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,

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

Having regard to Council Decision 2011/782/CFSP of 1 December 2011 concerning restrictive measures against Syria1,

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

Whereas:

(1)
On 9 May 2011, the Council adopted Regulation (EU) No 442/2011 concerning restrictive measures in view of the situation in Syria2.
(2)
The Council expanded the scope of its measures against Syria by way of Council Regulations on 2 September, 23 September, 13 October and 14 November 20113, as well as making amendments and additions to the list of targeted persons and entities through successive Council Implementing Regulations4. Further measures, which do not fall within the scope of Union law, are set out in the corresponding CFSP Decisions of the Council5.
(3)

In view of the continued brutal repression and violation of human rights by the Government of Syria, Council Decision 2011/782/CFSP provides for additional measures, namely a prohibition on the export of telecommunications monitoring equipment for use by the Syrian regime, a prohibition on the participation in certain infrastructure projects and investment in such projects, and additional restrictions on the transfers of funds and the provision of financial services.

(4)

It should be clarified that submitting and forwarding the necessary documents to a bank for the purpose of their final transfer to a person, entity or body that is not listed, to trigger payments allowed under Article 20, does not constitute making funds available within the meaning of Article 14.

(5)

The power to amend the list in Annex II and IIa to this Regulation should be exercised by the Council, in view of the serious political situation in Syria, and to ensure consistency with the process for amending and reviewing the Annex to Decision 2011/782/CFSP.

(6)

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

(7)
For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources must be frozen in accordance with this Regulation, must be made public.Any processing of personal data should comply with Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data6 and Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data7.
(8)

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

(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 consolidate all the measures into a new regulation which repeals and replaces Regulation (EU) No 442/2011.

(10)

In order to ensure that the measures provided for in this Regulation are effective, this Regulation should enter into force immediately,

HAS ADOPTED THIS REGULATION:

CHAPTER IDEFINITIONS

Article 1

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

  1. (a)

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

  2. (b)

    ‘brokering services’ means:

    1. (i)

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

    2. (ii)

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

  3. (c)

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

  4. (d)
    ‘credit institution’ means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions8, including its branches inside or outside the Union;
  5. (e)

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

  6. (f)

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

  7. (g)

    ‘financial institution’ means:

    1. (i)

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

    2. (ii)
      an insurance company duly authorised in accordance with Directive 2002/83/EC of the European Parliament and of the Council of 5 November 2002 concerning life assurance9, insofar as it carries out activities covered by that Directive;
    3. (iii)
      an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments10;
    4. (iv)

      a collective investment undertaking marketing its units or shares; or

    5. (v)
      an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation11, with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;

    including its branches, whether inside or outside the Union;

  8. (h)

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

  9. (i)

    ‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;

  10. (j)

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

    1. (i)

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

    2. (ii)

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

    3. (iii)

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

    4. (iv)

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

    5. (v)

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

    6. (vi)

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

    7. (vii)

      documents evidencing an interest in funds or financial resources;

  11. (k)

    ‘goods’ includes items, materials and equipment;

  12. (l)

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

  13. (m)

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

  14. (n)

    ‘Syrian credit or financial institution’ means:

    1. (i)

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

    2. (ii)

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

    3. (iii)

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

    4. (iv)

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

  15. (o)

    ‘Syrian person, entity or body’ means:

    1. (i)

      the State of Syria or any public authority thereof;

    2. (ii)

      any natural person in, or resident in, Syria;

    3. (iii)

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

    4. (iv)

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

  16. (p)

    ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, the transmission of working knowledge or skills or consulting services; including verbal forms of assistance;

  17. (q)

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

CHAPTER IIEXPORT AND IMPORT RESTRICTIONS

Article 2

1.

It shall be prohibited:

(a)

to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex I, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria;

(b)

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

2.

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

3.

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

F1Article 2a

1.

It shall be prohibited:

(a)

to sell, supply, transfer or export, directly or indirectly, equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression, as listed in Annex IA, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria;

(b)

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

2.

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

Article 2b

1.

A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression, as listed in Annex IX, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria.

2.

The competent authorities in the Member States, as identified on the websites listed in Annex III, shall not grant any authorisation for any sale, supply, transfer or export of the equipment, goods or technology listed in Annex IX, if they have reasonable grounds to determine that the equipment, goods or technology the sale, supply, transfer or export of which is in question is or might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression.

3.

The authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items 12 . The authorisation shall be valid throughout the Union.

F2Article 3

F31.

It shall be prohibited:

(a)

to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union 13 ( ‘ Common Military List ’ ) or related to the provision, manufacture, maintenance and use of goods included in that list, to any person, entity or body in Syria or for use in Syria;

(b)

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

(c)

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

(d)

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

2.

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

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

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

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

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

3.

By way of derogation from point (b) of paragraph 1, the competent authorities of the Member States, as identified on the websites listed in Annex III, may grant, under such terms and conditions as they deem appropriate, an authorisation for technical assistance or brokering services related to equipment, goods or technology, as listed in Annex IA, provided that the equipment, goods or technology are for food, agricultural, medical or other humanitarian purposes.

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

F34.

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

(a)

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

(b)

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

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

Article 4

1.

It shall be prohibited to sell, supply, transfer or export, directly or indirectly, equipment, technology or software identified in Annex V, whether or not originating in the Union, to any person, entity or body in Syria or for use in Syria, unless the competent authority of the relevant Member State, as identified in the websites referred to in Annex III, has given prior authorisation.

2.

The competent authorities of the Member States, as identified in the websites referred to in Annex III, shall not grant any authorisation under paragraph 1 if they have reasonable grounds to determine that the equipment, technology or software in question would be used for monitoring or interception, by the Syrian regime or on its behalf, of internet or telephone communications in Syria.

3.

Annex V shall include equipment, technology or software which may be used for the monitoring or interception of internet or telephone communications.

4.

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

Article 5

1.

It shall be prohibited:

(a)

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

(b)

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

(c)

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

(d)

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

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

2.

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

Article 6

It shall be prohibited:

  1. (a)

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

    1. (i)

      originate in Syria; or

    2. (ii)

      have been exported from Syria;

  2. (b)

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

  3. (c)

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

  4. (d)

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

  5. (e)

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

Article 7

The prohibitions in Article 6 shall not apply to:

  1. (a)

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

  2. (b)

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

Article 8

1.

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

2.

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

(a)

exploration of crude oil and natural gas;

(b)

production of crude oil and natural gas;

(c)

refining;

(d)

liquefaction of natural gas.

3.

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

Article 9

It shall be prohibited:

  1. (a)

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

  2. (b)

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

  3. (c)

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

Article 10

1.

The prohibitions in Articles 8 and 9 shall not apply to the performance of an obligation required by a contract which was awarded or concluded prior to 19 January 2012, provided that the person or entity seeking to rely on this Article has notified, at least 21 calendar days in advance, the competent authority of the Member State in which they are established, as identified on the websites listed in Annex III.

2.

For the purposes of this Article, a contract shall have been ‘awarded’ to a person or entity if express written confirmation of the award of the contract to that person or entity has been sent by the other contracting party, following the conclusion of a formal tender process.

Article 11

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

F4Article 11a

1.

It shall be prohibited:

(a)

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

(b)

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

(c)

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

2.

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

F1Article 11b

1.

It shall be prohibited:

(a)

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

(b)

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

2.

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

CHAPTER IIIRESTRICTIONS ON PARTICIPATION IN INFRASTRUCTURE PROJECTS

Article 12

1.

It shall be prohibited:

(a)

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

(b)

to provide, directly or indirectly, financial or technical assistance in relation to any project referred to in point (a).

2.

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

CHAPTER IVRESTRICTIONS ON FINANCING CERTAIN ENTERPRISES

Article 13

1.

The following shall be prohibited:

(a)

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

(b)

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

(c)

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

(d)

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

2.

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

(a)

the exploration, production or refining of crude oil; or

(b)

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

3.

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

(a)

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

(b)

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

4.

The prohibitions in paragraph 1:

(a)

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

  1. (i)

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

  2. (ii)

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

(b)

shall not prevent the extension of a participation relating to:

  1. (i)

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

  2. (ii)

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

CHAPTER VFREEZING OF FUNDS AND ECONOMIC RESOURCES

Article 14

1.

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

2.

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

3.

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

Article 15

1.

Annexes II and IIa shall consist of the following:

(a)

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

(b)

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

2.

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

3.

Annexes II and IIa shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, address, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business.

Article 16

By way of derogation from Article 14, the competent authorities in the Member States as identified on the websites listed in Annex III may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources are:

  1. (a)

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

  2. (b)

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

  3. (c)

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

  4. (d)

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

  5. (e)

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

  6. (f)

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

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

Article 17

By way of derogation from Article 14, the competent authorities in the Member States as identified on the websites listed in Annex III may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the provision of such funds or economic resources are necessary for the essential energy needs of the civilian population in Syria, provided that the relevant competent authority has notified for each delivery contract the grounds on which it considers that a specific authorisation should be granted to the competent authorities of the other Member States and to the Commission at least four weeks before the authorisation.

Article 18

By way of derogation from Article 14, the competent authorities in the Member States as listed in Annex III may authorise the release of certain frozen funds or economic resources, if the following conditions are met:

  1. (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 judicial, administrative or arbitral judgment rendered prior to that date;

  2. (b)

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

  3. (c)

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

  4. (d)

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

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

Article 19

1.

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

(a)

interest or other earnings on those accounts; or

(b)

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

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

2.

Article 14(2) shall not prevent financial or credit institutions in the Union from crediting frozen accounts where they receive funds transferred to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the relevant competent authority about any such transaction without delay.

Article 20

By way of derogation from Article 14 and provided that a payment by a person, entity or body listed in Annex II or IIa is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned before, the date on which that person, entity or body had been designated, the competent authorities of the Member States, as indicated on the websites listed in Annex III, may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the payment is not directly or indirectly received by a person or entity referred to in Article 14.

Article 21

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

  1. (a)

    such payment is due under a trade contract; and

  2. (b)

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

F4Article 21a

The prohibitions in Article 14 shall not apply to:

  1. (a)
    1. (i)

      a transfer by or through Central Bank of Syria of funds or economic resources received and frozen after the date of its designation; or

    2. (ii)

      a transfer of funds or economic resources to or through Central Bank of Syria where the transfer is related to a payment by a person or entity not listed in Annex II or IIa due in connection with a specific trade contract,

    provided that the competent authority of the relevant Member State has determined, on a case-by-case basis, that the payment will not directly or indirectly be received by any other person or entity listed in Annex II or IIa; or

  2. (b)

    a transfer made by or through Central Bank of Syria of frozen funds or economic resources in order to provide financial institutions within the jurisdiction of the Member States with liquidity for the financing of trade, provided that the transfer has been authorised by the competent authority of the relevant Member State.

Article 22

The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

CHAPTER VIRESTRICTIONS ON FINANCIAL SERVICES

Article 23

The European Investment Bank (EIB) shall:

  1. (a)

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

  2. (b)

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

Article 24

It shall be prohibited:

  1. (a)

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

    1. (i)

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

    2. (ii)

      any Syrian credit or financial institution;

    3. (iii)

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

    4. (iv)

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

  2. (b)

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

  3. (c)

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

Article 25

1.

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

(a)

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

(b)

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

(c)

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

(d)

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

2.

It shall be prohibited:

(a)

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

(b)

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

(c)

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

(d)

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

Article 26

1.

It shall be prohibited:

(a)

to provide insurance or re-insurance to:

  1. (i)

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

  2. (ii)

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

(b)

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

2.

Paragraph 1(a) shall not apply to the provision of compulsory or third party insurance to Syrian persons, entities or bodies based in the Union or to the provision of insurance for Syrian diplomatic or consular missions in the Union.

3.

Point (ii) of paragraph 1(a) shall not apply to the provision of insurance, including health and travel insurance, to individuals acting in their private capacity, and re-insurance relating thereto.

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

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

4.

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

CHAPTER VIIGENERAL AND FINAL PROVISIONS

Article 27

No claims, including for compensation or indemnification or any other claim of this kind, such as a claim of set-off, fines or claims under a guarantee, claims for extension or payment of a bond, financial guarantee, including claims arising from letters 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 measures imposed by this Regulation, should be granted to the Government of Syria, its public bodies, corporations and agencies, or to any person or entity claiming through it or for its benefit.

Article 28

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

Article 29

1.

Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

(a)

supply immediately any information which would facilitate compliance with this Regulation, such as accounts and amounts frozen in accordance with Article 14, to the competent authority in the Member State where they are resident or located, as indicated on the websites listed in Annex III, and shall transmit such information, either directly or through the Member States, to the Commission; and

(b)

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

2.

Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 30

Member States and the Commission shall immediately inform each other of the measures taken under this Regulation and shall supply each other with any other relevant information at their disposal in connection with this Regulation, in particular information in respect of violation and enforcement problems and judgments handed down by national courts.

Article 31

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

Article 32

1.

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

2.

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

3.

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

4.

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

Article 33

1.

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

2.

Member States shall notify the Commission of those rules without delay after 19 January 2012 and shall notify it of any subsequent amendment.

Article 34

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

Article 35

This Regulation shall apply:

  1. (a)

    within the territory of the Union, including its airspace;

  2. (b)

    on board any aircraft or any vessel under the jurisdiction of a Member State;

  3. (c)

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

  4. (d)

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

  5. (e)

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

Article 36

Regulation (EU) No 442/2011 is repealed.

Article 37

This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX ILIST OF EQUIPMENT WHICH MIGHT BE USED FOR INTERNAL REPRESSION AS REFERRED TO IN ARTICLE 2 AND ARTICLE 3

  1. 1.

    Fire-arms, ammunition and related accessories therefor, as follows:

    1. 1.1

      Firearms not controlled by ML 1 and ML 2 of the Common Military List;

    2. 1.2

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

    3. 1.3

      Weapon-sights not controlled by the Common Military List.

  2. 2.

    Bombs and grenades not controlled by the Common Military List.

  3. 3.

    Vehicles as follows:

    1. 3.1

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

    2. 3.2

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

    3. 3.3

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

    4. 3.4

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

    5. 3.5

      Vehicles specially designed to deploy mobile barriers;

    6. 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. 4.

    Explosive substances and related equipment as follows:

    1. 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);

    2. 4.2

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

    3. 4.3

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

      1. (a)

        amatol;

      2. (b)

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

      3. (c)

        nitroglycol;

      4. (d)

        pentaerythritol tetranitrate (PETN);

      5. (e)

        picryl chloride;

      6. (f)

        2,4,6-trinitrotoluene (TNT).

  5. 5.

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

    1. 5.1

      Body armour providing ballistic and/or stabbing protection;

    2. 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. 6.

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

  7. 7.

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

  8. 8.

    Razor barbed wire.

  9. 9.

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

  10. 10.

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

  11. 11.

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

F1ANNEX Ia LIST OF EQUIPMENT, GOODS AND TECHNOLOGY REFERRED TO IN ARTICLE 2a

PART 1

Introductory Notes

1.

This Part comprises goods, software and technology listed in Annex I to Regulation (EC) No 428/2009 18 .

2.

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

3.

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

4.

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

General Notes

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

NB:

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

2.

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

General Technology Note (GTN) (To be read in conjunction with Section B of this Part)

1.

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

2.

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

3.

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

4.

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

A. EQUIPMENT

No

Description

I.B.1A004

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

  1. a.

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

    1. 1.

      Biological agents ‘ adapted for use in war ’ ;

    2. 2.

      Radioactive materials ‘ adapted for use in war ’ ;

    3. 3.

      Chemical warfare (CW) agents; or

    4. 4.

      ‘ Riot control agents ’ , including:

      1. a.

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

      2. b.

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

      3. c.

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

      4. d.

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

      5. e.

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

      6. f.

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

  2. b.

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

    1. 1.

      Biological agents ‘ adapted for use in war ’ ;

    2. 2.

      Radioactive materials ‘ adapted for use in war ’ ; or

    3. 3.

      Chemical warfare (CW) agents;

  3. c.

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

    1. 1.

      Biological agents ‘ adapted for use in war ’ ;

    2. 2.

      Radioactive materials ‘ adapted for use in war ’ ; or

    3. 3.

      Chemical warfare (CW) agents;

  4. d.

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

    Technical Note :

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

    Note 1:

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

    Note 2:

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

Note: 1A004 does not control:

  1. a.

    Personal radiation monitoring dosimeters ;

  2. b.

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

    1. 1.

      mining;

    2. 2.

      quarrying ;

    3. 3.

      agriculture ;

    4. 4.

      pharmaceutical ;

    5. 5.

      medical ;

    6. 6.

      veterinary ;

    7. 7.

      environmental ;

    8. 8.

      waste management ;

    9. 9.

      food industry.

Technical Notes:

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

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

I.B.9A012

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

  1. a.

    ‘ UAVs ’ having any of the following:

    1. 1.

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

    2. 2.

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

  2. b.

    Associated systems, equipment and components, as follows:

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

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

I.B.9A350

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

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

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

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

Note:

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

Note:

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

Technical Notes:

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

  1. a.

    Doppler laser method ;

  2. b.

    Forward laser diffraction method .

2.

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

B. TEST AND PRODUCTION EQUIPMENT

No

Description

I.B.2B350

Chemical manufacturing facilities, equipment and components, as follows:

  1. a.

    Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m 3 (100 litres) and less than 20 m 3 ( 20 000 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

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

    5. 5.

      Tantalum or tantalum ‘ alloys ’ ;

    6. 6.

      Titanium or titanium ‘ alloys ’ ;

    7. 7.

      Zirconium or zirconium ‘ alloys ’ ; or

    8. 8.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  2. b.

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

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

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

    5. 5.

      Tantalum or tantalum ‘ alloys ’ ;

    6. 6.

      Titanium or titanium ‘ alloys ’ ;

    7. 7.

      Zirconium or zirconium ‘ alloys ’ ; or

    8. 8.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  3. c.

    Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m 3 (100 litres) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

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

    5. 5.

      Tantalum or tantalum ‘ alloys ’ ;

    6. 6.

      Titanium or titanium ‘ alloys ’ ;

    7. 7.

      Zirconium or zirconium ‘ alloys ’ ; or

    8. 8.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  4. d.

    Heat exchangers or condensers with a heat transfer surface area greater than 0,15 m 2 , and less than 20 m 2 ; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

      Graphite or ‘ carbon graphite ’ ;

    5. 5.

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

    6. 6.

      Tantalum or tantalum ‘ alloys ’ ;

    7. 7.

      Titanium or titanium ‘ alloys ’ ;

    8. 8.

      Zirconium or zirconium ‘ alloys ’ ;

    9. 9.

      Silicon carbide;

    10. 10.

      Titanium carbide; or

    11. 11.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  5. e.

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

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

      Graphite or ‘ carbon graphite ’ ;

    5. 5.

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

    6. 6.

      Tantalum or tantalum ‘ alloys ’ ;

    7. 7.

      Titanium or titanium ‘ alloys ’ ;

    8. 8.

      Zirconium or zirconium ‘ alloys ’ ; or

    9. 9.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  6. f.

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

    1. 1.

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

    2. 2.

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

  7. g.

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

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

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

    5. 5.

      Tantalum or tantalum ‘ alloys ’ ;

    6. 6.

      Titanium or titanium ‘ alloys ’ ;

    7. 7.

      Zirconium or zirconium ‘ alloys ’ ;

    8. 8.

      Niobium (columbium) or niobium ‘ alloys ’ ; or

    9. 9.

      Ceramic materials as follows:

      1. a.

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

      2. b.

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

      3. c.

        Zirconium oxide (zirconia);

    Technical Note :

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

  8. h.

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

    1. 1.

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

    2. 2.

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

    3. 3.

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

    4. 4.

      Graphite or ‘ carbon graphite ’ ;

    5. 5.

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

    6. 6.

      Tantalum or tantalum ‘ alloys ’ ;

    7. 7.

      Titanium or titanium ‘ alloys ’ ;

    8. 8.

      Zirconium or zirconium ‘ alloys ’ ; or

    9. 9.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  9. i.

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

    1. 1.

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

    2. 2.

      Ceramics;

    3. 3.

      Ferrosilicon (high silicon iron alloys);

    4. 4.

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

    5. 5.

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

    6. 6.

      Graphite or ‘ carbon graphite ’ ;

    7. 7.

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

    8. 8.

      Tantalum or tantalum ‘ alloys ’ ;

    9. 9.

      Titanium or titanium ‘ alloys ’ ;

    10. 10.

      Zirconium or zirconium ‘ alloys ’ ; or

    11. 11.

      Niobium (columbium) or niobium ‘ alloys ’ ;

  10. j.

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

    1. 1.

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

    2. 2.

      Ceramics; or

    3. 3.

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

    Technical Notes:

    1.

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

    2.

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

I.B.2B351

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

  1. a.

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

  2. b.

    Designed for the detection of cholinesterase-inhibiting activity.

I.B.2B352

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

  1. a.

    Complete biological containment facilities at P3, P4 containment level;

    Technical Note:

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

  2. b.

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

    Technical Note:

    Fermenters include bioreactors, chemostats and continuous-flow systems.

  3. c.

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

    1. 1.

      Flow rate exceeding 100 litres per hour;

    2. 2.

      Components of polished stainless steel or titanium;

    3. 3.

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

    4. 4.

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

    Technical Note:

    Centrifugal separators include decanters.

  4. d.

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

    1. 1.

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

      1. a.

        A total filtration area equal to or greater than 1 m 2 ; and

      2. b.

        Having either of the following characteristics:

        1. 1.

          Capable of being sterilised or disinfected in-situ; or

        2. 2.

          Using disposable or single-use filtration components;

      Technical Note:

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

    2. 2.

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

    Note:

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

  5. e.

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

  6. f.

    Protective and containment equipment, as follows:

    1. 1.

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

      Note:

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

    2. 2.

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

      Note:

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

  7. g.

    Chambers designed for aerosol challenge testing with ‘micro-organisms’, viruses or ‘toxins’ and having a capacity of 1 m 3 or greater.

C. MATERIALS

No

Description

I.B.1C350

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

NB:

SEE ALSO MILITARY GOODS CONTROLS AND 1C450.

  1. 1.

    Thiodiglycol (111-48-8);

  2. 2.

    Phosphorus oxychloride (10025-87-3);

  3. 3.

    Dimethyl methylphosphonate (756-79-6);

  4. 4.

    SEE MILITARY GOODS CONTROLS FOR

    Methyl phosphonyl difluoride (676-99-3);

  5. 5.

    Methyl phosphonyl dichloride (676-97-1);

  6. 6.

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

  7. 7.

    Phosphorus trichloride (7719-12-2);

  8. 8.

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

  9. 9.

    Thionyl chloride (7719-09-7);

  10. 10.

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

  11. 11.

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

  12. 12.

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

  13. 13.

    3-Quinuclidinol (1619-34-7);

  14. 14.

    Potassium fluoride (7789-23-3);

  15. 15.

    2-Chloroethanol (107-07-3);

  16. 16.

    Dimethylamine (124-40-3);

  17. 17.

    Diethyl ethylphosphonate (78-38-6);

  18. 18.

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

  19. 19.

    Diethyl phosphite (762-04-9);

  20. 20.

    Dimethylamine hydrochloride (506-59-2);

  21. 21.

    Ethyl phosphinyl dichloride (1498-40-4);

  22. 22.

    Ethyl phosphonyl dichloride (1066-50-8);

  23. 23.

    SEE MILITARY GOODS CONTROLS FOR

    Ethyl phosphonyl difluoride (753-98-0);

  24. 24.

    Hydrogen fluoride (7664-39-3);

  25. 25.

    Methyl benzilate (76-89-1);

  26. 26.

    Methyl phosphinyl dichloride (676-83-5);

  27. 27.

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

  28. 28.

    Pinacolyl alcohol (464-07-3);

  29. 29.

    SEE MILITARY GOODS CONTROLS FOR

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

  30. 30.

    Triethyl phosphite (122-52-1);

  31. 31.

    Arsenic trichloride (7784-34-1);

  32. 32.

    Benzilic acid (76-93-7);

  33. 33.

    Diethyl methylphosphonite (15715-41-0);

  34. 34.

    Dimethyl ethylphosphonate (6163-75-3);

  35. 35.

    Ethyl phosphinyl difluoride (430-78-4);

  36. 36.

    Methyl phosphinyl difluoride (753-59-3);

  37. 37.

    3-Quinuclidone (3731-38-2);

  38. 38.

    Phosphorus pentachloride (10026-13-8);

  39. 39.

    Pinacolone (75-97-8);

  40. 40.

    Potassium cyanide (151-50-8);

  41. 41.

    Potassium bifluoride (7789-29-9);

  42. 42.

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

  43. 43.

    Sodium fluoride (7681-49-4);

  44. 44.

    Sodium bifluoride (1333-83-1);

  45. 45.

    Sodium cyanide (143-33-9);

  46. 46.

    Triethanolamine (102-71-6);

  47. 47.

    Phosphorus pentasulphide (1314-80-3);

  48. 48.

    Di-isopropylamine (108-18-9);

  49. 49.

    Diethylaminoethanol (100-37-8);

  50. 50.

    Sodium sulphide (1313-82-2);

  51. 51.

    Sulphur monochloride (10025-67-9);

  52. 52.

    Sulphur dichloride (10545-99-0);

  53. 53.

    Triethanolamine hydrochloride (637-39-8);

  54. 54.

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

  55. 55.

    Methylphosphonic acid (993-13-5);

  56. 56.

    Diethyl methylphosphonate (683-08-9);

  57. 57.

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

  58. 58.

    Triisopropyl phosphite (116-17-6);

  59. 59.

    Ethyldiethanolamine (139-87-7);

  60. 60.

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

  61. 61.

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

  62. 62.

    Sodium hexafluorosilicate (16893-85-9);

  63. 63.

    Methylphosphonothioic dichloride (676-98-2).

Note 1:

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

Note 2:

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

Note 3:

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

I.B.1C351

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

  1. a.

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

    1. 1.

      Andes virus;

    2. 2.

      Chapare virus;

    3. 3.

      Chikungunya virus;

    4. 4.

      Choclo virus;

    5. 5.

      Congo-Crimean haemorrhagic fever virus;

    6. 6.

      Dengue fever virus;

    7. 7.

      Dobrava-Belgrade virus;

    8. 8.

      Eastern equine encephalitis virus;

    9. 9.

      Ebola virus;

    10. 10.

      Guanarito virus;

    11. 11.

      Hantaan virus;

    12. 12.

      Hendra virus (Equine morbillivirus);

    13. 13.

      Japanese encephalitis virus;

    14. 14.

      Junin virus;

    15. 15.

      Kyasanur Forest virus;

    16. 16.

      Laguna Negra virus;

    17. 17.

      Lassa fever virus;

    18. 18.

      Louping ill virus;

    19. 19.

      Lujo virus;

    20. 20.

      Lymphocytic choriomeningitis virus;

    21. 21.

      Machupo virus;

    22. 22.

      Marburg virus;

    23. 23.

      Monkey pox virus;

    24. 24.

      Murray Valley encephalitis virus;

    25. 25.

      Nipah virus;

    26. 26.

      Omsk haemorrhagic fever virus;

    27. 27.

      Oropouche virus;

    28. 28.

      Powassan virus;

    29. 29.

      Rift Valley fever virus;

    30. 30.

      Rocio virus;

    31. 31.

      Sabia virus;

    32. 32.

      Seoul virus;

    33. 33.

      Sin nombre virus;

    34. 34.

      St Louis encephalitis virus;

    35. 35.

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

    36. 36.

      Variola virus;

    37. 37.

      Venezuelan equine encephalitis virus;

    38. 38.

      Western equine encephalitis virus;

    39. 39.

      Yellow fever virus;

  2. b.

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

    1. 1.

      Coxiella burnetii;

    2. 2.

      Bartonella quintana (Rochalimaea quintana, Rickettsia quintana);

    3. 3.

      Rickettsia prowasecki;

    4. 4.

      Rickettsia rickettsii;

  3. c.

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

    1. 1.

      Bacillus anthracis;

    2. 2.

      Brucella abortus;

    3. 3.

      Brucella melitensis;

    4. 4.

      Brucella suis;

    5. 5.

      Chlamydia psittaci;

    6. 6.

      Clostridium botulinum;

    7. 7.

      Francisella tularensis;

    8. 8.

      Burkholderia mallei (Pseudomonas mallei);

    9. 9.

      Burkholderia pseudomallei (Pseudomonas pseudomallei);

    10. 10.

      Salmonella typhi;

    11. 11.

      Shigella dysenteriae;

    12. 12.

      Vibrio cholerae;

    13. 13.

      Yersinia pestis;

    14. 14.

      Clostridium perfringens epsilon toxin producing types;

    15. 15.

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

  4. d.

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

    1. 1.

      Botulinum toxins;

    2. 2.

      Clostridium perfringens toxins;

    3. 3.

      Conotoxin;

    4. 4.

      Ricin;

    5. 5.

      Saxitoxin;

    6. 6.

      Shiga toxin;

    7. 7.

      Staphylococcus aureus toxins;

    8. 8.

      Tetrodotoxin;

    9. 9.

      Verotoxin and shiga-like ribosome inactivating proteins;

    10. 10.

      Microcystin (Cyanginosin);

    11. 11.

      Aflatoxins;

    12. 12.

      Abrin;

    13. 13.

      Cholera toxin;

    14. 14.

      Diacetoxyscirpenol toxin;

    15. 15.

      T-2 toxin;

    16. 16.

      HT-2 toxin;

    17. 17.

      Modeccin;

    18. 18.

      Volkensin;

    19. 19.

      Viscum album Lectin 1 (Viscumin);

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

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

    2. 2.

      Are pre-packaged for distribution as medical products ;

    3. 3.

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

  5. e.

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

    1. 1.

      Coccidioides immitis;

    2. 2.

      Coccidioides posadasii.

    Note:

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

I.B.1C352

Animal pathogens, as follows:

  1. a.

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

    1. 1.

      African swine fever virus;

    2. 2.

      Avian influenza virus, which are:

      1. a.

        Uncharacterised; or

      2. b.
        Defined in Annex I(2) to Directive 2005/94/EC 48 as having high pathogenicity, as follows:
        1. 1.

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

        2. 2.

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

    3. 3.

      Bluetongue virus;

    4. 4.

      Foot and mouth disease virus;

    5. 5.

      Goat pox virus;

    6. 6.

      Porcine herpes virus (Aujeszky’s disease);

    7. 7.

      Swine fever virus (Hog cholera virus);

    8. 8.

      Lyssa virus;

    9. 9.

      Newcastle disease virus;

    10. 10.

      Peste des petits ruminants virus;

    11. 11.

      Porcine enterovirus type 9 (swine vesicular disease virus);

    12. 12.

      Rinderpest virus;

    13. 13.

      Sheep pox virus;

    14. 14.

      Teschen disease virus;

    15. 15.

      Vesicular stomatitis virus;

    16. 16.

      Lumpy skin disease virus;

    17. 17.

      African horse sickness virus;

  2. b.

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

    1. 1.

      Mycoplasma mycoides subspecies mycoides SC (small colony);

    2. 2.

      Mycoplasma capricolum subspecies capripneumoniae.

    Note:

    1C352 does not control ‘ vaccines ’ .

I.B.1C353

Genetic elements and genetically modified organisms, as follows:

  1. a.

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

  2. b.

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

Technical Notes :

1.

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

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

  1. a.

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

  2. b.

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

Note:

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

I.B.1C354

Plant pathogens, as follows:

  1. a.

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

    1. 1.

      Potato Andean latent tymovirus;

    2. 2.

      Potato spindle tuber viroid;

  2. b.

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

    1. 1.

      Xanthomonas albilineans;

    2. 2.

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

    3. 3.

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

    4. 4.

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

    5. 5.

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

  3. c.

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

    1. 1.

      Colletotrichum coffeanum var. virulans (Colletotrichum kahawae);

    2. 2.

      Cochliobolus miyabeanus (Helminthosporium oryzae);

    3. 3.

      Microcyclus ulei (syn. Dothidella ulei);

    4. 4.

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

    5. 5.

      Puccinia striiformis (syn. Puccinia glumarum);

    6. 6.

      Magnaporthe grisea (pyricularia grisea/pyricularia oryzae).

I.B.1C450

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

NB:

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

  1. a.

    Toxic chemicals, as follows:

    1. 1.

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

    2. 2.

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

    3. 3.

      SEE MILITARY GOODS CONTROLS FOR

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

    4. 4.

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

    5. 5.

      Cyanogen chloride (506-77-4);

    6. 6.

      Hydrogen cyanide (74-90-8);

    7. 7.

      Chloropicrin: Trichloronitromethane (76-06-2);

    Note 1:

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

    Note 2:

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

    Note 3:

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

  2. b.

    Toxic chemical precursors, as follows:

    1. 1.

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

      Note:

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

    2. 2.

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

      NB:

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

    3. 3.

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

    4. 4.

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

    5. 5.

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

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

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

      2. b.

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

    6. 6.

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

    7. 7.

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

    8. 8.

      Methyldiethanolamine (105-59-9).

    Note 1:

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

    Note 2:

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

    Note 3:

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

48

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

D. SOFTWARE

No

Description

I.B.1D003

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

I.B.2D351

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

I.B.9D001

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

I.B.9D002

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

E. TECHNOLOGY

No

Description

I.B.1E001

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

I.B.2E001

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

I.B.2E002

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

I.B.2E301

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

I.B.9E001

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

I.B.9E002

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

I.B.9E101

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

Technical Note:

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

I.B.9E102

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

Technical Note:

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

PART 2

Introductory Notes

1.

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

2.

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

3.

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

4.

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

General Notes

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

NB:

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

2.

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

General Technology Note (GTN) (To be read in conjunction with Section B of Part 1)

1.

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

2.

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

3.

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

4.

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

I.C.A. GOODS (Materials and chemicals)

No

Description

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

I.C.A.001

Chemicals at 95 % concentration or greater, as follows:

  1. 1.

    Ethylene dichloride, (CAS 107-06-2)

I.C.A.002

Chemicals at 95 % concentration or greater, as follows:

  1. 1.

    Nitromethane, (CAS 75-52-5)

  2. 2.

    Picric acid, (CAS 88-89-1)

I.C.A.003

Chemicals at 95 % concentration or greater, as follows:

  1. 1.

    Aluminum chloride, (CAS 7446-70-0)

  2. 2.

    Arsenic, (CAS 7440-38-2)

  3. 3.

    Arsenic trioxide, (CAS 1327-53-3)

  4. 4.

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

  5. 5.

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

  6. 6.

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

I.C.B. TECHNOLOGY

B.001

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

Technical Note:

The term ‘ technology ’ includes ‘ software ’ .

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 Damascus; diplomatic passport No D1903

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

23.05.2011

2.

Maher (a.k.a. Mahir) Al-Assad

Born on 8 December 1967; diplomatic passport No 4138

Commander of the Army's 4th Armoured Division, member of Ba'ath Party Central Command, strongman of the Republican Guard; brother of President Bashar Al-Assad; principal overseer of violence against demonstrators.

09.05.2011

3.

Ali Mamluk (a.k.a. Mamlouk)

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

Head of Syrian General Intelligence Directorate (GID); involved in violence against demonstrators.

09.05.2011

4.

Muhammad Ibrahim Al-Sha'ar (a.k.a. Mohammad Ibrahim Al-Chaar)

Minister of Interior; involved in violence against demonstrators.

09.05.2011

5.

Atej (a.k.a. Atef, Atif) Najib

Former Head of the Political Security Directorate in Dara'a; cousin of President Bashar Al-Assad; involved in violence against demonstrators.

09.05.2011

6.

Hafiz Makhluf (a.k.a. Hafez Makhlouf)

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

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

09.05.2011

7.

Muhammad Dib Zaytun (a.k.a. Mohammed Dib Zeitoun)

Born on 20 May 1951 in Damascus; diplomatic passport No D000001300

Head of Political Security Directorate; involved in violence against demonstrators.

09.05.2011

8.

Amjad Al-Abbas

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

09.05.2011

F59.

Rami Makhlouf

Born on 10 July 1969 in Damascus,

passport No 454224

Syrian businessman; cousin of President Bashar Al-Assad, controls the investment funds Al Mahreq, Bena Properties, Cham Holding Syriatel, Souruh Company thereby furnishing financing and support to the regime.

9.5.2011

10.

Abd Al-Fatah Qudsiyah

Born in 1953 in Hama; diplomatic passport No D0005788

Head of Syrian Military Intelligence (SMI); involved in violence against the civilian population.

09.05.2011

11.

Jamil Hassan

Head of Syrian Air Force Intelligence; involved in violence against the civilian population.

09.05.2011

12.

Rustum Ghazali

Born on 3 May 1953 in Dara'a; diplomatic passport No D000000887

Head of Syrian Military Intelligence, Damascus Countryside Branch; involved in violence against the civilian population.

09.05.2011

13.

Fawwaz Al-Assad

Born on 18 June 1962 in Kerdala; passport No 88238

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

09.05.2011

14.

Munzir Al-Assad

Born on 1 March 1961 in Latakia; passport No 86449 and No 842781

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

09.05.2011

15.

Asif Shawkat

Born on 15 January 1950 in Al-Madehleh, Tartus

Deputy Chief of Staff for Security and Reconnaissance; involved in violence against the civilian population.

23.05.2011

16.

Hisham Ikhtiyar

Born in 1941

Head of Syrian National Security Bureau; involved in violence against the civilian population.

23.05.2011

17.

Faruq Al Shar'

Born on 10 December 1938

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

23.05.2011

18.

Muhammad Nasif Khayrbik

Born on 10 April 1937 (or 20 May 1937) in Hama, diplomatic passport No 0002250

Deputy Vice-President of Syria for National Security Affairs; involved in violence against the civilian population.

23.05.2011

F519.

Mohamed Hamcho

Born on 20 May 1966 ;

passport No 002954347

Syrian businessman and local agent for several foreign companies; associate of Maher al-Assad, managing a part of his financial and economic interests and as such provides funding to the regime

23.5.2011

20.

Iyad (a.k.a. Eyad) Makhlouf

Born on 21 January 1973 in Damascus; passport No N001820740

Brother of Rami Makhlouf and GID Officer involved in violence against the civilian population.

23.05.2011

21.

Bassam Al Hassan

Presidential Advisor for Strategic Affairs; involved in violence against the civilian population.

23.05.2011

22.

Dawud Rajiha

Chief of Staff of the Armed Forces responsible for the military involvement in violence against peaceful protesters.

23.05.2011

F523.

Ihab (a.k.a. Ehab, Iehab) Makhlouf

Born on 21 January 1973 in Damascus;

passport No N002848852

President of Syriatel, which transfers 50 % of its profits to the Syrian government by way of its licencing contract.

23.5.2011

24.

Zoulhima Chaliche (Dhu al-Himma Shalish)

Born in 1951 or 1946 in Kerdaha.

Head of presidential security; involved in violence against demonstrators; first cousin of President Bashar Al-Assad.

23.6.2011

25.

Riyad Chaliche (Riyad Shalish)

Director of Military Housing Establishment; provides funding to the regime; first cousin of President Bashar Al-Assad.

23.6.2011

26.

Brigadier Commander Mohammad Ali Jafari (a.k.a. Ja'fari, Aziz; a.k.a. Jafari, Ali; a.k.a. Jafari, Mohammad Ali; a.k.a. Ja'fari, Mohammad Ali; a.k.a. Jafari-Najafabadi, Mohammad Ali)

Born on 1 Sep 1957 in Yazd, Iran.

General Commander of Iranian Revolutionary Guard Corps, involved in providing equipment and support to help the Syrian regime suppress protests in Syria.

23.6.2011

27.

Major General Qasem Soleimani (a.k.a. Qasim Soleimany)

Commander of Iranian Revolutionary Guard Corps, IRGC - Qods, involved in providing equipment and support to help the Syrian regime suppress protests in Syria.

23.6.2011

28.

Hossein Taeb (a.k.a. Taeb, Hassan; a.k.a. Taeb, Hosein; a.k.a. Taeb, Hossein; a.k.a. Taeb, Hussayn; a.k.a. Hojjatoleslam Hossein Ta'eb)

Born in 1963 in Tehran, Iran.

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

23.6.2011

29.

Khalid Qaddur

Business associate of Maher Al-Assad; provides funding to the regime.

23.6.2011

F530.

Ra’if Al-Quwatly (a.k.a. Ri’af Al-Quwatli a.k.a. Raeef Al-Kouatly)

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

23.6.2011

31.

Mohammad Mufleh

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

1.8.2011

32.

Major General Tawfiq Younes

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

1.8.2011

33.

Mohammed Makhlouf (a.k.a. Abu Rami)

Born on 19 October 1932 in Latakia, Syria

Close associate and maternal uncle of Bashar and Mahir al-Assad. Business associate and father of Rami, Ihab and Iyad Makhlouf.

1.8.2011

34.

Ayman Jabir

Born in Latakia

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

1.8.2011

35.

General Ali Habib Mahmoud

Born in 1939, in Tartous. Appointed Minister for Defence on 3 June 2009

Minister for Defence. Responsible for conduct and operations of Syrian Armed Forces involved in repression and violence against the civilian population.

1.8.2011

36.

Hayel Al-Assad

Assistant to Maher Al-Assad, Head of the military police unit of the army's 4th Division, involved in repression.

23.8.2011

37.

Ali Al-Salim

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

23.8.2011

38.

Nizar Al-Assad

( )

Cousin of Bashar Al-Assad; previously head of the ‘Nizar Oilfield Supplies’ company.

Very close to key government officials. Financing Shabiha in the region of Latakia.

23.8.2011

39.

Brigadier-General Rafiq Shahadah

Head of Syrian Military Intelligence (SMI) Branch 293 (Internal Affairs) in Damascus. Directly involved in repression and violence against the civilian population in Damascus. Advisor to President Bashar Al-Assad for strategic questions and military intelligence.

23.8.2011

40.

Brigadier-General Jamea Jamea (Jami Jami)

Branch Chief for Syrian Military Intelligence (SMI) in Dayr az-Zor. Directly involved in repression and violence against the civilian population in Dayr az-Zor and Alboukamal.

23.8.2011

41.

Hassan Bin-Ali Al-Turkmani

Born in 1935 in Aleppo

Deputy Vice Minister, former Minister for Defence, Special Envoy of President Bashar Al-Assad.

23.8.2011

42.

Muhammad Said Bukhaytan

Assistant Regional Secretary of Ba'ath Arab Socialist Party since 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.

23.8.2011

43.

Ali Douba

Responsible for killings in Hama in 1980, has been called back to Damascus as special advisor to President Bashar Al-Assad.

23.8.2011

44.

Brigadier-General Nawful Al-Husayn

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

23.8.2011

45.

Brigadier Husam Sukkar

Presidential Adviser on Security Affairs. Presidential Adviser for security agencies' repression and violence against the civilian population.

23.8.2011

46.

Brigadier-General Muhammed Zamrini

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

23.8.2011

47.

Lieutenant-General Munir Adanov (Adnuf)

Deputy Chief of General Staff, Operations and Training for Syrian Army. Directly involved in repression and violence against the civilian population in Syria.

23.8.2011

48.

Brigadier-General Ghassan Khalil

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

23.8.2011

49.

Mohammed Jabir

Born in Latakia

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

23.8.2011

50.

Samir Hassan

Close business associate of Maher Al-Assad. Known for supporting the Syrian regime financially.

23.8.2011

51.

Fares Chehabi (Fares Shihabi)

President of Aleppo Chamber of Industry. Provides financial support to the Syrian regime.

2.09.2011

F6

F553.

Tarif Akhras

Born 2 June 1951 in Homs, Syria

Syrian passport nr. 0000092405

Prominent businessman benefiting from and supporting the regime. Founder of the Akhras Group (commodities, trading, processing and logistics) and former Chairman of the Homs Chamber of Commerce. Close business relations with President Al-Assad’s family. Member of the Board of the Federation of Syrian Chambers of Commerce. Provided industrial and residential premises for improvised detention camps, as well as logistical support for the regime (buses and tank loaders).

2.9.2011

F754.

Issam Anbouba

President of Anbouba for Agricultural Industries Co.

Born 1952 in Homs, Syria

Providing financial support for the repressive apparatus and the paramilitary groups exerting violence against the civil population in Syria. Providing property (premises, warehouses) for improvised detention centers. Financial relations with high Syrian officials.

2.9.2011

55.

Tayseer Qala Awwad

Born in 1943 in Damascus

Minister of Justice. Associated with the Syrian regime, including by supporting its policies and practices of arbitrary arrest and detention.

23.09.2011

56.

Dr Adnan Hassan Mahmoud

Born in 1966 in Tartous

Minister of Information. Associated with the Syrian regime, including by supporting and promoting its information policy.

23.09.2011

57.

Major General Jumah Al-Ahmad

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

14.11.2011

58.

Colonel Lu'ai al-Ali

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

14.11.2011

59.

Lt. General Ali Abdullah Ayyub

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

14.11.2011

60.

Lt. General Jasim al-Furayj

Chief of General staff. Responsible for the use of violence against protestors across Syria.

14.11.2011

61.

General Aous (Aws) Aslan

Born in 1958

Head of Battalion in the Republican Guard. Close to Maher Al-Assad and President Al-Assad. Involved in the crackdown on the civilian population across Syria.

14.11.2011

62.

General Ghassan Belal

General in command of the 4th Division reserve bureau. Adviser to Maher Al-Assad and coordinator of security operations. Responsible for the crackdown on the civilian population across Syria.

14.11.2011

63.

Abdullah Berri

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

14.11.2011

64.

George Chaoui

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

14.11.2011

65.

Major General Zuhair Hamad

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

14.11.2011

66.

Amar Ismael

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

14.11.2011

67.

Mujahed Ismail

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

14.11.2011

F8

69.

Major General Nazih

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

14.11.2011

70.

Kifah Moulhem

Batallion Commander in the 4th Division. Responsible for the crackdown on the civilian population in Deir el-Zor.

14.11.2011

71.

Major General Wajih Mahmud

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

14.11.2011

F572.

Bassam Sabbagh

Born on 24 August 1959 in Damascus. Address: Kasaa, Anwar al Attar Street, al Midani building, Damascus .

Syrian passport no 004326765 issued 2 November 2008 , valid until November 2014.

Legal and financial adviser and manages affairs of Rami Makhlouf and Khaldoun Makhlouf. Involved with Bashar al-Assad in funding a real estate project in Latakia. Provides financial support for the regime.

14.11.2011

73.

Lt. General Mustafa Tlass

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

14.11.2011

74.

Major General Fu'ad Tawil

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

14.11.2011

75.

Mohammad Al-Jleilati

Born in 1945 in Damascus

Minister of Finance. Responsible for the Syrian economy.

1.12.2011

76.

Dr. Mohammad Nidal Al-Shaar

Born in 1956 in Aleppo

Minister of Economy and Trade. Responsible for the Syrian economy.

1.12.2011

77.

Lt. General Fahid Al-Jassim

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

1.12.2011

78.

Major General Ibrahim Al-Hassan

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

1.12.2011

79.

Brigadier Khalil Zghraybih

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

1.12.2011

80.

Brigadier Ali Barakat

103rd Brigade of the Republican Guard Division. Military official involved in the violence in Homs.

1.12.2011

81.

Brigadier Talal Makhluf

103rd Brigade of the Republican Guard Division. Military official involved in the violence in Homs.

1.12.2011

82.

Brigadier Nazih Hassun

Syrian Air Force Intelligence. Military official involved in the violence in Homs.

1.12.2011

83.

Captain Maan Jdiid

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

1.12.2011

84.

Muahmamd Al-Shaar

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

1.12.2011

85.

Khald Al-Taweel

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

1.12.2011

86.

Ghiath Fayad

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

1.12.2011

F987.

Brigadier General

Jawdat Ibrahim Safi

Commander of 154th Regiment

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

23.1.2012

88.

Major General

Muhammad Ali Durgham

Commander in 4th Division

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

23.1.2012

89.

Major General

Ramadan Mahmoud Ramadan

Commander of 35th Special Forces Regiment

Ordered troops to shoot protestors in Baniyas and Deraa

23.1.2012

90.

Brigadier General

Ahmed Yousef Jarad

Commander of 132nd Brigade

Ordered troops to shoot at protestors in Deraa, including the use of machine guns and anti-aircraft guns.

23.1.2012

91.

Major General

Naim Jasem Suleiman

Commander of the 3rd Division

Gave orders to troops to shoot protestors in Douma.

23.1.2012

92.

Brigadier General

Jihad Mohamed Sultan

Commander of 65th Brigade

Gave orders to troops to shoot protestors in Douma

23.1.2012

93.

Major General

Fo'ad Hamoudeh

Commander of the military operations in Idlib

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

23.1.2012

94.

Major General

Bader Aqel

Special Forces Commander

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

23.1.2012

95.

Brigadier General

Ghassan Afif

Commander from the 45th Regiment

Commander of military operations in Homs, Baniyas and Idlib

23.1.2012

96.

Brigadier General

Mohamed Maaruf

Commander from the 45th Regiment

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

23.1.2012

97.

Brigadier General

Yousef Ismail

Commander of the 134th Brigade

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

23.1.2012

98.

Brigadier General

Jamal Yunes

Commander of the 555th Regiment.

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

23.1.2012

99.

Brigadier General

Mohsin Makhlouf

Gave orders to troops to shoot at protestors in Al-Herak.

23.1.2012

100.

Brigadier General

Ali Dawwa

Gave orders to troops to shoot protestors in Al-Herak

23.1.2012

101.

Brigadier General

Mohamed Khaddor

Commander of the 106th Brigade, Presidential Guard

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

23.1.2012

102.

Major General

Suheil Salman Hassan

Commander of 5th Division

Gave orders to troops to shoot at the protesters in Deraa Governorate.

23.1.2012

103.

Wafiq Nasser

Head of Suwayda Regional Branch (Department of Military Intelligence)

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

23.1.2012

104.

Ahmed Dibe

Head of Deraa Regional Branch (General Security Directorate)

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

23.1.2012

105.

Makhmoud al-Khattib

Head of Investigative Branch (Political Security Directorate)

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

23.1.2012

106.

Mohamed Heikmat Ibrahim

Head of Operations Branch (Political Security Directorate)

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

23.1.2012

107.

Nasser Al-Ali

Head of Deraa Regional Branch (Political Security Directorate)

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

23.1.2012

108.

Mehran (or Mahran) Khwanda

Owner of transport company Qadmous Transport Co. Date of birth 11.05.1938 Passports: No 3298 858, expired 09.05.2004, No 001452904, expires 29.11.2011, No 006283523, expires 28.06.2017.

Provides logistical support to violent repression of civilian population in areas of operation of pro-government militias involved in violence (shabihas).

23.1.2012

F4109.

Al –Halqi, Dr. Wael Nader

Born in the Daraa Province, 1964

Minister of Health.

Under his responsibility hospitals were ordered to deny care to protestors.

27.2.2012

110.

Azzam, Mansour Fadlallah

Born in the Sweida Province, 1960

Minister of Presidential Affairs

Advisor to the President.

27.2.2012

111.

Sabouni, Dr. Emad Abdul-Ghani

Born in Damascus, 1964

Minister of Communication and Technology.

Under his responsability free access to the media is being seriously hampered.

27.2.2012

112.

Allaw, Sufian

Born in al-Bukamal, Deir Ezzor, 1944

Minister of Petroleum and Mineral Resources.

Responsible for policies concerning petroleum and mineral resources which provide a major source of financial support for the regime.

27.2.2012

113.

Slakho, Dr Adnan

Born in Damascus, 1955

Minister of Industry

Responsible for economic and industrial policies which provide resources and support for the regime.

27.2.2012

114.

Al-Rashed, Dr. Saleh

Born in the Aleppo Province, 1964

Minister of Education.

Under his responsibility schools are being used as makeshift prisons

27.2.2012

115.

Abbas, Dr. Fayssal

Born in the Hama Province, 1955

Minister of Transport.

Under his responsibility logistical support for the repression is being provided.

27.2.2012

F10116.

Anisa Al Assad

(a.k.a. Anisah Al Assad)

Born: 1934

Maiden name: Makhlouf

Mother of President Al-Assad. Given the close personal relationship and intrinsic financial relationship to the Syrian President, Bashar Al Assad, she benefits from and is associated with the Syrian regime.

23.3.2012

117.

Bushra Al Assad

(a.k.a. Bushra Shawkat)

Born: 24.10.1960

Sister of Bashar al Assad, and wife of Asif Shawkat, Deputy Chief of Staff for Security and Reconnaissance.

Given the close personal relationship and intrinsic financial relationship to the Syrian President, Bashar Al Assad and other core Syrian regime figures, she benefits from and is associated with the Syrian regime.

23.3.2012

118.

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

Born: 11.08.1975

Place of Birth: London, UK

Passport number: 707512830 expires 22/9/2020

Maiden name: Al Akhras

Wife of Bashar Al Assad. Given the close personal relationship and intrinsic financial relationship to the Syrian President, Bashar Al Assad, she benefits from and is associated with the Syrian regime.

23.3.2012

F7119.

Manal Al Assad (a.k.a. Manal Al Ahmad)

Born: 02.02.1970 .

Place of Birth: Damascus

Passport number (Syrian): 0000000914

Maiden name: Al Jadaan

Spouse of Maher Al Assad, and as such benefiting from and closely associated with the regime.

23.3.2012

120.

Imad Mohammad Deeb Khamis

Born: 1 August 1961

Place of Birth: near Damascus

Minister of Electricity. Responsible for using power cuts as a method of repression.

23.3.2012

121.

Omar Ibrahim Ghalawanji

Born: 1954

Place of Birth: Tartus

Minister of Local Administration. Responsible for local government authorities and thus responsible for repression against the civilian population by local governments.

23.3.2012

122.

Joseph Suwaid

Born: 1958

Place of Birth: Damascus

Minister of State and as such closely associated with the regime’s policy.

23.3.2012

123.

Ghiath Jeraatli

Born: 1950

Place of Birth: Salamiya

Minister of State and as such closely associated with the regime’s policy.

23.3.2012

124.

Hussein Mahmoud Farzat

Born: 1957

Place of Birth: Hama

Minister of State and as such closely associated with the regime’s policy.

23.3.2012

125.

Yousef Suleiman Al-Ahmad

Born: 1956

Place of Birth: Hasaka

Minister of State and as such closely associated with the regime’s policy.

23.3.2012

126.

Hassan al-Sari

Born: 1953

Place of Birth: Hama

Minister of State and as such closely associated with the regime’s policy.

23.3.2012

F7127.

Mazen al-Tabba

Born: 01.01.1958

Place of Birth: Damascus

Passport number (Syrian): 004415063 expires 06.05.2015

Business partner of Ihab Makhlouf and Nizar al-Assad (subjected to sanctions on 23/08/2011 ); co-owner, with Rami Makhlouf, of the Al-Diyar lil-Saraafa (a.k.a. Diar Electronic Services) currency exchange company, which supports the policy of the Central Bank of Syria.

23.3.2012

F11128.

Adib Mayaleh

Born 1955, Daraa

Adib Mayaleh is responsible for providing economic and financial support to the Syrian regime through his functions as the Governor of the Central Bank of Syria.

15.5.2012

129.

Salim Altoun, a.k.a. Saleem Altoun, a.k.a. Abu Shaker

Chairman and CEO of Altoun Group

Born 1940 in Caracas, Venzuela

He has Venezuelan citizenship, identification number 028173131 (probably in possession of Venezuelan passport).

He has a Lebanese residence and work permit number: 1486/2011

Provides financial support to the regime. Involved in a scheme through Altoun Group to export Syrian oil with the listed company Sytrol in order to provide revenue to the regime.

15.5.2012

130.

Youssef Klizli

Assistant to Salim Altoun

Provides financial support to the regime. Assisted Salim Altoun in setting up a scheme through Altoun Group to export Syrian oil with the listed company Sytrol in order to provide revenue to the regime.

15.5.2012

F12131.

Bouthaina Shaaban

(a.k.a. Buthaina Shaaban)

Born 1953 in Homs, Syria

Political and Media Advisor to the President since July 2008 and as such associated with the violent crackdown on the population.

26.6.2012

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 Fund (AMIF) (alias Sunduq Al Mashrek Al Istithmari)

P.O. Box 108, Damascus

Tel.: 963 112110059 / 963 112110043

Fax: 963 933333149

Controlled by Rami Makhlouf; provides funding to the regime.

23.6.2011

3.

Hamcho International (Hamsho International Group)

Baghdad Street, P.O. Box 8254, Damascus

Tel.: 963 112316675

Fax: 963 112318875

Website: www.hamshointl.com

E-mail: info@hamshointl.com and hamshogroup@yahoo.com

Controlled by Mohammad Hamcho or Hamsho; provides funding to the regime.

23.6.2011

4.

Military Housing Establishment (alias MILIHOUSE)

Public works company controlled by Riyad Shalish and Ministry of Defence; provides funding to the regime.

23.6.2011

5.

Political Security Directorate

Syrian government agency directly involved in repression.

23.8.2011

6.

General Intelligence Directorate

Syrian government agency directly involved in repression.

23.8.2011

7.

Military Intelligence Directorate

Syrian government agency directly involved in repression.

23.8.2011

8.

Air Force Intelligence Agency

Syrian government agency directly involved in repression.

23.8.2011

9.

IRGC Qods Force (Quds Force)

Teheran, Iran

The Qods (or Quds) Force is a specialist arm of the Iranian 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.

23.8.2011

10.

Mada Transport

Subsidiary of Cham Holding (Sehanya Dara'a Highway, P.O. Box 9525

Tel.: 00 963 11 99 62)

Economic entity financing the regime.

2.09.2011

11.

Cham Investment Group

Subsidiary of Cham Holding (Sehanya Dara'a Highway, P.O. Box 9525

Tel.: 00 963 11 99 62)

Economic entity financing the regime.

2.09.2011

12.

Real Estate Bank

Insurance Bldg- Yousef Al-Azmeh 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

State-owned bank providing financial support for the regime.

2.09.2011

13.

Addounia TV (a.k.a. Dounia TV)

Tel.: +963-11-5667274, +963-11-5667271,

Fax: +963-11-5667272

Website: http://www.addounia.tv

Addounia TV has incited violence against the civilian population in Syria.

23.09.2011

14.

Cham Holding

Cham Holding Building Daraa Highway - Ashrafiyat Sahnaya Rif 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

Controlled by Rami Makhlouf; largest holding company in Syria, benefiting from and supporting the regime.

23.09.2011

F515.

El-Tel. Co. (El-Tel. Middle East Company

Address: Dair Ali Jordan Highway, P.O. Box 13052, Damascus – Syria

Tel. +963-11-2212345

Fax +963-11-44694450

E-mail: sales@eltelme.com

Website: www.eltelme.com

Manufacturing and supplying communication and transmission towers and other equipment for the Syrian army.

23.9.2011

16.

Ramak Constructions Co.

Address: Dara'a Highway, Damascus, Syria

Tel.: +963-11-6858111

Mobile: +963-933-240231

Construction of military barracks, border post barracks and other buildings for Army needs.

23.09.2011

17.

Souruh Company (a.k.a. SOROH Al Cham Company)

Address: Adra Free Zone Area Damascus, Syria

Tel.: +963-11-5327266

Mobile: +963-933-526812, +963-932-878282

Fax: +963-11-5316396

E-mail: sorohco@gmail.com

Website: http://sites.google.com/site/sorohco

Investment in local military industrial projects, manufacturing weapons parts and related items. 100 % of the company is owned by Rami Makhlouf.

23.09.2011

18.

Syriatel

Thawra Street, Ste Building 6th Floor, BP 2900

Tel.: +963 11 61 26 270

Fax: +963 11 23 73 97 19

E-mail: info@syriatel.com.sy;

Website: http://syriatel.sy/

Controlled by Rami Makhlouf; provides financial support to the regime: through its licensing contract it pays 50 % of its profits to the Government.

23.09.2011

19.

Cham Press TV

Al Qudsi building, 2nd Floor - Baramkeh - Damascus

Tel.: +963 - 11- 2260805

Fax: +963 - 11 - 2260806

E-mail: mail@champress.com

Website: www.champress.net

Television channel which participates in campaigns to spread disinformation and incite violence against demonstrators.

1.12.2011

20.

Al Watan

Al Watan Newspaper - Damascus – Duty Free Zone

Tel.: 00963 11 2137400

Fax: 00963 11 2139928

Daily newspaper which participates in campaigns to spread disinformation and incite violence against demonstrators.

1.12.2011

21.

Centre d'études et de recherches syrien (CERS) (CERS, Centre d'Etude et de Recherche Scientifique; SSRC, Scientific Studies and Research Center; Centre de Recherche de Kaboun

Barzeh Street, P.O. Box 4470, Damascus

Provides support to the Syrian army for the acquisition of equipment used directly for the surveillance and repression of demonstrators.

1.12.2011

22.

Business Lab

Maysat Square, Al Rasafi Street Bldg. 9, P.O. Box 7155, Damascus

Tel.: 963112725499

Fax: 963112725399

Front company for the acquisition of sensitive equipment by the CERS.

1.12.2011

23.

Industrial Solutions

Baghdad Street 5, P.O. Box 6394, Damascus

Tel./fax: 963114471080

Front company for the acquisition of sensitive equipment by the CERS.

1.12.2011

24.

Mechanical Construction Factory (MCF)

P.O. Box 35202, Industrial Zone, Al-Qadam Road, Damascus

Front company for the acquisition of sensitive equipment by the CERS.

1.12.2011

25.

Syronics – Syrian Arab Co. for Electronic Industries

Kaboon Street, P.O. Box 5966, Damascus

Tel.-No.: +963-11-5111352

Fax: +963-11-5110117

Front company for the acquisition of sensitive equipment by the CERS.

1.12.2011

26.

Handasieh – Organization for Engineering Industries

P.O. Box 5966, Abou Bakr Al-Seddeq St., Damascus

and P.O. Box 2849 Al-Moutanabi Street, Damascus

and P.O. Box 21120 Baramkeh, Damascus

Tel.: 963112121816 – 963112121834 – 963112214650 – 963112212743 - 963115110117

Front company for the acquisition of sensitive equipment by the CERS.

1.12.2011

27.

Syria Trading Oil Company (Sytrol)

Prime Minister Building, 17 Street Nissan, Damascus, Syria.

State-owned company responsible for all oil exports from Syria. Provides financial support to the regime.

1.12.2011

28.

General Petroleum Corporation (GPC)

New Sham - Building of Syrian Oil Company, P.O. Box 60694, Damascus, Syria

Tel.: 963113141635

Fax: 963113141634

E-mail: info@gpc-sy.com

State-owned oil company. Provides financial support to the regime.

1.12.2011

29.

Al Furat Petroleum Company

Dummar - New Sham - Western Dummer 1st. Island -Property 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

Joint venture 50 % owned by GPC. Provides financial support to the regime.

1.12.2011

F930.

Industrial Bank

Dar Al Muhanisen Building, 7th Floor, Maysaloun Street, P.O. Box 7572 Damascus, Syria.

Tel: +963 11-222-8200. +963 11-222-7910

Fax: +963 11-222-8412

State-owned bank.

Provides financial support to the regime.

23.1.2012

31.

Popular Credit Bank

Dar Al Muhanisen Building, 6th Floor, Maysaloun Street, Damascus, Syria.

Tel: +963 11-222-7604. +963 11-221-8376

Fax: +963 11-221-0124

State-owned bank.

Provides financial support to the regime.

23.1.2012

32.

Saving Bank

Syria-Damascus – Merjah – Al-Furat St. P.O. Box: 5467

Fax: 224 4909 – 245 3471

Tel: 222 8403

e-mail: s.bank@scs-net.org post-gm@net.sy

State-owned bank.

Provides financial support to the regime.

23.1.2012

33.

Agricultural Cooperative Bank

Agricultural Cooperative Bank Building, Damascus Tajhez, P.O. Box 4325, Damascus, Syria.

Tel: +963 11-221-3462; +963 11-222-1393

Fax: +963 11-224-1261

Website: www.agrobank.org

State-owned bank.

Provides financial support to the regime.

23.1.2012

34.

Syrian Lebanese

Commercial Bank

Syrian Lebanese Commercial Bank Building, 6th Floor, Makdessi Street, Hamra, P.O. Box 11-8701, Beirut, Lebanaon.

Tel: +961 1-741666

Fax: +961 1-738228; +961 1-753215; +961 1-736629

Website: www.slcb.com.lb

Subsidiary of the Commercial Bank of Syria already listed.

Provides financial support to the regime.

23.1.2012

35.

Deir ez-Zur

Petroleum Company

Dar Al Saadi Building 1st, 5th, and 6th Floor Zillat Street Mazza Area P.O. Box 9120 Damascus Syria

Tel: +963 11-662-1175; +963 11-662-1400

Fax: +963 11-662-1848

Joint venture of GPC. Provides financial support to the regime.

23.1.2012

36.

Ebla Petroleum Company

Head Office Mazzeh Villat Ghabia Dar Es Saada 16 Damascus, Syria

Tel: +963 116691100

P.O. Box 9120

Joint venture of GPC. Provides financial support to the regime.

23.1.2012

37.

Dijla Petroleum Company

Building No. 653 – 1st Floor, Daraa Highway, P.O. Box 81, Damascus, Syria

Joint venture of GPC. Provides financial support to the regime.

23.1.2012

F438.

Central Bank of Syria

Syria, Damascus, Sabah Bahrat Square

Postal address:

Altjreda al Maghrebeh square, Damascus,

Syrian Arab Republic,

P.O. Box: 2254

Providing financial support to the regime

27.2.2012

F1039.

Syrian Petroleum company

Address: Dummar Province, Expansion Square, Island 19- Building 32

P.O. BOX: 2849 or 3378

Phone: 00963-11-3137935 or 3137913

Fax: 00963-11-3137979 or 3137977

E-mail: spccom2@scs-net.org or

spccom1@scs-net.org

Website: www.spc.com.sy

Website: www.spc-sy.com

State-owned oil company. Provides financial support to the Syrian regime

23.3.2012

40.

Mahrukat Company

(The Syrian Company for the Storage and Distribution of Petroleum Products)

Headquarters: Damascus - Al Adawi st., Petroleum building

Fax: 00963-11/4445796

Phone: 00963-11/44451348 - 4451349

E-mail: mahrukat@net.sy

Website: http://www.mahrukat.gov.sy/indexeng.php

State-owned oil company. Provides financial support to the Syrian regime

23.3.2012

F1141.

General Organisation of Tobacco

Salhieh Street 616, Damascus, Syria

Provides financial support to the Syrian regime. The General Organisation of Tobacco is wholly owned by the Syrian state. The profits that the organisation makes, including through the sale of licenses to market foreign brands of tobacco and taxes levied on imports of foreign brands of tobacco are transferred to the Syrian state.

15.5.2012

42.

Altoun Group

Altoun Group

Maaraba Damascus Countryside

North Circular Highway

Damascus

Syria

tel.: 00963-11-5915685

Postal Box 30484

1987 US SIC Codes 6719

NACE Codes 7415

Provides financial support to the Syrian regime. The entity is involved in a scheme to export Syrian oil with the listed company Sytrol in order to provide revenue to the regime.

15.5.2012

F1243.

Ministry of Defence

Address: Umayyad Square, Damascus

Telephone: +963-11-7770700

Syrian government branch directly involved in repression.

26.6.2012

44.

Ministry of Interior

Address: Merjeh Square, Damascus

Telephone: +963-11-2219400, +963-11-2219401, +963-11-2220220, +963-11-2210404

Syrian government branch directly involved in repression.

26.6.2012

45.

Syrian National Security Bureau

Syrian government branch and element of the Syrian Ba'ath Party. Directly involved in repression. It directed Syrian security forces to use extreme force against demonstrators.

26.6.2012

46.

Syria International Islamic Bank (SIIB)

(a.k.a.: Syrian International Islamic Bank; a.k.a. SIIB)

Location: Syria International Islamic Bank Building, Main Highway Road, Al Mazzeh Area, P.O. Box 35494, Damascus, Syria

Alt. Location: P.O. Box 35494, Mezza'h Vellat Sharqia'h, beside the Consulate of Saudi Arabia, Damascus, Syria

SIIB has acted as a front for the Commercial Bank of Syria, which has allowed that bank to circumvent sanctions imposed on it by the EU. From 2011 to 2012, SIIB surreptitiously facilitated financing worth almost $150 million on behalf of the Commercial Bank of Syria. Financial arrangements that were purportedly made by SIIB were actually made by the Commercial Bank of Syria.

In addition to working with the Commercial Bank of Syria to circumvent sanctions, in 2012, SIIB facilitated several substantial payments for the Syrian Lebanese Commercial Bank, another bank already designated by the EU.

In these ways, SIIB has contributed to providing financial support to the Syrian regime.

26.6.2012

47.

General Organisation of Radio and TV

(a.k.a. Syrian Directorate General of Radio & Television Est; a.k.a. General Radio and Television Corporation; a.k.a. Radio and Television Corporation; a.k.a. GORT)

Address: Al Oumaween Square, P.O. Box 250, Damascus, Syria .

Telephone (963 11) 223 4930

State-run agency subordinate to Syria’s Ministry of Information and as such supports and promotes its information policy. It is responsible for operating Syria’s state-owned television channels, two terrestrial and one satellite, as well as government radio stations. The GORT has incited violence against the civilian population in Syria, serving as a propaganda instrument for the Assad regime and spreading disinformation.

26.6.2012

48.

Syrian Company for Oil Transport

(a.k.a. Syrian Crude Oil Transportation Company; a.k.a. ‘ SCOT ’ ; a.k.a. ‘ SCOTRACO ’

Banias Industrial Area, Latakia Entrance Way, P.O. Box 13, Banias, Syria; Website www.scot-syria.com; Email scot50@scn-net.org

Syrian state owned oil company. Provides financial support to the regime.

26.6.2012

ANNEX IIaLIST 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, Moawiya St., Damascus, Syria;- P.O. 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

State-owned bank providing financial support to the regime.

13.10.2011

ANNEX IIILIST OF COMPETENT AUTHORITIES IN THE MEMBER STATES AND ADDRESS FOR NOTIFICATIONS TO THE EUROPEAN COMMISSION

  1. 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/

    • 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

  2. 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

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).

ANNEX VEQUIPMENT, TECHNOLOGY AND SOFTWARE REFERRED TO IN ARTICLE 4

General Note

Notwithstanding the contents of this Annex, it shall not apply to:

  1. (a)
    equipment, technology or software which are specified in Annex I to Council Regulation (EC) 428/200984 or the Common Military List; or
  2. (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:

    1. (i)

      over the counter transactions;

    2. (ii)

      mail order transactions;

    3. (iii)

      electronic transactions; or

    4. (iv)

      telephone order transactions; or

  3. (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:

  1. 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

    • IMSI85, MSISDN86, IMEI87, TMSI88 interception and monitoring equipment
    • Tactical SMS89/GSM90/GPS91/GPRS92/UMTS93/CDMA94/PSTN95 interception and monitoring equipment
    • DHCP96/SMTP97,GTP98 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

  2. B.

    Not used

  3. C.

    Not used

  4. D.

    ‘Software’ for the ‘development’, ‘production’ or ‘use’ of the equipment specified in A above.

  5. 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.

ANNEX VILIST 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.AEquipment

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.

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 Nm3/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 m3 per minute and/or 40 bar), specially designed to pump drilling muds and/or cement into oil and gas wells.

1.BTest 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.CMaterials

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.DSoftware

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.

1.ETechnology

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.AEquipment

1.Heat exchangers as follows and specially designed components therefor:

  1. a.

    Plate-fin heat exchangers with a surface/volume ratio greater than 500 m2/m3, specially designed for pre-cooling of natural gas;

  2. 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 m3/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 m3/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:

  1. a.

    Stainless steels with 23 % chromium or more by weight;

  2. 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

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 m3 (1 000 000 litres) as follows, and specially designed components therefor:

  1. a.

    fixed roof tanks;

  2. 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.BTest 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.CMaterials

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:

  1. a.

    Single metal (platinum group) on alumina type or on zeolite, specially designed for catalytic reforming process;

  2. b.

    Mixed metal species (platinum in combination with other noble metals) on alumina type or on zeolite, specially designed for catalytic reforming process;

  3. c.

    Cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, specially designed for catalytic desulphurisation process;

  4. 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.DSoftware

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.

2.ETechnology

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:

  1. 6.1.

    ‘Technology’ for conversion of light olefin to gasoline;

  2. 6.2.

    Catalytic reforming and isomerisation technology;

  3. 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.

F4ANNEX VIII

List of gold, precious metals and diamonds referred to in Article 11a

HS Code

Description

7102

Diamonds, whether or not worked, but not mounted or set.

7106

Silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or in powder form.

7108

Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form.

7109

Base metals or silver, clad with gold, not further worked than semi-manufactured.

7110

Platinum, unwrought or in semi-manufactured forms, or in powder form.

7111

Base metals, silver or gold, clad with platinum, not further worked than semi-manufactured.

7112

Waste and scrap of precious metal or of metal clad with precious metal; other waste and scrap containing precious metal or precious-metal compounds, of a kind used principally for the recovery of precious metal.

F1ANNEX IX LIST OF EQUIPMENT, GOODS AND TECHNOLOGY REFERRED TO IN ARTICLE 2b

Introductory Notes

1.

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

2.

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

3.

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

4.

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

General Notes

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

NB :

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

2.

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

General Technology Note (GTN) (To be read in conjunction with Section B of this Annex)

1.

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

2.

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

3.

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

4.

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

IX.A. GOODS

IX.A1. Materials, chemicals, ‘ micro-organisms ’ and ‘ toxins ’

No

Description

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

IX.A1.001

Chemicals at 95 % concentration or greater, as follows:

  • Tributylphosphite, (CAS 102-85-2)

  • Isocyanatomethane, (CAS 624-83-9)

  • Quinaldine, (CAS 91-63-4)

  • 2-bromochloroethane, (CAS 107-04-0)

IX.A1.002

Chemicals at 95 % concentration or greater, as follows:

  • Benzil, (CAS 134-81-6)

  • Diethylamine, (CAS 109-89-7)

  • Diethyl ether, (CAS 60-29-7)

  • Dimethyl ether, (CAS 115-10-6)

  • Dimethylaminoethanol, (CAS 108-01-0)

IX.A1.003

Chemicals at 95 % concentration or greater, as follows:

  • 2-methoxyethanol, (CAS 109-86-4)

  • Butyrylcholinesterase (BCHE)

  • Diethylenetriamine, (CAS 111-40-0)

  • Dichloromethane, (CAS 75-09-3)

  • Dimethylanaline, (CAS 121-69-7)

  • Ethyl bromide, (CAS 74-96-4)

  • Ethyl chloride, (CAS 75-00-3)

  • Ethylamine, (CAS 75-04-7)

  • Hexamine, (CAS 100-97-0)

  • Isopropyl bromide, (CAS 75-26-3)

  • Isopropyl ether, (CAS 108-20-3)

  • Methylamine, (CAS 74-89-5)

  • Methyl bromide, (CAS 74-83-9)

  • Monoisopropylamine, (CAS 75-31-0)

  • Obidoxime chloride, (CAS 114-90-9)

  • Potassium bromide, (CAS 7758-02-3)

  • Pyridine, (CAS 110-86-1)

  • Pyridostigmine bromide, (CAS 101-26-8)

  • Sodium bromide, (CAS 7647-15-6)

  • Sodium metal, (CAS 7440-23-5)

  • Tributylamine, (CAS 102-82-9)

  • Triethylamine, (CAS 121-44-8)

  • Trimethylamine, (CAS 75-50-3)

IX.A2. Materials Processing

No

Description

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

IX.A2.001

Floor-mounted fume hoods (walk-in-style) with a minimum nominal width of 2,5 meters.

IX.A2.002

Full face-mask air-purifying and air-supplying respirators other than those specified in 1A004 or 2B352f1.

1A004.a

IX.A2.003

Class II biological safety cabinets or isolators with similar performance standards.

2B352.f.2

IX.A2.004

Batch centrifuges with a rotor capacity of 4 litres or greater, usable with biological materials.

IX.A2.005

Fermenters capable of cultivation of pathogenic ‘ micro-organisms ’ , viruses or for toxin production, without the propagation of aerosols, having a capacity of 5 litres or more but less than 20 litres.

Technical Note:

Fermenters include bioreactors, chemostats and continuous-flow systems.

2B352.b

IX.A2.007

Conventional or turbulent air-flow clean-air rooms and self contained fan-HEPA or ULPA filter units that may be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containments facilities.

2B352.a

IX.A2.008

Chemical manufacturing facilities, equipment and components, other than those specified in 2B350 or A2.009 as follows:

  1. a.

    Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m 3 (100 litres) and less than 20 m 3 ( 20 000 litres), where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

  2. b.

    Agitators for use in reaction vessels or reactors specified in 2B350.a.; where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

  3. c.

    Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m 3 (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

  4. d.

    Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m 2 , and less than 30 m 2 ; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

    Technical Note:

    The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger.

  5. e.

    Distillation or absorption columns of internal diameter greater than 0,1 m; where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

  6. f.

    Valves with ‘ nominal sizes ’ greater than 10 mm and casings (valve bodies) designed for such valves where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

    Technical Note:

    1.

    The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the valve.

    2.

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

  7. g.

    Multiple-seal and seal-less pumps, with manufacturer’s specified maximum flow-rate greater than 0,6 m 3 /hour, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials:

    1. 1.

      Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon.

  8. h.

    Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m 3 /h (under standard temperature (273 K (0 °C)) and pressure (101,3 kPa) conditions), and casings (pump bodies) and preformed casing-liners, impellers, rotors and jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemicals being processed are made from any of the following materials:

    1. 1.

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

    2. 2.

      Ceramics;

    3. 3.

      ‘ Ferrosilicon ’ ;

    4. 4.

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

    5. 5.

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

    6. 6.

      Graphite or ‘ carbon graphite ’ ;

    7. 7.

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

    8. 8.

      Stainless steel with 20 % nickel and 19 % chromium or more by weight;

    9. 9.

      Tantalum or tantalum ‘ alloys ’ ;

    10. 10.

      Titanium or titanium ‘ alloys ’ ;

    11. 11.

      Zirconium or zirconium ‘ alloys ’ ; or

    12. 12.

      Niobium (columbium) or niobium ‘ alloys ’ .

Technical Notes:

1.

The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.

2.

‘ Carbon graphite ’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

3.

‘ Ferrosilicons ’ are silicon iron alloys with more than 8 % silicon by weight or more.

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

2B350.a-e

2B350.g

2B350.i

IX.A2.009

Chemical manufacturing facilities, equipment and components, other than specified in 2B350 or A2.008 as follows:

  • Reaction vessels or reactors, with or without agitators, with a total internal (geometric) volume greater than 0,1 m 3 (100 litres) and less than 20 m 3 ( 20 000 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

  • Agitators for use in reaction vessels or reactors specified in a. where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

  • Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m 3 (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

  • Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m 2 , and less than 30 m 2 ; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger.

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

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

  • Valves having a nominal diameter of 10 mm or more, and casings (valve bodies), balls or plugs designed for such valves, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from the following materials:

    Stainless steel with 20 % nickel and 19 % chromium or more by weight;

    Technical note:

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

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

  • Ceramics;

  • Ferrosilicon (silicon iron alloys with more than 8 % silicon by weight or more);

  • Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Technical Notes:

The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the control status of the pump.

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

B. TECHNOLOGY

No

Description

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

IX.B.001

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

Technical Note:

The term ‘ technology ’ includes ‘ software ’ .

F1ANNEX X LIST OF LUXURY GOODS REFERRED TO IN ARTICLE 11B

1.Pure-bred horses

CN Codes: 0101 21 00

2.Caviar and caviar substitutes; in the case of caviar substitutes, if the sales prices exceed EUR 20 per 100 grams

CN Codes: ex 1604 31 00 , ex 1604 32 00

3.Truffles

CN Codes: 2003 90 10

4.Wines (including sparkling wines) exceeding a sales price of EUR 50 per litre, spirits exceeding and spirituous beverages exceeding a sales price of EUR 50 per litre

CN Codes: ex 2204 21 to ex 2204 29 , ex 2208 , ex 2205

5.Cigars and cigarillos exceeding a sales price of EUR 10 each cigar or cigarillo

CN Codes: ex 2402 10 00

6.Perfumes and toilet waters exceeding a sales price of EUR 70 per 50 ml and cosmetics, including beauty and make-up products exceeding a sales price of EUR 70 each

CN Codes: ex 3303 00 10 , ex 3303 00 90 , ex 3304 , ex 3307 , ex 3401

7.Leather, saddlery and travel goods, handbags and similar articles exceeding a sales price of EUR 200 each

CN Codes: ex 4201 00 00 , ex 4202 , ex 4205 00 90

8.Garments, clothing accessories and shoes (regardless of their material) articles exceeding a sales price of EUR 600 per item

CN Codes: ex 4203 , ex 4303 , ex 61 , ex 62 , ex 6401 , ex 6402 , ex 6403 , ex 6404 , ex 6405 , ex 6504 , ex 6605 00 , ex 6506 99 , ex 6601 91 00 , ex 6601 99 , ex 6602 00 00

9.Pearls, precious and semi-precious stones, articles of pearls, jewellery, gold or silversmith articles

CN Codes: 7101 , 7102 , 7103 , 7104 20 , 7104 90 , 7105 , 7106 , 7107 , 7108 , 7109 , 7110 , 7111 , 7113 , 7114 , 7115 , 7116

10.Coins and banknotes, not being legal tender

CN Codes: ex 4907 00 , 7118 10 , ex 7118 90

11.Cutlery of precious metal or plated or clad with precious metal

CN Codes: ex 7114 , ex 7115 , ex 8214 , ex 8215 , ex 9307

12.Tableware of porcelain, china, stone- or earthenware or fine pottery exceeding a sales price of EUR 500 each

CN Codes: ex 6911 10 00 , ex 6912 00 30 , ex 6912 00 50

13.Lead crystal glassware exceeding a sales price of EUR 200 each

CN Codes: ex 7009 91 00 , ex 7009 92 00 , ex 7010 , ex 7013 22 , ex 7013 33 , ex 7013 41 , ex 7013 91 , ex 7018 10 , ex 7018 90 , ex 7020 00 80 , ex 9405 10 50 , ex 9405 20 50 , ex 9405 50 , ex 9405 91

14.Luxury vehicles for the transport of persons on earth, air or sea, as well as their accessories; in the case of new vehicles, if the sales prices exceeds EUR 25 000; in the case of used vehicles, if the sales price exceeds EUR 15 000

CN Codes: ex 8603 , ex 8605 00 00 , ex 8702 , ex 8703 , ex 8711 , ex 8712 00 , ex 8716 10 , ex 8716 40 00 , ex 8716 80 00 , ex 8716 90 , ex 8801 00 , ex 8802 11 00 , ex 8802 12 00 , ex 8802 20 00 , ex 8802 30 00 , ex 8802 40 00 , ex 8805 10 , ex 8901 10 , ex 8903

15.Clocks and watches and their parts if the individual item exceeds a sales price of EUR 500

CN Codes: ex 9101 , ex 9102 , ex 9103 , ex 9104 , ex 9105 , ex 9108 , ex 9109 , ex 9110 , ex 9111 , ex 9112 , ex 9113 , ex 9114

16.Works of art, collectors’ pieces and antiques

CN Codes: 97

17.Articles and equipment for skiing, golf and water sports, if the individual item exceeds a sales price of EUR 500

CN Codes: ex 4015 19 00 , ex 4015 90 00 , ex 6112 20 00 , ex 6112 31 , ex 6112 39 , ex 6112 41 , ex 6112 49 , ex 6113 00 , ex 6114 , ex 6210 20 00 , ex 6210 30 00 , ex 6210 40 00 , ex 6210 50 00 , ex 6211 11 00 , ex 6211 12 00 , ex 6211 20 , ex 6211 32 90 , ex 6211 33 90 , ex 6211 39 00 , ex 6211 42 90 , ex 6211 43 90 , ex 6211 49 00 , ex 6402 12 , ex 6403 12 00 , ex 6404 11 00 , ex 6404 19 90 , ex 9004 90 , ex 9020 , ex 9506 11 , ex 9506 12 , ex 9506 19 00 , ex 9506 21 00 , ex 9506 29 00 , ex 9506 31 00 , ex 9506 32 00 , ex 9506 39 , ex 9507

18.Articles and equipment for billiard, automatic bowling, casino games and games operated by coins or banknotes, if the individual item exceeds a sales price of EUR 500

CN Codes: ex 9504 20 , ex 9504 30 , ex 9504 40 00 , ex 9504 90 80