Council Regulation (EU) No 442/2011 of 9 May 2011 concerning restrictive measures in view of the situation in Syria

10.5.2011

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Official Journal of the European Union

L 121/1

II

(Non-legislative acts)

REGULATIONS

COUNCIL REGULATION (EU) No 442/2011

of 9 May 2011

concerning restrictive measures in view of the situation in Syria

Charter of Fundamental Rights of the European Union

and, in particular, the right to an effective remedy and to

a fair trial and the right to the protection of personal

data. This Regulation should be applied in accordance

with those rights.

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 2011/273/CFSP of 9 May

2011 concerning restrictive measures against Syria (1), adopted

in accordance with Chapter 2 of Title V of the Treaty on

European Union,

Having regard to the joint proposal from the High Represen­

tative of the Union for Foreign Affairs and Security Policy and

the European Commission,

(4)

The power to amend the list in Annex II to this Regu­

lation 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 2011/273/CFSP.

(5)

The procedure for amending the lists in Annex II 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.

(6)

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 data (2) and Directive

95/46/EC of the European Parliament and of the

Council of 24 October 1995 on the protection of indi­

viduals with regard to the processing of personal data

and on the free movement of such data (3).

Whereas:

(1)

Decision 2011/273/CFSP provides for an arms embargo,

a ban on internal repression equipment, and restrictions

on the admission to the Union, and the freezing of funds

and economic resources, of certain persons and entities

responsible for the violent repression against the civilian

population in Syria. Those persons, entities and bodies

are listed in the Annex to that Decision.

(2)

Some of those measures fall within the scope of the

Treaty on the Functioning of the European Union and

regulatory action at the level of the Union is therefore

necessary in order to implement them, in particular with

a view to ensuring their uniform application by

economic operators in all Member States.

(3)

This Regulation respects the fundamental rights and

observes the principles recognised in particular by the

(1) OJ L 121, 10.5.2011, p. 11.

(2) OJ L 8, 12.1.2001, p. 1.

(3) OJ L 281, 23.11.1995, p. 31.

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In order to ensure that the measures provided for in this

Regulation are effective, this Regulation should enter into

force on the day of its publication,

HAS ADOPTED THIS REGULATION:

Article 1

10.5.2011

(e) ‘technical assistance’ means any technical support related to

repairs, development, manufacture, assembly, testing, main­

tenance, or any other technical service, and may take forms

such as instruction, advice, training, the transmission of

working knowledge or skills or consulting services;

including verbal forms of assistance;

For the purposes of this Regulation, the following definitions

shall apply:

(f) ‘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.

(a) ‘funds’ means financial assets and benefits of every kind,

including but not limited to:

Article 2

1.

It shall be prohibited:

(i) cash, cheques, claims on money, drafts, money orders

and other payment instruments;

(ii) deposits with financial institutions or other entities,

balances on accounts, debts and debt obligations;

(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;

(iii) publicly- and privately-traded securities and debt

instruments, including stocks and shares, certificates

representing securities, bonds, notes, warrants,

debentures and derivatives contracts;

(b) to participate, knowingly and intentionally, in activities the

object or effect of which is to circumvent the prohibitions

referred to in point (a).

(iv) interest, dividends or other income on or value

accruing from or generated by assets;

(v) credit, right of set-off, guarantees, performance bonds

or other financial commitments;

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.

(vi) letters of credit, bills of lading, bills of sale;

(vii) documents evidencing an interest in funds or financial

resources;

(b) ‘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, desti­

nation or other change that would enable the funds to be

used, including portfolio management;

(c) ‘economic resources’ means assets of every kind, whether

tangible or intangible, movable or immovable, which are

not funds but may be used to obtain funds, goods or

services;

(d) ‘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;

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.

Article 3

1.

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 (1) (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;

(1) OJ C 86, 18.3.2011, p. 1.

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(b) to provide, directly or indirectly, technical assistance or

brokering services related to equipment which might be

used for internal repression as listed in Annex I, to any

person, entity or body in Syria or for use in Syria;

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to circumvent the measures referred to in paragraphs 1 and 2

shall be prohibited.

Article 5

(c) to provide, directly or indirectly, financing or financial

assistance related to the goods and technology listed in

the Common Military List or in Annex I, including in

particular grants, loans and export credit insurance, for

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;

1.

Annex II shall consist of a list of natural or legal persons,

entities and bodies who, in accordance with Article 4(1) of

Decision 2011/273/CFSP, have been identified by the Council

as being persons and entities responsible for the violent

repression against the civilian population in Syria, and natural

or legal persons and entities associated with them.

(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.

Annex II shall include the grounds for the listing of listed

persons, entities and bodies concerned.

2.

By way of derogation from paragraph 1, the prohibitions

refered 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 humani­

tarian 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.

Article 4

3.

Annex II 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 6

By way of derogation from Article 4, the competent authorities

in the Member States, as identified on the websites listed in

Annex III, may authorise the release of certain frozen funds

or economic resources, or the making available of certain

funds or economic resources, under such conditions as they

deem appropriate, after having determined that the funds or

economic resources are:

(a) necessary to satisfy the basic needs of persons listed in

Annex II and their dependent family members, including

payments for foodstuffs, rent or mortgage, medicines and

medical treatment, taxes, insurance premiums, and public

utility charges;

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 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.

3.

The participation, knowingly and intentionally, in

activities the object or effect of which is, directly or indirectly,

(b) intended exclusively for the payment of reasonable profes­

sional fees or the reimbursement of incurred expenses

associated with the provision of legal services;

(c) intended exclusively for the payment of fees or service

charges for routine holding or maintenance of frozen

funds or economic resources; or

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(d) necessary for extraordinary expenses, provided that the

relevant competent authority has notified to the

competent authorities of the other Member States and to

the Commission at least two weeks before the authorisation

the grounds on which it considers that a specific authori­

sation should be granted.

The Member State concerned shall inform the other Member

States and the Commission of any authorisation granted under

this Article.

Article 7

By way of derogation from Article 4, 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:

(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 4 was included in Annex II, or of a judicial,

administrative or arbitral judgment rendered prior to that

date;

(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;

(c) the lien or judgment is not for the benefit of a person,

entity or body listed in Annex II; and

(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 8

1.

Article 4(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 4(1).

10.5.2011

2.

Article 4(2) shall not prevent financial or credit insti­

tutions 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 9

By way of derogation from Article 4, and provided that a

payment by a person, entity or body listed in Annex II 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 4.

Article 10

1.

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.

2.

The prohibition set out in Article 4(2) shall not give rise

to any liability of any kind on the part of the natural and legal

persons, entities and bodies who made funds or economic

resources available if they did not know, and had no reasonable

cause to suspect, that their actions would infringe the

prohibition in question.

Article 11

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 4, 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.

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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 12

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 13

The Commission shall be empowered to amend Annex III on

the basis of information supplied by Member States.

L 121/5

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 the entry into force of this Regulation and

shall notify it of any subsequent amendment.

Article 16

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 communi­

cation shall be those indicated in Annex III.

Article 17

Article 14

1.

Where the Council decides to subject a natural or legal

person, entity or body to the measures referred to in

Article 4(1), it shall amend Annex II 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 list in Annex II shall be reviewed at regular intervals

and at least every 12 months.

This Regulation shall apply:

(a) within the territory of the Union, including its airspace;

(b) on board any aircraft or any vessel under the jurisdiction of

a Member State;

(c) to any person inside or outside the territory of the Union

who is a national of a Member State;

(d) to any legal person, entity or body which is incorporated or

constituted under the law of a Member State;

(e) to any legal person, entity or body in respect of any

business done in whole or in part within the Union.

Article 15

Article 18

1.

Member States shall lay down the rules on penalties

applicable to infringements of the provisions of this Regulation

This Regulation shall enter into force on the day of its publi­

cation in the Official Journal of the European Union.

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

Done at Brussels, 9 May 2011.

For the Council

The President

MARTONYI J.

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Official Journal of the European Union

ANNEX I

List of equipment which might be used for internal repression as referred to in Article 2 and Article 3

1.

Firearms, ammunition and related accessories therefor, as follows:

1.1 Firearms not controlled by ML 1 and ML 2 of the Common Military List of the European Union (1) (Common

Military List);

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

1.3 Weapon-sights not controlled by the Common Military List.

2.

Bombs and grenades not controlled by the Common Military List.

3.

Vehicles as follows:

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

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

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

protection;

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

3.5 Vehicles specially designed to deploy mobile barriers;

3.6 Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.

Note 1: This item does not control vehicles specially designed for the purposes of fire-fighting.

Note 2: For the purposes of item 3.5 the term ‘vehicles’ includes trailers.

4.

Explosive substances and related equipment as follows:

4.1 Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing

sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those

specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other

equipment or devices the function of which is not the creation of explosions (e.g., car air-bag inflaters, electric-surge

arresters of fire sprinkler actuators);

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

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

(a) amatol;

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

(c) nitroglycol;

(d) pentaerythritol tetranitrate (PETN);

(e) picryl chloride;

(f) 2,4,6-trinitrotoluene (TNT).

5.

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

5.1 Body armour providing ballistic and/or stabbing protection;

5.2 Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

Note: This item does not control:

— equipment specially designed for sports activities;

— equipment specially designed for safety of work requirements.

6.

Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms,

and specially designed software therefor.

7.

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

Military List.

(1) OJ C 86, 18.3.2011, p. 1.

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8.

Razor barbed wire.

9.

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

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

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

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10.5.2011

ANNEX II

List of natural and legal persons, entities or bodies referred to in Article 4

Persons

Name

Identifying information

Reasons

Date of

listing

1.

Maher Al-Assad

Born on 8 December 1967;

diplomatic passport No. 4138

Commander of the army's 4th Division,

member of Baath Party Central

Command, strongman of the Republican

Guard; principal overseer of violence

against demonstrators.

09.05.2011

2.

Ali Mamlouk

Born on 19 February 1946 in

Damascus; diplomatic passport

No. 983

Head of General Intelligence Service;

Head of Syrian Intelligence since 2005;

involved in violence against demon­

strators.

09.05.2011

3.

Mohammad

Ibrahim Al-Chaar

Minister for the Interior

government; involved in

against demonstrators.

in the

violence

09.05.2011

4.

Atef Najib

Former Head of Political Security in

Deraa; involved in violence against

demonstrators.

09.05.2011

5.

Hafez Makhlouf

Colonel and Head of Unit in General

Intelligence

Directorate,

Damascus

Branch; close to Maher al-Assad;

involved in violence against demon­

strators.

09.05.2011

6.

Mohammed Dib

Zeitoun

Head of Political Security; involved in

violence against demonstrators.

09.05.2011

7.

Amjad Al-Abbas

Head of Political Security in Banias,

involved in violence against demon­

strators in Baida.

09.05.2011

8.

Rami Makhlouf

Syrian businessman. Associate of Maher

al-Assad; bankrolls the regime allowing

violence against demonstrators.

09.05.2011

9.

Abd Al-Fatah

Qudsiyah

Head of Syrian Military Intelligence and

as such involved in the repression

against the civilian population.

09.05.2011

10.

Jamil Hassan

Head of Syrian Air Force Intelligence and

as such involved in the repression

against the civilian population.

09.05.2011

11.

Rustum Ghazali

Head of Syrian Military Intelligence,

Damascus Countryside Branch and as

such involved in the repression against

the civilian population.

09.05.2011

12.

Fawwaz Al-Assad

Involved in the repression against the

civilian population as part of the

Shabiha militia.

09.05.2011

13.

Mundir Al-Assad

Involved in the repression against the

civilian population as part of the

Shabiha militia.

09.05.2011

Born on 2 April 1971 in

Damascus; diplomatic passport

No. 2246

Born on 10 July 1969 in

Damascus, passport No. 454224

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ANNEX III

List of competent authorities in the Member States referred to in Articles 3(2), 6, 7, 8, 9, 11(1) and 13(4) and

address for notifications to the European Commission

A. Competent authorities in each Member State:

BELGIUM

http://www.diplomatie.be/eusanctions

BULGARIA

http://www.mfa.bg/en/pages/view/5519

CZECH REPUBLIC

http://www.mfcr.cz/mezinarodnisankce

DENMARK

http://www.um.dk/da/menu/Udenrigspolitik/FredSikkerhedOgInternationalRetsorden/Sanktioner/

GERMANY

http://www.bmwi.de/BMWi/Navigation/Aussenwirtschaft/Aussenwirtschaftsrecht/embargos.html

ESTONIA

http://www.vm.ee/est/kat_622/

IRELAND

http://www.dfa.ie/home/index.aspx?id=28519

GREECE

http://www.mfa.gr/www.mfa.gr/en-US/Policy/Multilateral+Diplomacy/Global+Issues/International+Sanctions/

SPAIN

http://www.maec.es/es/MenuPpal/Asuntos/Sanciones%20Internacionales/Paginas/Sanciones_%20Internacionales.aspx

FRANCE

http://www.diplomatie.gouv.fr/autorites-sanctions/

ITALY

http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm

CYPRUS

http://www.mfa.gov.cy/sanctions

LATVIA

http://www.mfa.gov.lv/en/security/4539

LITHUANIA

http://www.urm.lt

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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

B. Address for notifications to or other communication with the European Commission:

European Commission

Service for Foreign Policy Instruments

CHAR 12/096

B-1049 Bruxelles/Brussel

Belgium

E-mail: [email protected]

Tel.: +(32 2) 295 66 73

10.5.2011

لائحة من مجلس الاتحاد الأوروبي تنفّذ العقوبات الأولى على سورية: حظر تصدير الأسلحة والمعدات التي قد تُستخدم في القمع، وتجميد أصول 13 مسؤولًا منهم ماهر الأسد وعلي مملوك ورامي مخلوف وحافظ مخلوف وجميل حسن.