani
may authorise, under such terms and conditions as they
tarian concerns, assisting in the provision of basic
deem appropriate, the opening of a new bank account or a
services, reconstruction or restoring economic
new representative office, or the establishment of a new
activity, or other civilian purposes;
branch or subsidiary, provided that the following
conditions are met:
(ii) the activities concerned do not entail funds or
economic resources being made available,
(a) on the basis of the information available to it,
directly or indirectly, to or for the benefit of a
including information provided by the person, entity
person, entity or body referred to in Article 14;
or body requesting the authorisation, the competent
authority has determined that it is reasonable to
conclude that:
(iii) the activities concerned do not breach any of the
prohibitions laid down in this Regulation;
(i) the activities concerned are for the purpose of
providing assistance to the Syrian civilian popu
lation, in particular in view of meeting humani
(b) the Member State concerned has consulted in advance
tarian concerns, assisting in the provision of basic
the person, entity or body designated by the Syrian
services, reconstruction or restoring economic
National Coalition for Opposition and Revolutionary
activity, or other civilian purposes;
Forces as regards, inter alia:
(ii) the activities concerned do not entail funds or
(i) the competent authority's determination under
economic resources being made available,
points (a) (i) and (ii);
directly or indirectly, to or for the benefit of a
person, entity or body referred to in Article 14;
(ii) the availability of information indicating that the
(iii) the activities concerned do not breach any of the
activities concerned might entail funds or
prohibitions laid down in this Regulation;
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 Regu
(b) the Member State concerned has consulted in advance
lation (EC) No 2580/2001 or Article 2 of Regu
the person, entity or body designated by the Syrian
lation (EC) No 881/2002;
National Coalition for Opposition and Revolutionary
Forces as regards, inter alia:
and the person, entity or body designated by the
(i) the competent authority's determination under
Syrian National Coalition for Opposition and Revol
points (a) (i) and (ii);
utionary Forces has given its views to the relevant
Member State.
(ii) the availability of information indicating that the
activities concerned might entail funds or
(c) In the absence of the receipt of views from the person,
economic resources being made available, directly
entity or body designated by the Syrian National
or indirectly, to or for the benefit of a person,
Coalition for Opposition and Revolutionary Forces
entity or body referred to in Article 2 of Regu
within 30 days after the request was made to them,
lation (EC) No 2580/2001 or Article 2 of Regu
the competent authority may proceed with its decision
lation (EC) No 881/2002;
on whether or not to issue the authorisation.
and the person, entity or body designated by the
2. When
applying
the
conditions
under
points
(a)
and
Syrian National Coalition for Opposition and Revol
(b) of paragraph 1, the competent authority shall require
utionary Forces has given its views to the relevant
adequate information as regards the use of the authori
Member State.
sation granted, including information concerning the
purpose of, and the counterparts to the transaction.
(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
3. The
Member
State
concerned
shall
inform,
within
within 30 days after the request was made to them,
two weeks, the other Member States and the Commission
the competent authority may proceed with its decision
of any authorisation granted under this Article.";
on whether or not to issue the authorisation.

---

L 198/32
EN
Official Journal of the European Union
23.7.2013
2. When
applying
the
conditions
under
points
(a)
and
"The list set out in this Annex shall not include
(b) of paragraph 1, the competent authority shall require
products identified as consumer goods packaged for
adequate information as regards the use of the authori
retail sale for personal use or packaged for individual
sation granted, including information concerning the
use, with the exception of isopropanol.";
purpose of, and the counterparts to the activities
concerned.
(b) in Section IX.A1 "Materials, chemicals, 'micro-
organisms' and 'toxins' ", the entries set out in
3. The
Member
State
concerned
shall
inform,
within
Annex I to this Regulation are added as point
two weeks, the other Member States and the Commission
IX.A1.004;
of any authorisation granted under this Article.";
(c) in Section IX.A2 "Materials Processing", the entry set
(10) Annex I is deleted;
out in Annex II to this Regulation is added as point
IX.A2.010.
(11) Annex IX is amended as follows:
Article 2
(a) the following paragraph is inserted below the title "List
of Equipment, Goods and Technology Referred to in
This Regulation shall enter into force on the day following that
Article 2b":
of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 22 July 2013.
For the Council
The President
C. ASHTON

---

EN
23.7.2013 Official
Journal
of
the
European
Union L
198/33
ANNEX I
Entries referred to in point (11)(b)
Separate chemically defined compounds according to Note 1 to Chapters 28 and 29 of the Combined Nomenclature ( 1 ),
at 90 % concentration or greater, unless otherwise indicated, as follows:
Acetone, (CAS
RN
67-64-1) (CN
code
2914
11
00)
Acetylene, (CAS
RN
74-86-2) (CN
code
2901
29
00)
Ammonia, (CAS
RN
7664-41-7) (CN
code
2814
10
00)
Antimony, (CAS
RN
7440-36-0) (heading
8110)
Benzaldehyde, (CAS
RN
100-52-7) (CN
code
2912
21
00)
Benzoin, (CAS
RN
119-53-9) (CN
code
2914
40
90)
1-Butanol, (CAS
RN
71-36-3) (CN
code
2905
13
00)
2-Butanol, (CAS
RN
78-92-2) (CN
code
2905
14
90)
Iso-Butanol, (CAS
RN
78-83-1) (CN
code
2905
14
90)
Tert-Butanol, (CAS
RN
75-65-0) (CN
code
2905
14
10)
Calcium carbide, (CAS
RN
75-20-7) (CN
code
2849
10
00)
Carbon monoxide, (CAS
RN
630-08-0) (CN
code
2811
29
90)
Chlorine, (CAS
RN
7782-50-5) (CN
code
2801
10
00)
Cyclohexanol, (CAS
RN
108-93-0) (CN
code
2906
12
00)
Dicyclohexylamine (DCA), (CAS
RN
101-83-7) (CN
code
2921
30
99)
Ethanol, (CAS
RN
64-17-5) (CN
code
2207
10
00)
Ethylene, (CAS
RN
74-85-1) (CN
code
2901
21
00)
Ethylene oxide, (CAS
RN
75-21-8) (CN
code
2910
10
00)
Fluoroapatite, (CAS
RN
1306-05-4) (CN
code
2835
39
00)
Hydrogen chloride, (CAS
RN
7647-01-0) (CN
code
2806
10
00)
Hydrogen sulfide, (CAS
RN
7783-06-4) (CN
code
2811
19
80)
Isopropanol, 95 % concentration or greater, (CAS
RN
67-63-0) (CN
code
2905
12
00)
Mandelic acid, (CAS
RN
90-64-2) (CN
code
2918
19
98)
Methanol, (CAS
RN
67-56-1) (CN
code
2905
11
00)
Methyl chloride, (CAS
RN
74-87-3) (CN
code
2903
11
00)
( 1 ) As set out in the Commission Implementing Regulation (EU) No 927/2012 of 9 October 2012 amending Annex I to
Council Regulation (EEC) No 2658/87 on the tariff and statistical nomenclature and on the Common Customs Tariff (OJ L 304,
31.10.2012, p. 1).

---

L 198/34
EN
Official Journal of the European Union
23.7.2013
Methyl iodide, (CAS
RN
74-88-4) (CN
code
2903
39
90)
Methyl mercaptan, (CAS
RN
74-93-1) (CN
code
2930
90
99)
Monoethyleneglycol, (CAS
RN
107-21-1) (CN
code
2905
31
00)
Oxalyl chloride, (CAS
RN
79-37-8) (CN
code
2917
19
90)
Potassium sulphide, (CAS
RN
1312-73-8) (CN
code
2830
90
85)
Potassium thiocyanate (KSCN), (CAS
RN
333-20-0) (CN
code
2842
90
80)
Sodium hypochlorite, (CAS
RN
7681-52-9) (CN
code
2828
90
00)
Sulphur, (CAS
RN
7704-34-9) (CN
code
2802
00
00)
Sulphur dioxide, (CAS
RN
7446-09-5) (CN
code
2811
29
05)
Sulphur trioxide, (CAS
RN
7446-11-9) (CN
code
2811
29
10)
Thiophosphoryl chloride, (CAS
RN
3982-91-0) (CN
code
2853
00
90)
Tri-isobutyl phosphite, (CAS
RN
1606-96-8) (CN
code
2920
90
85)
White/yellow phosphorus, (CAS
RN
12185-10-3,
7723-14-0) (CN
code
2804
70
00)
ANNEX II
Entry referred to in point (11)(c)
IX.A2.010 Equipment
Laboratory equipment, including parts and accessories for such equipment, for the
(destructive or non-destructive) analysis or detection of chemical substances, with the
exception of equipment, including parts or accessories, specifically designed for medical
use.

---

Document Outline

• �

---