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19.1.2012 Official
Journal
of
the
European
Union
L
16/1
II
(Non-legislative acts)
REGULATIONS
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
THE COUNCIL OF THE EUROPEAN UNION,
(3) In
view
of
the
continued
brutal
repression
and
violation
of human rights by the Government of Syria, Council
Having regard to the Treaty on the Functioning of the European
Decision 2011/782/CFSP provides for additional
Union, and in particular Article 215 thereof,
measures, namely a prohibition on the export of tele
communications monitoring equipment for use by the
Having regard to Council Decision 2011/782/CFSP of
Syrian regime, a prohibition on the participation in
1 December 2011 concerning restrictive measures against
certain infrastructure projects and investment in such
Syria ( 1 ),
projects, and additional restrictions on the transfers of
funds and the provision of financial services.
Having regard to the joint proposal from the High Represen
tative of the Union for Foreign Affairs and Security Policy and
the European Commission,
(4) It
should
be
clarified
that
submitting
and
forwarding
the
necessary documents to a bank for the purpose of their
Whereas:
final transfer to a person, entity or body that is not listed,
to trigger payments allowed under Article 20, does not
(1) On
9
May
2011,
the
Council
adopted
Regulation
(EU)
constitute making funds available within the meaning of
No 442/2011 concerning restrictive measures in view of
Article 14.
the situation in Syria ( 2 ).
(2) The
Council
expanded
the
scope
of
its
measures
against (5) The
power
to
amend
the
list
in
Annex
II
and
IIa
to
this
Syria by way of Council Regulations on 2 September,
Regulation should be exercised by the Council, in view of
23 September, 13 October and 14 November 2011 ( 3 ),
the serious political situation in Syria, and to ensure
as well as making amendments and additions to the list
consistency with the process for amending and
of targeted persons and entities through successive
reviewing the Annex to Decision 2011/782/CFSP.
Council Implementing Regulations ( 4 ). Further measures,
which do not fall within the scope of Union law, are set
out in the corresponding CFSP Decisions of the
(6) The
procedure
for
amending
the
lists
in
Annex
II
and
IIa
Council ( 5 ).
to this Regulation should include providing designated
natural or legal persons, entities or bodies with the
( 1 ) OJ L 319, 2.12.2011, p. 56.
grounds for listing, so as to give them an opportunity
( 2 ) OJ L 121, 10.5.2011, p. 1.
to submit observations. Where observations are
( 3 ) Council Regulations (EU) No 878/2011 (OJ L 228, 3.9.2011, p. 1),
submitted, or substantial new evidence is presented, the
(EU) No 950/2011 (OJ L 247, 24.9.2011, p. 3), (EU) No 1011/2011
Council should review its decision in light of those obser
(OJ L 269, 14.10.2011, p. 18), (EU) No 1150/2011 (OJ L 296,
vations and inform the person, entity or body concerned
15.11.2011, p. 1).
accordingly.
( 4 ) Council Implementing Regulations (EU) No 504/2011 (OJ L 136,
24.5.2011, p. 45), (EU) No 611/2011 (OJ L 164, 24.6.2011, p. 1),
(EU) No 755/2011 (OJ L 199, 2.8.2011, p. 33), (EU) No 843/2011
(OJ L 218, 24.8.2011, p. 1), (EU) No 1151/2011 (OJ L 296,
(7) For
the
implementation
of
this
Regulation,
and
in
order
15.11.2011, p. 3).
to create maximum legal certainty within the Union, the
( 5 ) Council Implementing Decision 2011/302/CFSP (OJ L 136,
names and other relevant data concerning natural and
24.5.2011, p. 91), Council Implementing Decision 2011/367/CFSP
(OJ L 164, 24.6.2011, p. 14), Council Implementing Decision
legal persons, entities and bodies whose funds and
2011/488/CFSP (OJ L 199, 2.8.2011, p. 74), Council Implementing
economic resources must be frozen in accordance with
Decision 2011/515/CFSP (OJ L 218, 24.8.2011, p. 20), Council
this Regulation, must be made public.Any processing of
Decision 2011/522/CFSP (OJ L 228, 3.9.2011, p. 16), Council
personal data should comply with Regulation (EC) No
Decision 2011/628/CFSP (OJ L 247, 24.9.2011, p. 17), Council
45/2001 of the European Parliament and of the
Decision 2011/684/CFSP (OJ L 269, 14.10.2011, p. 33), Council
Council of 18 December 2000 on the protection of
Decision 2011/735/CFSP (OJ L 296, 15.11.2011, p. 53), Council
Implementing Decision 2011/736/CFSP (OJ L 296, 15.11.2011,
individuals with regard to the processing of personal
p. 55).
data by the Community institutions and bodies and on

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L 16/2
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Official Journal of the European Union
19.1.2012
the free movement of such data ( 1 ) and Directive
financial guarantee or financial indemnity, and credit,
95/46/EC of the European Parliament and of the
whether legally independent or not, as well as any related
Council of 24 October 1995 on the protection of indi
provision arising under, or in connection with, the trans
viduals with regard to the processing of personal data
action;
and on the free movement of such data ( 2 ).
(d) 'credit institution' means a credit institution as defined in
(8) These
measures
fall
within
the
scope
of
the
Treaty
on
the
Article 4(1) of Directive 2006/48/EC of the European
Functioning of the European Union and, therefore,
Parliament and of the Council of 14 June 2006 relating
notably with a view to ensuring its uniform application
to the taking up and pursuit of the business of credit
by economic operators in all Member States, regulatory
institutions ( 3 ), including its branches inside or outside
action at the level of the Union is necessary in order to
the Union;
implement them.
(e) 'crude oil and petroleum products' means the products
listed in Annex IV;
(9)
In view of the extent of the amendments introduced,
taken together with the various measures already
adopted in relation to Syria, it is appropriate to
(f) 'economic resources' means assets of every kind, whether
consolidate all the measures into a new regulation
tangible or intangible, movable or immovable, which are
which repeals and replaces Regulation (EU) No
not funds, but which may be used to obtain funds, goods
442/2011.
or services;
(10) In
order
to
ensure
that
the
measures
provided
for
in
this
(g) 'financial institution' means:
Regulation are effective, this Regulation should enter into
force immediately,
(i) an undertaking, other than a credit institution, which
carries out one or more of the operations included in
HAS ADOPTED THIS REGULATION:
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);
CHAPTER I
DEFINITIONS
(ii) an insurance company duly authorised in accordance
with Directive 2002/83/EC of the European Parliament
Article 1
and of the Council of 5 November 2002 concerning
For the purposes of this Regulation, the following definitions
life assurance ( 4 ), insofar as it carries out activities
shall apply:
covered by that Directive;
(iii) an investment firm as defined in point 1 of Article 4(1)
(a) 'branch' of a financial or credit institution means a place of
of Directive 2004/39/EC of the European Parliament
business which forms a legally dependent part of a financial
and of the Council of 21 April 2004 on markets in
or credit institution and which carries out directly all or
financial instruments ( 5 );
some of the transactions inherent in the business of
financial or credit institutions;
(iv) a collective investment undertaking marketing its units
or shares; or
(b) 'brokering services' means:
(v) an insurance intermediary as defined in Article 2(5) of
(i) the negotiation or arrangement of transactions for the
Directive 2002/92/EC of the European Parliament and
purchase, sale or supply of goods and technology from
of the Council of 9 December 2002 on insurance
a third country to any other third country, or
mediation ( 6 ), with the exception of intermediaries
referred to in Article 2(7) of that Directive, when
they act in respect of life insurance and other
(ii) the selling or buying of goods and technology that are
investment related services;
located in third countries for their transfer to another
third country;
including its branches, whether inside or outside the Union;
(c) 'contract or transaction' means any transaction of whatever
(h) 'freezing of economic resources' means preventing their use
form and whatever the applicable law, whether comprising
to obtain funds, goods or services in any way, including,
one or more contracts or similar obligations made between
but not limited to, by selling, hiring or mortgaging them;
the same or different parties; for this purpose 'contract'
includes a bond, guarantee or indemnity, particularly a
( 3 ) OJ L 177, 30.6.2006, p. 1.
( 4 ) OJ L 345, 19.12.2002, p. 1.
( 1 ) OJ L 8, 12.1.2001, p. 1.
( 5 ) OJ L 145, 30.4.2004, p. 1.
( 2 ) OJ L 281, 23.11.1995, p. 31.
( 6 ) OJ L 9, 15.1.2003, p. 3.

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(i) 'freezing of funds' means preventing any move, transfer,
(iv) any credit or financial institution that is not domiciled
alteration, use of, access to, or dealing with funds in any
in Syria but is controlled by one or more persons or
way that would result in any change in their volume,
entities domiciled in Syria;
amount, location, ownership, possession, character, desti
nation or other change that would enable the funds to
be used, including portfolio management;
(o) 'Syrian person, entity or body' means:
(j) 'funds' means financial assets and benefits of every kind,
(i) the State of Syria or any public authority thereof;
including but not limited to:
(ii) any natural person in, or resident in, Syria;
(i) cash, cheques, claims on money, drafts, money orders
and other payment instruments;
(iii) any legal person, entity or body having its registered
office in Syria;
(ii) deposits with financial institutions or other entities,
balances on accounts, debts and debt obligations;
(iv) any legal person, entity or body, inside or outside
(iii) publicly- and privately-traded securities and debt
Syria, owned or controlled directly or indirectly by
instruments, including stocks and shares, certificates
one or more of the above-mentioned persons or
representing securities, bonds, notes, warrants,
bodies;
debentures and derivatives contracts;
(p) 'technical assistance' means any technical support related to
(iv) interest, dividends or other income on or value
repairs, development, manufacture, assembly, testing, main
accruing from or generated by assets;
tenance, or any other technical service, and may take forms
such as instruction, advice, training, the transmission of
working knowledge or skills or consulting services;
(v) credit, right of set-off, guarantees, performance bonds
including verbal forms of assistance;
or other financial commitments;
(q) 'territory of the Union' means the territories of the Member
(vi) letters of credit, bills of lading, bills of sale;
States to which the Treaty is applicable, under the
conditions laid down in the Treaty, including their airspace.
(vii) documents evidencing an interest in funds or financial
resources;
CHAPTER II
(k) 'goods' includes items, materials and equipment;
EXPORT AND IMPORT RESTRICTIONS
Article 2
(l) 'insurance' means an undertaking or commitment whereby
one or more natural or legal persons are obliged, in return
1. It
shall
be
prohibited:
for payment, to provide one or more other persons, in the
event of materialisation of a risk, with an indemnity or a
(a) to sell, supply, transfer or export, directly or indirectly,
benefit as determined by the undertaking or commitment;
equipment which might be used for internal repression as
listed in Annex I, whether or not originating in the Union,
(m) 'reinsurance' means the activity consisting in accepting risks
to any person, entity or body in Syria or for use in Syria;
ceded by an insurance undertaking or by another rein
surance undertaking or, in the case of the association of
(b) to participate, knowingly and intentionally, in activities the
underwriters known as Lloyd's, the activity consisting in
object or effect of which is to circumvent the prohibitions
accepting risks, ceded by any member of Lloyd's, by an
referred to in point (a).
insurance or reinsurance undertaking other than the
association of underwriters known as Lloyd's;
2. Paragraph
1
shall
not
apply
to
protective
clothing,
(n) 'Syrian credit or financial institution' means:
including flak jackets and helmets, temporarily exported to
Syria by United Nations (UN) personnel, personnel of the
Union or its Member States, representatives of the media or
(i) any credit or financial institution domiciled in Syria,
humanitarian and development workers and associated
including the Central Bank of Syria;
persons exclusively for their personal use.
(ii) any branch or subsidiary, where it falls within the
3. By way of derogation from paragraph 1, the competent
scope of Article 35, of a credit or financial institution
authorities in the Member States as listed in Annex III may
domiciled in Syria;
authorise the sale, supply, transfer or export of equipment
which might be used for internal repression, under such
(iii) any branch or subsidiary, where it does not fall within
conditions as they deem appropriate, if they determine that
the scope of Article 35, of a credit or financial insti
such equipment is intended solely for humanitarian or
tution domiciled in Syria;
protective use.

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Article 3
Union, to any person, entity or body in Syria or for use in
Syria, unless the competent authority of the relevant Member
1. It
shall
be
prohibited:
State, as identified in the websites referred to in Annex III, has
given prior authorisation.
(a) to provide, directly or indirectly, technical assistance related
to the goods and technology listed in the Common Military
List of the European Union ( 1 ) ('Common Military List') or
2. The
competent
authorities
of
the
Member
States,
as
related to the provision, manufacture, maintenance and use
identified in the websites referred to in Annex III, shall not
of goods included in that list, to any person, entity or body
grant any authorisation under paragraph 1 if they have
in Syria or for use in Syria;
reasonable grounds to determine that the equipment, tech
nology or software in question would be used for monitoring
or interception, by the Syrian regime or on its behalf, of
(b) to provide, directly or indirectly, technical assistance or
internet or telephone communications in Syria.
brokering services related to equipment which might be
used for internal repression as listed in Annex I, to any
person, entity or body in Syria or for use in Syria;
3. Annex
V
shall
include
equipment,
technology
or
software
which may be used for the monitoring or interception of
internet or telephone communications.
(c) to provide, directly or indirectly, financing or financial
assistance related to the goods and technology listed in
the Common Military List or in Annex I, including in
particular grants, loans and export credit insurance, for
4. The
Member
State
concerned
shall
inform
the
other
any sale, supply, transfer or export of such items, or for
Member States and the Commission of any authorisation
any provision of related technical assistance to any person,
granted under this Article, within four weeks following the
entity or body in Syria or for use in Syria;
authorisation.
(d) to participate, knowingly and intentionally, in activities the
Article 5
object or effect of which is to circumvent the prohibitions
referred to in points (a) to (c).
1. It
shall
be
prohibited:
2. By way of derogation from paragraph 1, the prohibitions
(a) to provide, directly or indirectly, technical assistance or
referred to therein shall not apply to the provision of technical
brokering services related to the equipment, technology
assistance, financing and financial assistance related to:
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
— technical assistance intended solely for the support of the
the provision, installation, operation or updating of any
United Nations Disengagement Observer Force (UNDOF);
software identified in Annex V, to any person, entity or
body in Syria or for use in Syria;
— non-lethal military equipment, or equipment which might
be used for internal repression, intended solely for humani
tarian purposes or protective use or for institution building
(b) to provide, directly or indirectly, financing or financial
programmes of the UN and the Union, or for Union or UN
assistance related to the equipment, technology and
crisis management operations; or
software identified in Annex V, to any person, entity or
body in Syria or for use in Syria;
— non-combat vehicles fitted with materials to provide ballistic
protection, intended solely for the protective use of
(c) to provide any telecommunication or internet monitoring
personnel of the Union and its Member States in Syria;
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
provided that such provision shall first have been approved by
entity acting on their behalf or at their direction; and
the competent authority of a Member State, as identified on the
websites listed in Annex III.
(d) to participate, knowingly and intentionally, in any activity
the object or effect of which is to circumvent the
Article 4
prohibitions referred to in point (a), (b) or (c) above;
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
unless the competent authority of the relevant Member State, as
identified in the websites referred to in Annex III, has given
( 1 ) OJ C 86, 18.3.2011, p. 1.
prior authorisation, on the basis set out in Article 4(2).

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2. For
the
purposes
of
paragraph
1(c), 'telecommunication or
(b) production of crude oil and natural gas;
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
(c) refining;
subject's incoming and outgoing telecommunications and call-
associated data for the purpose of its extraction, decoding,
(d) liquefaction of natural gas.
recording, processing, analysis and storing or any other
related activity.
3. Annex
VI
shall
not
include
items
included
in
the
Common
Military List.
Article 6
It shall be prohibited:
Article 9
(a) to import crude oil or petroleum products into the Union if
It shall be prohibited:
they:
(a) to provide, directly or indirectly, technical assistance or
(i) originate in Syria; or
brokering services related to the equipment and technology
listed in Annex VI, or related to the provision, manufacture,
(ii) have been exported from Syria;
maintenance and use of goods listed in Annex VI, to any
Syrian person, entity or body, or for use in Syria;
(b) to purchase crude oil or petroleum products which are
located in or which originated in Syria;
(b) to provide, directly or indirectly, financing or financial
assistance related to the equipment and technology listed
(c) to transport crude oil or petroleum products if they
in Annex VI, to any Syrian person, entity or body; or for
originate in Syria, or are being exported from Syria to
use in Syria, and
any other country;
(c) to participate, knowingly and intentionally, in any activity
(d) to provide, directly or indirectly, financing or financial
the object or effect of which is to circumvent the
assistance, including financial derivatives, as well as
prohibitions referred to in point (a) or (b).
insurance and re-insurance, related to the prohibitions set
out in points (a), (b) and (c); and
Article 10
(e) to participate, knowingly and intentionally, in activities
1. The
prohibitions
in
Articles
8
and
9
shall
not
apply
to
the
whose object or effect is, directly or indirectly, to
performance of an obligation required by a contract which was
circumvent the prohibitions in point (a), (b), (c) or (d).
awarded or concluded prior to 19 January 2012, provided that
the person or entity seeking to rely on this Article has notified,
Article 7
at least 21 calendar days in advance, the competent authority of
the Member State in which they are established, as identified on
The prohibitions in Article 6 shall not apply to:
the websites listed in Annex III.
(a) the execution, on or prior to 15 November 2011, of an
obligation arising from a contract concluded before
2. For
the
purposes
of
this
Article,
a
contract
shall
have
been
'
2 September 2011, provided that the natural or legal
awarded' to a person or entity if express written confirmation
person, entity or body seeking to perform the obligation
of the award of the contract to that person or entity has been
concerned has notified, at least seven working days in
sent by the other contracting party, following the conclusion of
advance, the activity or transaction to the competent
a formal tender process.
authority of the Member State in which it is established,
as identified on the websites listed in Annex III; or
Article 11
It shall be prohibited to sell, supply, transfer or export, directly
(b) the purchase of crude oil or petroleum products which had
or indirectly, new Syrian denominated banknotes and coinage,
been exported from Syria prior to 2 September 2011, or,
printed or minted in the Union, to the Central Bank of Syria.
where the export was made pursuant to point (a), on or
prior to 15 November 2011.
CHAPTER III
Article 8
RESTRICTIONS ON PARTICIPATION IN INFRASTRUCTURE
1. It
shall
be
prohibited
to
sell,
supply,
transfer
or
export
the
PROJECTS
equipment or technology listed in Annex VI, directly or
Article 12
indirectly, to any Syrian person, entity or body, or for use in
Syria.
1. It
shall
be
prohibited:
2. Annex
VI
shall
include
key
equipment
and
technology
for (a) to sell, supply, transfer or export equipment or technology
the following sectors of the oil and gas industry in Syria:
to be used in the construction or installation in Syria of
new power plants for electricity production, as listed in
(a) exploration of crude oil and natural gas;
Annex VII;

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(b) to provide, directly or indirectly, financial or technical
(ii) the construction or installation of new power plants for
assistance in relation to any project referred to in point (a).
electricity production concluded prior to 19 January
2012;
2. This
prohibition
shall
not
apply
to
the
performance
of
an
obligation required by a contract or agreement which was
(b) shall not prevent the extension of a participation relating to:
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
(i) the exploration, production or refining of crude oil, if
of the Member State in which they are established, as identified
such extension is an obligation under an agreement
on the websites listed in Annex III.
concluded before 23 September 2011;
CHAPTER IV
(ii) the construction or installation of new power plants for
RESTRICTIONS ON FINANCING CERTAIN ENTERPRISES
electricity production if such extension is an obligation
under an agreement concluded prior to 19 January
Article 13
2012.
1. The
following
shall
be
prohibited:
CHAPTER V
(a) the granting of any financial loan or credit to any Syrian
person, entity or body referred to in paragraph 2;
FREEZING OF FUNDS AND ECONOMIC RESOURCES
Article 14
(b) the acquisition or extension of a participation in any Syrian
1. All funds and economic resources belonging to, owned,
person, entity or body referred to in paragraph 2;
held or controlled by the natural or legal persons, entities and
bodies listed in Annex II and IIa shall be frozen.
(c) the creation of any joint venture with any Syrian person,
entity or body referred to in paragraph 2;
2. No
funds
or
economic
resources
shall
be
made
available,
directly or indirectly, to or for the benefit of the natural or legal
(d) the participation, knowingly and intentionally, in activities
persons, entities or bodies listed in Annex II and IIa.
the object or effect of which is to circumvent the
prohibitions referred to in point (a), (b) or (c).
3. The participation, knowingly and intentionally, in
activities the object or effect of which is, directly or indirectly,
2. The
prohibitions
in
paragraph
1
shall
apply
to
any
Syrian to circumvent the measures referred to in paragraphs 1 and 2
person, entity or body engaged in:
shall be prohibited.
(a) the exploration, production or refining of crude oil; or
Article 15
1. Annexes
II
and
IIa
shall
consist
of
the
following:
(b) the construction or installation of new power plants for
electricity production.
(a) Annex II shall consist of a list of natural or legal persons,
entities and bodies who, in accordance with Article 19(1) of
3. For the purposes of paragraph 2 only, the following defi
Decision 2011/782/CFSP, have been identified by the
nitions shall apply:
Council as being persons or entities responsible for the
violent repression against the civilian population in Syria,
(a) 'exploration of crude oil' includes the exploration for, pros
persons and entities benefiting from or supporting the
pecting for and management of crude oil reserves, as well as
regime, and natural or legal persons and entities associated
the provision of geological services in relation to such
with them, and to whom Article 21 of this Regulation shall
reserves;
not apply;
(b) 'refining of crude oil' means the processing, conditioning or
(b) Annex IIa shall consist of a list of entities which, in
preparation of oil for the ultimately final sale of fuels.
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
4. The
prohibitions
in
paragraph
1:
violent repression against the civilian population in Syria, or
with persons and entities benefiting from or supporting the
(a) shall be without prejudice to the execution of an obligation
regime, and to which Article 21 of this Regulation shall
arising from contracts or agreements relating to:
apply.
(i) the exploration, production or refining of crude oil,
2. Annexes II and IIa shall include the grounds for the listing
concluded before 23 September 2011;
of listed persons, entities and bodies concerned.

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3. Annexes
II
and
IIa
shall
also
include,
where
available, The Member State concerned shall inform the other Member
information necessary to identify the natural or legal persons,
States and the Commission of any authorisation granted under
entities and bodies concerned. With regard to natural persons,
this Article within four weeks following the authorisation.
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
Article 17
number and place of business.
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
Article 16
funds or economic resources, under such conditions as they
By way of derogation from Article 14, the competent
deem appropriate, after having determined that the provision
authorities in the Member States as identified on the websites
of such funds or economic resources are necessary for the
listed in Annex III may authorise the release of certain frozen
essential energy needs of the civilian population in Syria,
funds or economic resources, or the making available of certain
provided that the relevant competent authority has notified
funds or economic resources, under such conditions as they
for each delivery contract the grounds on which it considers
deem appropriate, after having determined that the funds or
that a specific authorisation should be granted to the competent
economic resources are:
authorities of the other Member States and to the Commission
at least four weeks before the authorisation.
(a) necessary to satisfy the basic needs of persons listed in
Annexes II and IIa and their dependent family members,
Article 18
including payments for foodstuffs, rent or mortgage,
medicines and medical treatment, taxes, insurance
By way of derogation from Article 14, the competent
premiums, and public utility charges;
authorities in the Member States as listed in Annex III may
authorise the release of certain frozen funds or economic
resources, if the following conditions are met:
(b) intended exclusively for payment of reasonable professional
fees and reimbursement of incurred expenses associated
with the provision of legal services;
(a) the funds or economic resources in question are the subject
of a judicial, administrative or arbitral lien established prior
to the date on which the person, entity or body referred to
in Article 14 was included in Annex II or IIa, or of a
(c) intended exclusively for payment of fees or service charges
judicial, administrative or arbitral judgment rendered prior
for routine holding or maintenance of frozen funds or
to that date;
economic resources;
(b) the funds or economic resources in question will be used
(d) necessary for extraordinary expenses, provided that the
exclusively to satisfy claims secured by such a lien or
relevant competent authority has notified the grounds on
recognised as valid in such a judgment, within the limits
which it considers that a specific authorisation should be
set by applicable laws and regulations governing the rights
granted to the competent authorities of the other Member
of persons having such claims;
States and to the Commission at least two weeks before the
authorisation;
(c) the lien or judgment is not for the benefit of a person,
(e) to be paid into or from an account of a diplomatic or
entity or body listed in Annex II or IIa; and
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;
(d) recognising the lien or judgment is not contrary to public
policy in the Member State concerned.
(f) necessary for humanitarian purposes, such as delivering or
facilitating the delivery of assistance, including medical
The relevant Member State shall inform the other Member
supplies, food, humanitarian workers and related assistance,
States and the Commission of any authorisation granted
or evacuations from Syria.
under this Article.

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Official Journal of the European Union
19.1.2012
Article 19
implementing it, or its directors or employees, unless it is
proved that the funds and economic resources were frozen or
1. Article
14(2)
shall
not
apply
to
the
addition
to
frozen withheld as a result of negligence.
accounts of:
CHAPTER VI
(a) interest or other earnings on those accounts; or
RESTRICTIONS ON FINANCIAL SERVICES
Article 23
(b) payments due under contracts, agreements or obligations
that were concluded or arose before the date on which
The European Investment Bank (EIB) shall:
the account became subject to this Regulation,
(a) be prohibited from making any disbursement or payment
under or in connection with any existing loan agreements
provided that any such interest, other earnings and payments
entered into between the State of Syria or any public
are frozen in accordance with Article 14(1).
authority thereof and the EIB; and
2. Article
14(2)
shall
not
prevent
financial
or
credit
insti
(b) suspend all existing Technical Assistance Service Contracts
tutions in the Union from crediting frozen accounts where
relating to projects financed under the loan agreements
they receive funds transferred to the account of a listed
referred to in point (a), and which are intended for the
natural or legal person, entity or body, provided that any
direct or indirect benefit of the State of Syria or any
additions to such accounts will also be frozen. The financial
public authority thereof to be performed in Syria.
or credit institution shall inform the relevant competent
authority about any such transaction without delay.
Article 24
It shall be prohibited:
Article 20
By way of derogation from Article 14 and provided that a
(a) to sell or purchase Syrian public or public-guaranteed bonds
payment by a person, entity or body listed in Annex II or IIa
issued after 19 January 2012, directly or indirectly, to or
is due under a contract or agreement that was concluded by, or
from any of the following:
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
(i) the State of Syria or its Government, and its public
Member States, as indicated on the websites listed in Annex
bodies, corporations and agencies;
III, may authorise, under such conditions as they deem appro
priate, the release of certain frozen funds or economic
resources, provided that the payment is not directly or indirectly
(ii) any Syrian credit or financial institution;
received by a person or entity referred to in Article 14.
(iii) a natural person or a legal person, entity or body acting
on behalf or at the direction of a legal person, entity or
Article 21
body referred to in (i) or (ii);
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
(iv) a legal person, entity or body owned or controlled by a
which it was designated, make a payment from frozen funds or
person, entity or body referred to in (i), (ii) or (iii);
economic resources which were received by that entity after the
date on which it was designated, provided that:
(b) to provide brokering services with regard to Syrian public or
public-guaranteed bonds issued after 19 January 2012, to a
(a) such payment is due under a trade contract; and
person, entity or body referred to in point (a);
(b) the competent authority of the relevant Member State has
(c) to assist a person, entity or body referred to in point (a) in
determined that the payment will not directly or indirectly
order to issue Syrian public or public-guaranteed bonds, by
be received by a person or entity listed in Annex II or
providing brokering services, advertising or any other
Annex IIa.
service with regard to such bonds.
Article 25
Article 22
1. It
shall
be
prohibited
for
credit
and
financial
institutions
The freezing of funds and economic resources or the refusal to
falling within the scope of Article 35 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
(a) open a new bank account with any Syrian credit or financial
part of the natural or legal person or entity or body
institution;

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EN
19.1.2012 Official
Journal
of
the
European
Union
L
16/9
(b) to establish a new correspondent banking relationship with
Point (ii) of paragraph 1(a) shall not prevent the provision of
any Syrian credit or financial institution;
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
(c) to open a new representative office in Syria or to establish a
II or IIa.
new branch or subsidiary in Syria;
(d) to establish a new joint venture with any Syrian credit or
For the purpose of point (ii) of paragraph 1(a), a person, entity
financial institution.
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)
2. It
shall
be
prohibited:
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.
(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;
4. This
Article
prohibits
the
extension
or
renewal
of
insurance and re-insurance agreements concluded before
(b) to conclude agreements for, or on behalf of, any Syrian
19 January 2012 (save where there is a prior contractual obli
credit or financial institution, pertaining to the opening of
gation on the part of the insurer or re-insurer to accept an
a representative office or the establishment of a branch or
extension or renewal of a policy), but, without prejudice to
subsidiary in the Union;
Article 14(2), it does not prohibit compliance with agreements
concluded before that date.
(c) to grant an authorisation for taking up and pursuing the
business of a credit or financial institution or for any other
CHAPTER VII
business requiring prior authorisation, by a representative
office, branch or subsidiary of any Syrian credit or
GENERAL AND FINAL PROVISIONS
financial institution, if the representative office, branch or
subsidiary was not operational before 19 January 2012;
Article 27
No claims, including for compensation or indemnification or
(d) to acquire or to extend a participation, or to acquire any
any other claim of this kind, such as a claim of set-off, fines or
other ownership interest in a credit or financial institution
claims under a guarantee, claims for extension or payment of a
falling within the scope of Article 35 by any Syrian credit or
bond, financial guarantee, including claims arising from letters
financial institution.
of credit and similar instruments in connection with any
contract or transaction the performance of which was
affected, directly or indirectly, in whole or in part, by the
Article 26
measures imposed by this Regulation, should be granted to
the Government of Syria, its public bodies, corporations and
1. It
shall
be
prohibited:
agencies, or to any person or entity claiming through it or for
its benefit.
(a) to provide insurance or re-insurance to:
(i) the State of Syria, its Government, its public bodies,
Article 28
corporations or agencies; or
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
(ii) any natural or legal person, entity or body when acting
person, entity or body concerned if they did not know, and
on behalf or at the direction of a legal person, entity or
had no reasonable cause to suspect, that their actions would
body referred to in (i);
infringe the prohibition in question.
(b) to participate, knowingly and intentionally, in activities, the
Article 29
object or effect of which is to circumvent the prohibitions
in point (a).
1. Without
prejudice
to
the
applicable
rules
concerning
reporting, confidentiality and professional secrecy, natural and
legal persons, entities and bodies shall:
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
(a) supply immediately any information which would facilitate
Union.
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
3. Point
(ii)
of
paragraph
1(a)
shall
not
apply
to
the
resident or located, as indicated on the websites listed in
provision of insurance, including health and travel insurance,
Annex III, and shall transmit such information, either
to individuals acting in their private capacity, and re-insurance
directly or through the Member States, to the Commission;
relating thereto.
and

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Official Journal of the European Union
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(b) cooperate with that competent authority in any verification
and shall take all measures necessary to ensure that they are
of this information.
implemented. The penalties provided for must be effective,
proportionate and dissuasive.
2. Any
information
provided
or
received
in
accordance
with
this Article shall be used only for the purposes for which it was
2. Member
States
shall
notify
the
Commission
of
those
rules
provided or received.
without delay after 19 January 2012 and shall notify it of any
subsequent amendment.
Article 30
Member States and the Commission shall immediately inform
Article 34
each other of the measures taken under this Regulation and
shall supply each other with any other relevant information at
Where there is, in this Regulation, a requirement to notify,
their disposal in connection with this Regulation, in particular
inform or otherwise communicate with the Commission, the
information in respect of violation and enforcement problems
address and other contact details to be used for such communi
and judgments handed down by national courts.
cation shall be those indicated in Annex III.
Article 31
Article 35
The Commission shall be empowered to amend Annex III on
This Regulation shall apply:
the basis of information supplied by Member States.
Article 32
(a) within the territory of the Union, including its airspace;
1. Where
the
Council
decides
to
subject
a
natural
or
legal
person, entity or body to the measures referred to in Article 14,
(b) on board any aircraft or any vessel under the jurisdiction of
it shall amend Annex II or Annex IIa accordingly.
a Member State;
2. The
Council
shall
communicate
its
decision,
including
the (c) to any person inside or outside the territory of the Union
grounds for listing, to the natural or legal person, entity or body
who is a national of a Member State;
referred to in paragraph 1, either directly, if the address is
known, or through the publication of a notice, providing
such natural or legal person, entity or body with an opportunity
(d) to any legal person, entity or body which is incorporated or
to present observations.
constituted under the law of a Member State;
3. Where
observations
are
submitted,
or
where
substantial
new evidence is presented, the Council shall review its
(e) to any legal person, entity or body in respect of any
decision and inform the natural or legal person, entity or
business done in whole or in part within the Union.
body accordingly.
Article 36
4. The
lists
in
Annexes
II
and
IIa
shall
be
reviewed
at
regular
intervals and at least every 12 months.
Regulation (EU) No 442/2011 is repealed.
Article 33
Article 37
1. Member
States
shall
lay
down
the
rules
on
penalties This Regulation shall enter into force on the day of its publi
applicable to infringements of the provisions of this Regulation
cation 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, 18 January 2012.
For the Council
The President
N. WAMMEN

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19.1.2012 Official
Journal
of
the
European
Union L
16/11
ANNEX I
LIST OF EQUIPMENT WHICH MIGHT BE USED FOR INTERNAL REPRESSION AS REFERRED TO IN
ARTICLE 2 AND ARTICLE 3
1. Fire-arms, ammunition and related accessories therefor, as follows:
1.1 Firearms not controlled by ML 1 and ML 2 of the Common Military List;
1.2 Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor;
1.3 Weapon-sights not controlled by the Common Military List.
2. Bombs and grenades not controlled by the Common Military List.
3. Vehicles as follows:
3.1 Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;
3.2 Vehicles specially designed or modified to be electrified to repel borders;
3.3 Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic
protection;
3.4 Vehicles specially designed for the transport or transfer of prisoners and/or detainees;
3.5 Vehicles specially designed to deploy mobile barriers;
3.6 Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.
Note 1 This item does not control vehicles specially designed for the purposes of fire-fighting.
Note 2 For the purposes of item 3.5 the term "vehicles" includes trailers.
4. Explosive substances and related equipment as follows:
4.1 Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including
firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except
those specially designed for a specific commercial use consisting of the actuation or operation by explosive
means of other equipment or devices the function of which is not the creation of explosions (e.g., car air-bag
inflaters, electric-surge arresters of fire sprinkler actuators);
4.2 Linear cutting explosive charges not controlled by the Common Military List;
4.3 Other explosives not controlled by the Common Military List and related substances as follows:
(a) amatol;
(b) nitrocellulose (containing more than 12,5 % nitrogen);
(c) nitroglycol;
(d) pentaerythritol tetranitrate (PETN);
(e) picryl chloride;
(f) 2,4,6-trinitrotoluene (TNT).
5. Protective equipment not controlled by ML 13 of the Common Military List as follows:
5.1 Body armour providing ballistic and/or stabbing protection;
5.2 Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic
shields.
Note: This item does not control:
— equipment specially designed for sports activities;
— equipment specially designed for safety of work requirements.
6. Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms,
and specially designed software therefor.

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Official Journal of the European Union
19.1.2012
7. Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common
Military List.
8. Razor barbed wire.
9. Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.
10. Production equipment specially designed for the items specified in this list.
11. Specific technology for the development, production or use of the items specified in this list.

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/13
ANNEX II
LIST OF NATURAL AND LEGAL PERSONS, ENTITIES OR BODIES REFERRED TO IN ARTICLES 14 AND
15(1)(A)
A. Persons
Name Identifying
information Reasons Date
of
listing
1. Bashar
Al-Assad Born
on
11
September
1965
in
President of the Republic; person authorising and supervising 23.05.2011
Damascus; diplomatic passport No the crackdown on demonstrators.
D1903
2. Maher
(a.k.a.
Mahir) Born on 8 December 1967; Commander of the Army's 4th Armoured Division, member of
09.05.2011
Al-Assad
diplomatic passport No 4138
Ba'ath Party Central Command, strongman of the Republican
Guard; brother of President Bashar Al-Assad; principal overseer
of violence against demonstrators.
3. Ali
Mamluk
(a.k.a.
Born on 19 February 1946 in Head of Syrian General Intelligence Directorate (GID); involved
09.05.2011
Mamlouk)
Damascus; diplomatic passport No in violence against demonstrators.
983
4. Muhammad
Ibrahim
Minister of Interior; involved in violence against demonstrators. 09.05.2011
Al-Sha'ar (a.k.a.
Mohammad Ibrahim
Al-Chaar)
5. Atej
(a.k.a.
Atef,
Atif)
Former Head of the Political Security Directorate in Dara'a; 09.05.2011
Najib
cousin of President Bashar Al-Assad; involved in violence
against demonstrators.
6. Hafiz
Makhluf
(a.k.a. Born on 2 April 1971 in Colonel and Head of Unit in General Intelligence Directorate, 09.05.2011
Hafez Makhlouf)
Damascus; diplomatic passport No Damascus Branch; cousin of President Bashar Al-Assad; close to
2246
Maher Al-Assad; involved in violence against demonstrators.
7. Muhammad
Dib
Born on 20 May 1951 in Head of Political Security Directorate; involved in violence 09.05.2011
Zaytun (a.k.a.
Damascus; diplomatic passport No against demonstrators.
Mohammed Dib
D000001300
Zeitoun)
8. Amjad
Al-Abbas Head
of
Political
Security
in
Banyas,
involved
in
violence
against
09.05.2011
demonstrators in Baida.
9. Rami
Makhlouf Born
on
10
July
1969
in
Syrian businessman; associate of Maher Al-Assad; cousin of 09.05.2011
Damascus, passport No 454224
President Bashar Al-Assad; provides funding to the regime
allowing violence against demonstrators.
10. Abd
Al-Fatah
Qudsiyah Born in 1953 in Hama; diplomatic Head of Syrian Military Intelligence (SMI); involved in violence 09.05.2011
passport No D0005788
against the civilian population.
11. Jamil
Hassan Head
of
Syrian
Air
Force
Intelligence;
involved
in
violence
09.05.2011
against the civilian population.
12. Rustum
Ghazali Born
on
3
May
1953
in
Dara'a;
Head of Syrian Military Intelligence, Damascus Countryside 09.05.2011
diplomatic passport No
Branch; involved in violence against the civilian population.
D000000887
13. Fawwaz
Al-Assad Born
on
18
June
1962
in
Kerdala;
Involved in violence against the civilian population as part of 09.05.2011
passport No 88238
the Shabiha militia.
14. Munzir
Al-Assad Born
on
1
March
1961
in
Latakia;
Involved in violence against the civilian population as part of 09.05.2011
passport No 86449 and No the Shabiha militia.
842781

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Official Journal of the European Union
19.1.2012
Name Identifying
information Reasons Date
of
listing
15. Asif
Shawkat Born
on
15
January
1950
in
Deputy Chief of Staff for Security and Reconnaissance; involved
23.05.2011
Al-Madehleh, Tartus
in violence against the civilian population.
16. Hisham
Ikhtiyar Born
in
1941 Head
of
Syrian
National
Security
Bureau;
involved
in
violence
23.05.2011
against the civilian population.
17. Faruq
Al
Shar' Born
on
10
December
1938 Vice-President
of
Syria;
involved
in
violence
against
the
civilian
23.05.2011
population.
18. Muhammad
Nasif
Born on 10 April 1937 (or 20 May Deputy Vice-President of Syria for National Security Affairs; 23.05.2011
Khayrbik
1937) in Hama, diplomatic involved in violence against the civilian population.
passport No 0002250
19. Mohamed
Hamcho Born
on
20
May
1966;
passport
Brother-in-law of Maher Al-Assad; businessman and local agent
23.05.2011
No 002954347
for several foreign companies; provides funding to the regime
allowing violence against demonstrators.
20. Iyad
(a.k.a.
Eyad)
Born on 21 January 1973 in
Brother of Rami Makhlouf and GID Officer involved in violence
23.05.2011
Makhlouf
Damascus; passport No
against the civilian population.
N001820740
21. Bassam
Al
Hassan Presidential
Advisor
for
Strategic
Affairs;
involved
in
violence
23.05.2011
against the civilian population.
22. Dawud
Rajiha
Chief of Staff of the Armed Forces responsible for the military 23.05.2011
involvement in violence against peaceful protesters.
23. Ihab
(a.k.a.
Ehab,
Iehab) Born on 21 January 1973 in
Vice-President of SyriaTel and caretaker for Rami Makhlouf's US
23.05.2011
Makhlouf
Damascus; passport No
company; provides funding to the regime allowing violence
N002848852
against demonstrators.
24. Zoulhima
Chaliche
Born in 1951 or 1946 in Kerdaha. Head of presidential security; involved in violence against 23.6.2011
(Dhu al-Himma Shalish)
demonstrators; first cousin of President Bashar Al-Assad.
25. Riyad
Chaliche
(Riyad
Director of Military Housing Establishment; provides funding to
23.6.2011
Shalish)
the regime; first cousin of President Bashar Al-Assad.
26. Brigadier
Commander Born on 1 Sep 1957 in Yazd, Iran. General Commander of Iranian Revolutionary Guard Corps, 23.6.2011
Mohammad Ali Jafari
involved in providing equipment and support to help the
(a.k.a. Ja'fari, Aziz; a.k.a.
Syrian regime suppress protests in Syria.
Jafari, Ali; a.k.a. Jafari,
Mohammad Ali; a.k.a.
Ja'fari, Mohammad Ali;
a.k.a. Jafari-Najafabadi,
Mohammad Ali)
27. Major
General
Qasem
Commander of Iranian Revolutionary Guard Corps, IRGC -
23.6.2011
Soleimani (a.k.a. Qasim
Qods, involved in providing equipment and support to help
Soleimany)
the Syrian regime suppress protests in Syria.
28. Hossein
Taeb
(a.k.a.
Born in 1963 in Tehran, Iran. Deputy
Commander
for
Intelligence
of
Iranian
Revolutionary
23.6.2011
Taeb, Hassan; a.k.a.
Guard Corps, involved in providing equipment and support
Taeb, Hosein; a.k.a.
to help the Syrian regime suppress protests in Syria.
Taeb, Hossein; a.k.a.
Taeb, Hussayn; a.k.a.
Hojjatoleslam Hossein
Ta'eb)
29. Khalid
Qaddur Business
associate
of
Maher
Al-Assad;
provides
funding
to
the
23.6.2011
regime.

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/15
Name Identifying
information Reasons Date
of
listing
30. Ra'if
Al-Quwatli
(a.k.a.
Business associate of Maher Al-Assad; provides funding to the
23.6.2011
Ri'af Al-Quwatli)
regime.
31. Mohammad
Mufleh Head
of
Syrian
Military
Intelligence
in
the
town
of
Hama,
1.8.2011
involved in the crackdown on demonstrators.
32. Major
General
Tawfiq
Head of the Department for Internal Security of the General
1.8.2011
Younes
Intelligence Directorate; involved in violence against the civilian
population.
33. Mohammed
Makhlouf Born on 19 October 1932 in Close associate and maternal uncle of Bashar and Mahir al-
1.8.2011
(a.k.a. Abu Rami)
Latakia, Syria
Assad. Business associate and father of Rami, Ihab and Iyad
Makhlouf.
34. Ayman
Jabir Born
in
Latakia Associate
of
Mahir
al-Assad
for
the
Shabiha
militia.
Directly
1.8.2011
involved in repression and violence against the civilian popu
lation and coordination of Shabiha militia groups.
35. General
Ali
Habib
Born in 1939, in Tartous. Minister for Defence. Responsible for conduct and operations of
1.8.2011
Mahmoud
Appointed Minister for Defence Syrian Armed Forces involved in repression and violence
on 3 June 2009
against the civilian population.
36. Hayel
Al-Assad Assistant
to
Maher
Al-Assad,
Head
of
the
military
police
unit
of
23.8.2011
the army's 4th Division, involved in repression.
37. Ali
Al-Salim
Director of the supplies office of the Syrian Ministry of Defence,
23.8.2011
entry point for all arms acquisitions by the Syrian army.
38. Nizar
Al-Assad
Cousin of Bashar Al-Assad; Very close to key government officials. Financing Shabiha in the
23.8.2011
(
)
previously head of the 'Nizar region of Latakia.
Oilfield Supplies' company.
39. Brigadier-General
Rafiq
Head of Syrian Military Intelligence (SMI) Branch 293 (Internal
23.8.2011
Shahadah
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.
40. Brigadier-General
Jamea
Branch Chief for Syrian Military Intelligence (SMI) in Dayr az-
23.8.2011
Jamea (Jami Jami)
Zor. Directly involved in repression and violence against the
civilian population in Dayr az-Zor and Alboukamal.
41. Hassan
Bin-Ali
Born in 1935 in Aleppo
Deputy Vice Minister, former Minister for Defence, Special
23.8.2011
Al-Turkmani
Envoy of President Bashar Al-Assad.
42. Muhammad
Said
Assistant Regional Secretary of Ba'ath Arab Socialist Party since
23.8.2011
Bukhaytan
2005, 2000-2005 Director for the national security of the
regional Ba'ath party. Former Governor of Hama (1998-
2000). Close associate of President Bashar Al-Assad and
Maher Al-Assad. Senior decision-maker in the regime on
repression of civilian population.
43. Ali
Douba
Responsible for killings in Hama in 1980, has been called back
23.8.2011
to Damascus as special advisor to President Bashar Al-Assad.

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Name Identifying
information Reasons Date
of
listing
44. Brigadier-General
Idlib Syrian Military Intelligence (SMI) Branch Chief. Directly
23.8.2011
Nawful Al-Husayn
involved in repression and violence against the civilian popu
lation in Idlib province.
45. Brigadier
Husam
Presidential Adviser on Security Affairs. Presidential Adviser for
23.8.2011
Sukkar
security agencies' repression and violence against the civilian
population.
46. Brigadier-General
Branch Chief for Syrian Military Intelligence (SMI) in Homs.
23.8.2011
Muhammed Zamrini
Directly involved in repression and violence against the
civilian population in Homs.
47. Lieutenant-General
Deputy Chief of General Staff, Operations and Training for
23.8.2011
Munir Adanov (Adnuf)
Syrian Army. Directly involved in repression and violence
against the civilian population in Syria.
48. Brigadier-General
Head of General Intelligence Directorate's (GID) Information
23.8.2011
Ghassan Khalil
Branch. Directly involved in repression and violence against
the civilian population in Syria.
49. Mohammed
Jabir Born
in
Latakia Shabiha
militia.
Associate
of
Maher
Al-Assad
for
the
Shabiha
23.8.2011
militia. Directly involved in repression and violence against the
civilian population and coordination of Shabiha militia groups.
50. Samir
Hassan Close
business
associate
of
Maher
Al-Assad.
Known
for
23.8.2011
supporting the Syrian regime financially.
51. Fares
Chehabi
(Fares
President of Aleppo Chamber of Industry. Provides financial
2.09.2011
Shihabi)
support to the Syrian regime.
52. Emad
Ghraiwati
Born in March 1959 in Damascus, President of the Damascus Chamber of Industry (Zuhair
2.9.2011
Syria
Ghraiwati Sons). Provides financial support to the Syrian
regime.
53. Tarif
Akhras Born
in
1949
in
Homs,
Syria Founder
of
the
Akhras
Group
(commodities,
trading,
processing
2.9.2011
and logistics), Homs. Provides financial support to the Syrian
regime.
54. Issam
Anbouba Born
in
1949
in
Latakia,
Syria
President of Issam Anbouba Est. for agro-industry. Provides
2.9.2011
financial support to the Syrian regime.
55. Tayseer
Qala
Awwad Born
in
1943
in
Damascus
Minister of Justice. Associated with the Syrian regime, including
23.09.2011
by supporting its policies and practices of arbitrary arrest and
detention.
56. Dr
Adnan
Hassan
Born in 1966 in Tartous Minister
of
Information.
Associated
with
the
Syrian
regime,
23.09.2011
Mahmoud
including by supporting and promoting its information policy.
57. Major
General
Jumah
Commander Special Forces. Responsible for the use of violence
14.11.2011
Al-Ahmad
against protestors across Syria.
58. Colonel
Lu'ai
al-Ali Head
of
Syrian
Military
Intelligence,
Dara'a
Branch.
Responsible
14.11.2011
for the violence against protesters in Dara'a.

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/17
Name Identifying
information Reasons Date
of
listing
59. Lt.
General
Ali
Deputy Chief of General Staff (Personnel and Manpower). 14.11.2011
Abdullah Ayyub
Responsible for the use of violence against protestors across
Syria.
60. Lt.
General
Jasim
Chief of General staff. Responsible for the use of violence 14.11.2011
al-Furayj
against protestors across Syria.
61. General
Aous
(Aws)
Born in 1958 Head
of
Battalion
in
the
Republican
Guard.
Close
to
Maher
Al-
14.11.2011
Aslan
Assad and President Al-Assad. Involved in the crackdown on
the civilian population across Syria.
62. General
Ghassan
Belal General
in
command
of
the
4th
Division
reserve
bureau.
14.11.2011
Adviser to Maher Al-Assad and coordinator of security
operations. Responsible for the crackdown on the civilian
population across Syria.
63. Abdullah
Berri
Head of Berri family militia. In charge of pro-government 14.11.2011
militia involved in the crackdown on the civilian population
in Aleppo.
64. George
Chaoui Member
of
Syrian
electronic
army.
Involved
in
the
violent
14.11.2011
crackdown and call for violence against the civilian population
across Syria.
65. Major
General
Zuhair
Deputy Head of General Intelligence Directorate. Responsible 14.11.2011
Hamad
for the use of violence across Syria and for intimidation and
torture of protestors.
66. Amar
Ismael Civilian
-
Head
of
Syrian
electronic
army
(territorial
army
intel
14.11.2011
ligence service). Involved in the violent crackdown and call for
violence against the civilian population across Syria.
67. Mujahed
Ismail Member
of
Syrian
electronic
army.
Involved
in
the
violent
14.11.2011
crackdown and call for violence against the civilian population
across Syria.
68. Saqr
Khayr
Bek
Deputy Minister for the Interior. Responsible for the use of 14.11.2011
violence against the civilian population in Syria.
69. Major
General
Nazih Deputy
Director
of
General
Intelligence
Directorate.
Responsible
14.11.2011
for the use of violence across Syria and intimidation and torture
of protestors.
70. Kifah
Moulhem Batallion
Commander
in
the
4th
Division.
Responsible
for
the
14.11.2011
crackdown on the civilian population in Deir el-Zor.
71. Major
General
Wajih
Commander 18th Armoured Division. Responsible for the 14.11.2011
Mahmud
violence against protestors in Homs.

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L 16/18
EN
Official Journal of the European Union
19.1.2012
Name Identifying
information Reasons Date
of
listing
72. Bassam
Sabbagh Born
on
24
August
1959
in
Head of Sabbagh & Associates law firm (Damascus). Legal and
14.11.2011
Damascus. Address: Kasaa, Anwar financial adviser and manages affairs of Rami Makhlouf and
al Attar Street, al Midani building, Khaldoun Makhlouf. Involved with Bashar al-Assad in funding
Damascus. Syrian passport No a real estate project in Latakia. Provides financial support for
004326765 issued 2 November the regime.
2008, valid until November 2014.
Member of the Paris Bar.
73. Lt.
General
Mustafa
Deputy Chief of General Staff (Logistics and supplies). 14.11.2011
Tlass
Responsible for the use of violence against protestors across
Syria.
74. Major
General
Fu'ad
Deputy head Syrian Air Force Intelligence. Responsible for the 14.11.2011
Tawil
use of violence across Syria and intimidation and torture of
protestors.
75. Mohammad
Al-Jleilati Born
in
1945
in
Damascus Minister
of
Finance.
Responsible
for
the
Syrian
economy. 1.12.2011
76. Dr.
Mohammad
Nidal Born in 1956 in Aleppo Minister
of
Economy
and
Trade.
Responsible
for
the
Syrian
1.12.2011
Al-Shaar
economy.
77. Lt.
General
Fahid
Chief of Staff. Military official involved in the violence in Homs. 1.12.2011
Al-Jassim
78. Major
General
Ibrahim
Deputy Chief of Staff. Military official involved in the violence
1.12.2011
Al-Hassan
in Homs.
79. Brigadier
Khalil
14th Division. Military official involved in the violence in
1.12.2011
Zghraybih
Homs.
80. Brigadier
Ali
Barakat 103rd
Brigade
of
the
Republican
Guard
Division.
Military
1.12.2011
official involved in the violence in Homs.
81. Brigadier
Talal
Makhluf 103rd
Brigade
of
the
Republican
Guard
Division.
Military
1.12.2011
official involved in the violence in Homs.
82. Brigadier
Nazih
Hassun Syrian
Air
Force
Intelligence.
Military
official
involved
in
the
1.12.2011
violence in Homs.
83. Captain
Maan
Jdiid Presidential
Guard.
Military
official
involved
in
the
violence
in
1.12.2011
Homs.
84. Muahmamd
Al-Shaar Political
Security
Division.
Military
official
involved
in
the
1.12.2011
violence in Homs.
85. Khald
Al-Taweel Political
Security
Division.
Military
official
involved
in
the
1.12.2011
violence in Homs.
86. Ghiath
Fayad Political
Security
Division.
Military
official
involved
in
the
1.12.2011
violence in Homs.
B. Entities
Name Identifying
information Reasons Date
of
listing
1. Bena
Properties Controlled
by
Rami
Makhlouf;
provides
funding
to
the
regime. 23.6.2011
2. Al
Mashreq
Investment P.O. Box 108, Damascus
Controlled by Rami Makhlouf; provides funding to the regime. 23.6.2011
Fund (AMIF) (alias
Tel.: 963 112110059 /
Sunduq Al Mashrek
963 112110043
Al Istithmari)
Fax: 963 933333149

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/19
Name Identifying
information Reasons Date
of
listing
3. Hamcho
International Baghdad Street, P.O. Box 8254, Controlled by Mohammad Hamcho or Hamsho; provides 23.6.2011
(Hamsho International
Damascus
funding to the regime.
Group)
Tel.: 963 112316675
Fax: 963 112318875
Website: www.hamshointl.com
E-mail: info@hamshointl.com and
hamshogroup@yahoo.com
4. Military
Housing
Public works company controlled by Riyad Shalish and Ministry
23.6.2011
Establishment (alias
of Defence; provides funding to the regime.
MILIHOUSE)
5. Political
Security
Syrian government agency directly involved in repression. 23.8.2011
Directorate
6. General
Intelligence
Syrian government agency directly involved in repression. 23.8.2011
Directorate
7. Military
Intelligence
Syrian government agency directly involved in repression. 23.8.2011
Directorate
8. Air
Force
Intelligence
Syrian government agency directly involved in repression. 23.8.2011
Agency
9. IRGC
Qods
Force
Teheran, Iran The
Qods
(or
Quds)
Force
is
a
specialist
arm
of
the
Iranian
23.8.2011
(Quds Force)
Islamic Revolutionary Guard Corps (IRGC). The Qods Force is
involved in providing equipment and support to help the Syria
regime suppress protests in Syria. IRGC Qods Force has
provided technical assistance, equipment and support to the
Syrian security services to repress civilian protest movements.
10. Mada
Transport Subsidiary
of
Cham
Holding Economic entity financing the regime. 2.09.2011
(Sehanya Dara'a Highway,
P.O. Box 9525
Tel.: 00 963 11 99 62)
11. Cham
Investment
Subsidiary of Cham Holding
Economic entity financing the regime. 2.09.2011
Group
(Sehanya Dara'a Highway,
P.O. Box 9525
Tel.: 00 963 11 99 62)
12. Real
Estate
Bank Insurance
Bldg-
Yousef
Al-Azmeh
State-owned bank providing financial support for the regime. 2.09.2011
Square, Damascus P.O. Box: 2337
Damascus Syrian Arab Republic
Tel.: (+963) 11 2456777 and
2218602
Fax: (+963) 11 2237938 and
2211186
Bank's e-mail:
Publicrelations@reb.sy,
Website: www.reb.sy
13. Addounia
TV
(a.k.a.
Tel.: +963-11-5667274,
Addounia TV has incited violence against the civilian popu
23.09.2011
Dounia TV)
+963-11-5667271,
lation in Syria.
Fax: +963-11-5667272
Website: http://www.addounia.tv

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L 16/20
EN
Official Journal of the European Union
19.1.2012
Name Identifying
information Reasons Date
of
listing
14. Cham
Holding Cham
Holding
Building
Daraa
Controlled by Rami Makhlouf; largest holding company in 23.09.2011
Highway - Ashrafiyat Sahnaya Rif Syria, benefiting from and supporting the regime.
Dimashq – Syria P.O. Box 9525
Tel.: +963 (11) 9962,
+963 (11) 668 14000,
+963 (11) 673 1044
Fax: +963 (11) 673 1274
E-mail: info@chamholding.sy
Website:www.chamholding.sy
15. El-Tel
Co.
(El-Tel
Address: Dair Ali Jordan Highway, Manufacturing and supplying telecommunication equipment for
23.09.2011
Middle East Company)
P.O. Box 13052, Damascus – Syria the Army.
Tel.: +963-11-2212345
Fax: +963-11-44694450
E-mail: sales@eltelme.com
Website: www.eltelme.com
16. Ramak
Constructions Address: Dara'a Highway,
Construction of military barracks, border post barracks and 23.09.2011
Co.
Damascus, Syria
other buildings for Army needs.
Tel.: +963-11-6858111
Mobile: +963-933-240231
17. Souruh
Company
(a.k.a. Address: Adra Free Zone Area Investment in local military industrial projects, manufacturing 23.09.2011
SOROH Al Cham
Damascus, Syria
weapons parts and related items. 100 % of the company is
Company)
Tel.: +963-11-5327266
owned by Rami Makhlouf.
Mobile: +963-933-526812,
+963-932-878282
Fax: +963-11-5316396
E-mail: sorohco@gmail.com
Website: http://sites.google.com/
site/sorohco
18. Syriatel Thawra
Street,
Ste
Building
6th
Controlled by Rami Makhlouf; provides financial support to the
23.09.2011
Floor, BP 2900
regime: through its licensing contract it pays 50 % of its profits
Tel.: +963 11 61 26 270
to the Government.
Fax: +963 11 23 73 97 19
E-mail: info@syriatel.com.sy;
Website: http://syriatel.sy/
19. Cham
Press
TV Al
Qudsi
building,
2nd
Floor
-
Television channel which participates in campaigns to spread
1.12.2011
Baramkeh - Damascus
disinformation and incite violence against demonstrators.
Tel.: +963 - 11- 2260805
Fax: +963 - 11 - 2260806
E-mail: mail@champress.com
Website: www.champress.net
20. Al
Watan Al
Watan
Newspaper
-
Damascus
–
Daily newspaper which participates in campaigns to spread
1.12.2011
Duty Free Zone
disinformation and incite violence against demonstrators.
Tel.: 00963 11 2137400
Fax: 00963 11 2139928
21. Centre
d'études
et
de Barzeh Street, P.O. Box 4470, Provides support to the Syrian army for the acquisition of
1.12.2011
recherches syrien
Damascus
equipment used directly for the surveillance and repression of
(CERS) (CERS, Centre
demonstrators.
d'Etude et de Recherche
Scientifique; SSRC,
Scientific Studies and
Research Center; Centre
de Recherche de
Kaboun

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/21
Name Identifying
information Reasons Date
of
listing
22. Business
Lab Maysat
Square,
Al
Rasafi
Street
Front company for the acquisition of sensitive equipment by
1.12.2011
Bldg. 9, P.O. Box 7155, Damascus the CERS.
Tel.: 963112725499
Fax: 963112725399
23. Industrial
Solutions Baghdad
Street
5,
P.O.
Box
6394,
Front company for the acquisition of sensitive equipment by
1.12.2011
Damascus
the CERS.
Tel./fax: 963114471080
24. Mechanical
P.O. Box 35202, Industrial Zone, Front company for the acquisition of sensitive equipment by
1.12.2011
Construction Factory
Al-Qadam Road, Damascus
the CERS.
(MCF)
25. Syronics
–
Syrian
Arab Kaboon Street, P.O. Box 5966, Front company for the acquisition of sensitive equipment by
1.12.2011
Co. for Electronic
Damascus
the CERS.
Industries
Tel.-No.: +963-11-5111352
Fax: +963-11-5110117
26. Handasieh
–
P.O. Box 5966, Abou Bakr
Front company for the acquisition of sensitive equipment by
1.12.2011
Organization for
Al-Seddeq St., Damascus
the CERS.
Engineering Industries
and P.O. Box 2849 Al-Moutanabi
Street, Damascus
and P.O. Box 21120 Baramkeh,
Damascus
Tel.: 963112121816 –
963112121834 –
963112214650 –
963112212743 -
963115110117
27. Syria
Trading
Oil
Prime Minister Building, 17 Street State-owned company responsible for all oil exports from Syria.
1.12.2011
Company (Sytrol)
Nissan, Damascus, Syria.
Provides financial support to the regime.
28. General
Petroleum
New Sham - Building of Syrian Oil State-owned oil company. Provides financial support to the
1.12.2011
Corporation (GPC)
Company, P.O. Box 60694, regime.
Damascus, Syria
Tel.: 963113141635
Fax: 963113141634
E-mail: info@gpc-sy.com
29. Al
Furat
Petroleum
Dummar - New Sham - Western
Joint venture 50 % owned by GPC. Provides financial support
1.12.2011
Company
Dummer 1st. Island -Property
to the regime.
2299- AFPC Building
P.O. Box 7660 Damascus – Syria.
Tel.: 00963-11- (6183333),
00963-11- (31913333)
Fax: 00963-11- (6184444),
00963-11- (31914444)
afpc@afpc.net.sy

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L 16/22
EN
Official Journal of the European Union
19.1.2012
ANNEX IIa
LIST OF ENTITIES OR BODIES REFERRED TO IN ARTICLES 14 AND 15(1)(b)
Entities
Name Identifying
information Reasons Date
of
listing
1. Commercial
Bank
of
Syria —
Damascus
Branch,
P.O.
Box
2231,
State-owned bank providing
13.10.2011
Moawiya St., Damascus, Syria;- P.O. financial support to the regime.
Box 933, Yousef Azmeh Square,
Damascus, Syria;
— Aleppo Branch, P.O. Box 2, Kastel
Hajjarin St., Aleppo, Syria; SWIFT/BIC
CMSY SY DA; all offices worldwide
[NPWMD]
Website: http://cbs-bank.sy/En-index.php
Tel.: +963 11 2218890
Fax: +963 11 2216975
general managment: dir.cbs@mail.sy

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/23
ANNEX III
LIST OF COMPETENT AUTHORITIES IN THE MEMBER STATES AND ADDRESS FOR NOTIFICATIONS TO
THE EUROPEAN COMMISSION
A. Competent authorities in each Member State:
BELGIUM
http://www.diplomatie.be/eusanctions
BULGARIA
http://www.mfa.bg/en/pages/view/5519
CZECH REPUBLIC
http://www.mfcr.cz/mezinarodnisankce
DENMARK
http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/
GERMANY
http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html
ESTONIA
http://www.vm.ee/est/kat_622/
IRELAND
http://www.dfa.ie/home/index.aspx?id=28519
GREECE
http://www.mfa.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/Global+Issues/International+Sanctions/
SPAIN
http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx
FRANCE
http://www.diplomatie.gouv.fr/autorites-sanctions/
ITALY
http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm
CYPRUS
http://www.mfa.gov.cy/sanctions
LATVIA
http://www.mfa.gov.lv/en/security/4539
LITHUANIA
http://www.urm.lt/sanctions
LUXEMBOURG
http://www.mae.lu/sanctions
HUNGARY
http://www.kulugyminiszterium.hu/kum/hu/bal/Kulpolitikank/nemzetkozi_szankciok/

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L 16/24
EN
Official Journal of the European Union
19.1.2012
MALTA
http://www.doi.gov.mt/EN/bodies/boards/sanctions_monitoring.asp
NETHERLANDS
http://www.minbuza.nl/sancties
AUSTRIA
http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=
POLAND
http://www.msz.gov.pl
PORTUGAL
http://www.min-nestrangeiros.pt
ROMANIA
http://www.mae.ro/node/1548
SLOVENIA
http://www.mzz.gov.si/si/zunanja_politika/mednarodna_varnost/omejevalni_ukrepi/
SLOVAKIA
http://www.foreign.gov.sk
FINLAND
http://formin.finland.fi/kvyhteistyo/pakotteet
SWEDEN
http://www.ud.se/sanktioner
UNITED KINGDOM
www.fco.gov.uk/competentauthorities
B. Address for communication with the European Commission:
European Commission
Service for Foreign Policy Instruments
CHAR 12/106
B-1049 Bruxelles/Brussel
Belgium
E-mail: relex-sanctions@ec.europa.eu
Tel.: +(32 2) 295 55 85

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EN
19.1.2012 Official
Journal
of
the
European
Union L
16/25
ANNEX IV
LIST OF ‘CRUDE OIL AND PETROLEUM PRODUCTS’ REFERRED TO IN ARTICLE 6
HS Code Description
2709 00
Petroleum oils and oils obtained from bituminous minerals, crude.
2710
Petroleum oils and oils obtained from bituminous minerals, other than crude; preparations not elsewhere
specified or included, containing by weight 70 % or more of petroleum oils or of oils obtained from
bituminous minerals, these oils being the basic constituents of the preparations; waste oils (save that the
purchase, in Syria, of kerosene jet fuel of CN code 2710 19 21 is not prohibited provided that it is
intended and used solely for the purpose of the continuation of the flight operation of the aircraft into
which it is loaded).
2712
Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat
wax, other mineral waxes, and similar products obtained by synthesis or by other processes, whether or
not coloured.
2713
Petroleum coke, petroleum bitumen and other residues of petroleum oils or of oils obtained from
bituminous minerals.
2714
Bitumen and asphalt, natural; bituminous or oil-shale and tar sands; asphaltites and asphaltic rocks.
2715 00 00
Bituminous mixtures based on natural asphalt, on natural bitumen, on petroleum bitumen, on mineral
tar or on mineral tar pitch (for example, bituminous mastics, cut-backs).

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L 16/26
EN
Official Journal of the European Union
19.1.2012
ANNEX V
EQUIPMENT, TECHNOLOGY AND SOFTWARE REFERRED TO IN ARTICLE 4
General Note
Notwithstanding the contents of this Annex, it shall not apply to :
(a) equipment, technology or software which are specified in Annex I to Council Regulation (EC) 428/2009 ( 1 ) or the
Common Military List; or
(b) software which is designed for installation by the user without further substantial support by the supplier and which
is generally available to the public by being sold from stock at retail selling points, without restriction, by means of:
(i) over the counter transactions;
(ii) mail order transactions;
(iii) electronic transactions; or
(iv) telephone order transactions; or
(c) software which is in the public domain.
The categories A, B, C, D and E refer to the categories referred to in Regulation (EC) No 428/2009.
The 'equipment, technology and software' referred to in Article 4 is:
A. List of equipment
— Deep Packet Inspection equipment
— Network Interception equipment including Interception Management Equipment (IMS) and Data Retention Link
Intelligence equipment
— Radio Frequency monitoring equipment
— Network and Satellite jamming equipment
— Remote Infection equipment
— Speaker recognition/processing equipment
— IMSI ( 2 ), MSISDN ( 3 ), IMEI ( 4 ), TMSI ( 5 ) interception and monitoring equipment
( 1 ) 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 (OJ L 134, 29.5.2009, p. 1).
( 2 ) IMSI stands for International Mobile Subscriber Identity. It is a unique identification code for each mobile telephony device, integrated
in the SIM card and which allows identification of such SIM via GSM and UMTS networks.
( 3 ) MSISDN stands for Mobile Subscriber Integrated Services Digital Network Number. It is a number uniquely identifying a subscription
in a GSM or a UMTS mobile network. Simply put, it is the telephone number to the SIM card in a mobile phone and therefore it
identifies a mobile subscriber as well as IMSI, but to route calls through him.
( 4 ) IMEI stands for International Mobile Equipment Identity. It is a number, usually unique to identify GSM, WCDMA and IDEN mobile
phones as well as some satellite phones. It is usually found printed inside the battery compartment of the phone. interception
(wiretapping) can be specified by its IMEI number as well as IMSI and MSISDN.
( 5 ) TMSI stands for Temporary Mobile Subscriber Identity. It is the identity that is most commonly sent between the mobile and the
network.

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EN
19.1.2012 Official
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of
the
European
Union L
16/27
— Tactical SMS ( 1 )/GSM ( 2 )/GPS ( 3 )/GPRS ( 4 )/UMTS ( 5 )/CDMA ( 6 )/PSTN ( 7 ) interception and monitoring equipment
— DHCP ( 8 )/SMTP ( 9 ),GTP ( 10 ) information interception and monitoring equipment
— Pattern Recognition and Pattern Profiling equipment
— Remote Forensics equipment
— Semantic Processing Engine equipment
— WEP and WPA code breaking equipment
— Interception equipment for VoIP proprietary and standard protocol
B. Not used
C. Not used
D. "Software" for the "development", "production" or "use" of the equipment specified in A above.
E. "Technology" for the "development", "production" or "use" of the equipment specified in A above.
Equipment, technology and software falling within these categories is within the scope of this Annex only to the extent
that it falls within the general description 'internet, telephone and satellite communications interception and monitoring
systems'.
For the purpose of this Annex 'monitoring' means acquisition, extraction, decoding, recording, processing, analysis and
archiving call content or network data.
( 1 ) SMS stands for Short Message System.
( 2 ) GSM stands for Global System for Mobile Communications.
( 3 ) GPS stands for Global Positioning System.
( 4 ) GPRS stands for General Package Radio Service.
( 5 ) UMTS stands for Universal Mobile Telecommunication System.
( 6 ) CDMA stands for Code Division Multiple Access.
( 7 ) PSTN stands for Public Switch Telephone Networks.
( 8 ) DHCP stands for Dynamic Host Configuration Protocol.
( 9 ) SMTP stands for Simple Mail Transfer Protocol.
( 10 ) GTP stands for GPRS Tunnelling Protocol.

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L 16/28
EN
Official Journal of the European Union
19.1.2012
ANNEX VI
LIST OF KEY EQUIPMENT AND TECHNOLOGY REFERRED TO IN ARTICLE 8
General notes
1. The object of the prohibitions contained in this Annex should not be defeated by the export of any non-prohibited
goods (including plant) containing one or more prohibited components when the prohibited component or
components are the principal element of the goods and can feasibly be removed or used for other purposes.
N.B.: In judging whether the prohibited component or components 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 prohibited component or components as the principal element of
the goods being procured.
2. The goods specified in this Annex include both new and used goods.
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 Technology Note (GTN)
1. The "technology" "required" for the "development", "production" or "use" of prohibited goods remains under
prohibition even when applicable to non-prohibited goods.
2. Prohibitions 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 prohibited or the export of which has been
authorised in accordance with this Regulation.
3. Prohibitions 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.
Exploration and production of crude oil and natural gas
1.A Equipment
1. Geophysical survey equipment, vehicles, vessels and aircraft specially designed or adapted to acquire data for oil and
gas exploration and specially designed components therefor.
2. Sensors specially designed for downhole well operations in oil and gas wells, including sensors used for measurement
whilst drilling and the associated equipment specially designed to acquire and store data from such sensors.
3. Drilling equipment designed to drill rock formations, specifically for the purpose of exploring for, or producing oil,
gas and other naturally occurring, hydrocarbon materials.
4. Drill bits, drill pipes, drill collars, centralisers and other equipment, specially designed for use in and with oil and gas
well drilling equipment.
5. Drilling wellheads, 'blowout preventers' and 'Christmas or production trees' and the specially designed components
thereof, meeting the 'API and ISO specifications' for use with oil and gas wells.
Technical Notes:
a. A 'blowout preventer' is a device typically used at ground level (or if drilling underwater, at the seabed) during drilling to
prevent the uncontrolled escape of oil and/or gas from the well.
b. A 'Christmas tree or production tree' is a device typically used to control flow of fluids from the well when it is complete and
oil and/or gas production has started.
c. For the purpose of this item, 'API and ISO specifications' refers to the American Petroleum Institute specifications 6A, 16A,
17D and 11IW and/or the International Standards Organisation specifications 10423 and 13533 for blowout preventers,
wellhead and Christmas trees for use on oil and/or gas wells.

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6. Drilling and production platforms for crude oil and natural gas.
7. Vessels and barges incorporating drilling and/or petroleum processing equipment used for producing oil, gas and
other naturally occurring flammable materials.
8. Liquid/gas separators meeting API specification 12J, specially designed to process the production from an oil or gas
well, to separate the petroleum liquids from any water and any gas from the liquids.
9. Gas compressor with a design pressure of 40 bar (PN 40 and/or ANSI 300) or more and having a suction volume
capacity of 300 000 Nm 3 /h or more, for the initial processing and transmission of natural gas, excluded gas
compressors for CNG (Compressed Natural Gas) filling stations, and specially designed components therefor.
10. Subsea production control equipment and the components thereof meeting 'API and ISO specifications' for use with
oil and gas wells.
Technical Note:
For the purposes of this entry, 'API and ISO specifications' refers to the American Petroleum Institute specification 17 F and/or
the International Standards Organisation specification 13268 for subsea production control systems.
11. Pumps, typically high capacity and/or high pressure (in excess of 0,3 m 3 per minute and/or 40 bar), specially
designed to pump drilling muds and/or cement into oil and gas wells.
1.B Test and inspection equipment
1. Equipment specially designed for sampling, testing and analysing the properties of drilling mud, oil well cements and
other materials specially designed and/or formulated for use in oil and gas wells.
2. Equipment specially designed for sampling, testing and analysing the properties of rock samples, liquid and gaseous
samples and other materials taken from an oil and/or gas well either during or after drilling, or from the initial
processing facilities attached thereto.
3. Equipment specially designed for collecting and interpreting information about the physical and mechanical condition
of an oil and/or gas well, and for determining the in situ properties of the rock and reservoir formation.
1.C Materials
1. Drilling mud, drilling mud additives and the components thereof, specially formulated to stabilise oil and gas wells
during drilling, to recover drill cuttings to the surface and to lubricate and cool the drilling equipment in the well.
2. Cements and other materials meeting the 'API and ISO specifications' for use in oil and gas wells.
Technical Note:
'API and ISO specification' refers to the American Petroleum Institute specification 10A or the International Standards
Organisation specification 10426 for oil well cements and other materials specially formulated for use in the cementing of
oil and gas wells.
3. Corrosion inhibiting, emulsion treatment, defoaming agents and other chemicals specially formulated to be used in
the drilling for, and the initial processing of, petroleum produced from an oil and/or gas well.
1.D Software
1. "Software" specially designed to collect and interpret data acquired from seismic, electromagnetic, magnetic or gravity
surveys for the purpose of establishing oil or gas prospectivity.
2. "Software" specially designed for storing, analysing and interpreting information acquired during drilling and
production to assess the physical characteristics and behaviour of oil or gas reservoirs.
3. "Software" specially designed for the "use" of petroleum production and processing facilities or specific sub-units of
such facilities.

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L 16/30
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Official Journal of the European Union
19.1.2012
1.E Technology
1. "Technology" "required" for the "development", "production" and "use" of equipment specified in 1.A.01 – 1.A.11.
Refining of crude oil and liquefaction of natural gas
2.A Equipment
1. Heat exchangers as follows and specially designed components therefor:
a. Plate-fin heat exchangers with a surface/volume ratio greater than 500 m 2 /m 3 , specially designed for pre-cooling
of natural gas;
b. Coil-wound heat exchangers specially designed for liquefaction or sub-cooling of natural gas.
2. Cryogenic pumps for the transport of media at a temperature below – 120 °C having a transport capacity of more
than 500 m 3 /h and specially designed components therefor.
3. 'Coldbox' and 'coldbox' equipment not specified by 2.A.1.
Technical Note:
'Coldbox' equipment’ refers to a specially designed construction, which is specific for LNG plants and incorporates the process stage
of liquefaction. The 'coldbox' comprises heat exchangers, piping, other instrumentation and thermal insulators. The temperature
inside the 'coldbox' is below – 120 °C (conditions for condensation of natural gas). The function of the 'coldbox' is the thermal
insulation of the above described equipment.
4. Equipment for shipping terminals of liquefied gases having a temperature below – 120 °C and specially designed
components therefor.
5. Flexible and non-flexible transfer line having a diameter greater than 50 mm for the transport of media below
– 120 °C.
6. Maritime vessels specially designed for the transport of LNG.
7. Electrostatic desalters specially designed to remove contaminants such as salts, solids and water from crude oil and
specially designed components therefor.
8. All crackers, including hydrocrackers, and cokers, specially designed for conversion of vacuum gas oils or vacuum
residuum, and specially designed components therefor.
9. Hydrotreaters specially designed for desulphurisation of gasoline, diesel cuts and kerosene and specially designed
components therefor.
10. Catalytic reformers specially designed for conversion of desulphurised gasoline into high-octane gasoline, and
specially designed components therefor.
11. Refinery units for C5-C6 cuts isomerisation, and refinery units for alkylation of light olefins, to improve the octane
index of the hydrocarbon cuts.
12. Pumps specially designed for the transport of crude oil and fuels, having a capacity of 50 m 3 /h or more and specially
designed components therefor.
13. Tubes with an outer diameter of 0,2 m or more and made from any of the following materials:
a. Stainless steels with 23 % chromium or more by weight;
b. Stainless steels and nickel bases alloys with a 'Pitting resistance equivalent' number higher than 33.
Technical Note:
'Pitting resistance equivalent' (PRE) number characterises the corrosion resistance of stainless steels and nickel alloys to pitting or
crevice corrosion. The pitting resistance of stainless steels and nickel alloys is primarily determined by their compositions, primarily:
chromium, molybdenum, and nitrogen. The formula to calculate the PRE number is:
PRE = Cr + 3,3 % Mo + 30 % N

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14. 'Pigs' (Pipeline Inspection Gauge(s)) and specially designed components therefor.
Technical Note:
'Pig' is a device typically used for cleaning or inspection of a pipeline from inside (corrosion state or crack formation) and is
propelled by the pressure of the product in the pipeline.
15. Pig launchers and pig catchers for the integration or removing of pigs.
16. Tanks for the storage of crude oil and fuels with a volume greater than 1 000 m 3 (1 000 000 litres) as follows, and
specially designed components therefor:
a. fixed roof tanks;
b. floating roof tanks.
17. Subsea flexible pipes specially designed for the transportation of hydrocarbons and injection fluids, water or gas,
having a diameter greater than 50 mm.
18. Flexible pipes used for high pressure for topside and subsea application.
19. Isomeration equipment specially designed for production of high-octane gasoline based on light hydrocarbons as
feed, and specially designed components therefor.
2.B Test and inspection equipment
1. Equipment specially designed for testing and analysing of quality (properties) of crude oil and fuels.
2. Interface control systems specially designed for controlling and optimising of the desalting process.
2.C Materials
1. Diethyleneglycol (CAS 111-46-6), Triethylene glycol (CAS 112-27-6).
2. N-Methylpyrrolidon (CAS 872-50-4), Sulfolane (CAS 126-33-0).
3. Zeolites, of natural or synthetic origin, specially designed for fluid catalytic cracking or for the purification and/or
dehydration of gases, including natural gases.
4. Catalysts for the cracking and conversion of hydrocarbons as follows:
a. Single metal (platinum group) on alumina type or on zeolite, specially designed for catalytic reforming process;
b. Mixed metal species (platinum in combination with other noble metals) on alumina type or on zeolite, specially
designed for catalytic reforming process;
c. Cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, specially designed for catalytic
desulphurisation process;
d. Palladium, nickel, chromium and tungsten catalysts on alumina type or on zeolite, specially designed for catalytic
hydrocracking process.
5. Gasoline additives specially formulated for increasing the octane number of gasoline.
Note:
This entry includes Ethyl tertiary butyl ether(ETBE) (CAS 637-92-3) and Methyl tertiary butyl ether (MTBE)
CAS 1634-04-4).
2.D Software
1. "Software" specially designed for the "use" of LNG plants or specific sub-units of such plants.
2. "Software" specially designed for the "development", "production" or "use" of plants (including their sub-units) for oil
refining.

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2.E Technology
1. "Technology" for the conditioning and purification of raw natural gas (dehydration, sweetening, removal of
impurities).
2. "Technology" for the liquefaction of natural gas, including "technology" required for the "development", "production"
or "use" of LNG plants.
3. "Technology" for the shipment of liquefied natural gas.
4. "Technology" "required" for the "development", "production" or "use" of maritime vessels specially designed for the
transport of liquefied natural gas.
5. "Technology" for storage of crude oil and fuels.
6. "Technology" "required" for the "development", "production" or "use" of a refinery plant, such as:
6.1. "Technology" for conversion of light olefin to gasoline;
6.2. Catalytic reforming and isomerisation technology;
6.3. Catalytic and thermal cracking technology.
ANNEX VII
Equipment and technology referred to in Article 12
8406 81 Steam
turbines
of
an
output
exceeding
40
MW.
8411 82 Gas
turbines
of
an
output
exceeding
5
000
kW.
ex 8501 All electric motors and generators of an output exceeding 3 MW or 5 000 kVA.

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