Legalize / United Kingdom / Statutory-Instrument

The Democratic People’s Republic of Korea (Sanctions) (EU Exit) Regulations 2019

Type Statutory-Instrument

Publication 2019-03-05

Last updated 2026-01-19

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(i) the person's conduct in relation to the matters to which the direction relates, or

(ii) bank accounts, correspondent banking relationships, joint ventures or co-operative entities or representative offices to which that direction relates.

(6) The Treasury may request a person to provide information within paragraph (7) if the Treasury believe that the person may be able to provide the information.

(7) Information within this paragraph is such information as the Treasury may reasonably require for the purpose of—

(a) establishing for the purposes of any provision of Chapter 1 of Part 4—

(i) the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,

(ii) the nature and amount or quantity of any funds or economic resources or financial services made available directly or indirectly to, or for the benefit of, a designated person, or

(iii) the nature of any financial transactions entered into by a designated person;

(b) establishing for the purposes of regulation 101 whether any proliferation financing has taken place and the nature and amount or quantity of any proliferation financing;

(i) any provision of Part 4,

(ii) regulation 70 (dealing with UN-designated ships subject to asset-freeze),

(iii) regulation 99 (finance: reporting obligations),

(iv) regulation 101 (proliferation financing), or

(v) any condition of a Treasury licence or Treasury direction; or

(d) detecting or obtaining evidence of the commission of an offence under Part 4, regulation 70(3), regulation 95 (finance: licensing offences) or 99(6).

(8) The Treasury may specify the way in which, and the period within which, information is to be provided.

(9) If no such period is specified, the information which has been requested must be provided within a reasonable time.

(10) A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.

(11) Information requested under this regulation may relate to any period of time during which a person is, or was, a designated person.

(12) Information requested by virtue of paragraph (1)(b), (2) or (7)(a)(iii) may relate to any period before a person became a designated person (as well as, or instead of, any subsequent period).

(13) Expressions used in this regulation have the same meaning as they have in Part 4.

(14) In this regulation, “proliferation financing” has the same meaning as it has in regulation 101.

Finance: production of documents

103

(1) A request under regulation 102 may include a request to produce specified documents or documents of a specified description.

(2) Where the Treasury request that documents be produced, the Treasury may—

(a) take copies of or extracts from any document so produced,

(b) request any person producing a document to give an explanation of it, and

(c) where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is—

(i) in the case of a partnership, a present or past partner or employee of the partnership, or

(ii) in any other case, a present or past officer or employee of the body concerned,

to give such an explanation.

(3) Where a designated person, a person acting under a Treasury licence or a person excepted from a requirement by a Treasury direction is requested to produce documents, that person must—

(a) take reasonable steps to obtain the documents (if they are not already in the person's possession or control);

(b) keep the documents under the person's possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).

(4) In this regulation “designated person” has the same meaning as it has in Part 4 (Finance).

Finance: information offences

104

(1) A person commits an offence if that person—

(a) without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request under regulation 102 (finance: powers to request information);

(b) knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;

(c) with intent to evade any provision of regulation 102 or 103 (finance: production of documents), destroys, mutilates, defaces, conceals or removes any document;

(d) otherwise intentionally obstructs the Treasury in the exercise of their powers under regulation 102 or 103.

(2) Where a person is convicted of an offence under this regulation, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.

Trade: application of information powers in CEMA

105

(1) Section 77A of CEMA applies in relation to a person carrying on a relevant activity as it applies in relation to a person concerned in the importation or exportation of goods but as if—

(a) in subsection (1), the reference to a person concerned in the importation or exportation of goods for which for that purpose an entry is required by regulation 5 of the Customs Controls on Importation of Goods Regulations 1991 or an entry or specification is required by or under CEMA were to a person carrying on a relevant activity;

(b) any other reference to importation or exportation were to a relevant activity;

(2) For the purposes of paragraph (1), a “relevant activity” means an activity—

(a) which would, unless done under the authority of a trade licence, constitute a contravention of any prohibition in Chapter 1, 2 or 3 of Part 6 (Trade) except any prohibition on imports or exports, or

(b) which would constitute a contravention of a prohibition in regulation 62 (circumventing etc. prohibitions).

General trade licences: records

106

(1) This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 90 (trade licences) (“the licence”).

(2) P must keep a register or record containing such details as may be necessary to allow the following information to be identified in relation to each act done under the authority of the licence—

(a) a description of the act;

(b) a description of any goods, technology, services or funds to which the act relates;

(d) the quantity of any goods or funds to which the act relates;

(e) P's name and address;

(f) the name and address of any consignee of goods to which the act relates or any recipient of technology, services or funds to which the act relates;

(g) in so far as it is known to P, the name and address of the end-user of the goods, technology, services or funds to which the act relates;

(h) if different from P, the name and address of the supplier of any goods to which the act relates;

(i) any further information required by the licence.

(3) The register or record relating to an act must be kept until the end of the calendar year in which the register or record is created and for a further period of 4 years from the end of that calendar year.

(4) P must notify the Secretary of State in writing of P's name and the address at which the register or record may be inspected, and must make a further such notification if those details change.

(5) A notification under paragraph (4) must be given no later than 30 days after—

(a) P first does any act authorised by the licence, or

(b) there is any change to the details previously notified.

(6) A person who fails to comply with a requirement in paragraph (2), (3) or (4) commits an offence.

General trade licences: inspection of records

107

(1) A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 106(4) for the purposes of monitoring compliance with or detecting evasion of regulation 106(2) or (3).

(2) An official may require any person on the premises to produce any register or record required to be kept under regulation 106, or any document included in such a register or record, that is in the person's possession or control.

(3) An official may inspect and copy any such register, record or document.

(4) An official must, if requested to do so, produce documentary evidence that he or she is authorised to exercise a power conferred by this regulation.

(5) A person commits an offence if, without reasonable excuse, the person—

(a) intentionally obstructs an official in the performance of any of the official's functions under this regulation, or

(b) fails to produce a register, record or document when reasonably required to do so by an official under this regulation.

Disclosure of information

108

(1) The Secretary of State, the Treasury, the National Crime Agency or the Commissioners may, in accordance with this regulation, disclose—

(a) any information obtained under or by virtue of Part 9 (Exceptions and licences), this Part or Part 12 (Maritime enforcement), or

(b) any information held in connection with—

(i) anything done under or by virtue of Part 2 (Designation of persons), 3 (Specification of ships), 4 (Finance), 4A (Director disqualification sanctions), 6 (Trade), 7 (Aircraft) or 8 (Ships), or

(ii) any exception, licence or direction under Part 9 or anything done in accordance with such an exception or under the authority of such a licence or direction.

(2) Information referred to in paragraph (1) may be disclosed for, or in connection with, any of the following purposes—

(a) any purpose stated in regulation 4;

(b) the exercise of functions under these Regulations;

(d) taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in the United Kingdom—

(i) for an offence under any provision of these Regulations,

(ii) for an offence under CEMA in connection with any prohibition in Chapter 1 or 2 of Part 6 on imports or exports, or

(iii) in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (breach of financial sanctions legislation);

(e) taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in any of the Channel Islands, the Isle of Man or any British overseas territory for an offence—

(i) under a provision in any such jurisdiction that is similar to a provision of these Regulations, or

(ii) in connection with a prohibition in any such jurisdiction that is similar to a prohibition referred to in sub-paragraph (d)(ii);

(f) compliance with an international obligation ;

(g) facilitating the exercise by an authority outside the United Kingdom or by an international organisation of functions which correspond to functions under these Regulations.

(3) Information referred to in paragraph (1) may be disclosed to the following persons—

(a) a police officer;

(b) any person holding or acting in any office under or in the service of—

(i) the Crown in right of the Government of the United Kingdom,

(ii) the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,

(iii) the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,

(iv) the Government of the Isle of Man, or

(v) the Government of any British overseas territory;

(d) the Scottish Legal Aid Board;

(e) the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England, the Jersey Financial Services Commission, the Guernsey Financial Services Commission or the Isle of Man Financial Services Authority;

(f) any other regulatory body (whether or not in the United Kingdom);

(g) any organ of the United Nations;

(h) the Council of the European Union, the European Commission or the European External Action Service;

(i) the Government of any country;

(j) any other person, where the Secretary of State, the Treasury or the Commissioners (as the case may be) considers that it is appropriate to disclose the information.

(4) Information referred to in paragraph (1) may be disclosed to any person with the consent of a person who, in their own right, is entitled to the information.

(5) In paragraph (4) “in their own right” means not merely in the capacity as a servant or agent of another person.

(6) In paragraph (1)(b)—

(a) the reference to information includes information obtained at a time when any provision of these Regulations is not in force, and

(b) references to a licence or direction under Part 9 include—

(i) a licence or authorisation which has effect or is treated as if it were a licence or direction which had been issued under that Part, and

(ii) a licence which is deemed to have been issued under that Part.

Part 10: supplementary

109

(1) A disclosure of information under regulation 108 or 108A does not breach any restriction on such disclosure imposed by statute or otherwise.

(2) But nothing in those regulations authorises a disclosure that—

(a) contravenes the data protection legislation, or

(b) is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016 .

(3) Nothing in this Part is to be read as requiring a person who has acted or is acting as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.

(4) Regulations 108 and 108A do not limit the circumstances in which information may be disclosed apart from those regulations.

(5) Nothing in this Part limits any conditions which may be contained in a licence or direction under Part 9.

(6) In this regulation—

“the data protection legislation” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act);

“privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.

PART 11 — Enforcement

Penalties for offences

110

(1) A person who commits an offence under any provision of Part 4 (Finance), regulation 67(1) to (4) (aircraft: offences), regulations 69 to 71, 72(4), 73(7), 74, 76 or 78 (ships: offences) or regulation 95 (finance: licensing offences) is liable—

(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

(d) on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).

(2) A person who commits an offence under any provision of Part 6 (Trade) is liable—

(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

(d) on conviction on indictment, to imprisonment for a term not exceeding 10 years or a fine (or both).

(3) A person who commits an offence under regulation 9(6) (confidentiality), 95A (director disqualification: licensing offences), 96 (trade: licensing offences), 97 (ships and aircraft: licensing offences), 106(6) or 107(5) (information offences in connection with general trade licences) is liable—

(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

(d) on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).

(4) A person who commits an offence under regulation 67(5), 72(6) or 73(9) (confidentiality), 99(6) (finance: reporting obligations), 101 (proliferation financing) or 104 (information offences in connection with Part 4) is liable—

(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);

(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both);

(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both).

(5) In relation to an offence committed before 2nd May 2022, the reference in each of paragraphs (1)(a), (2)(a) and (3)(a) to the general limit in a magistrates’ court is to be read as a reference to 6 months.

Liability of officers of bodies corporate etc.

111

(1) Where an offence under these Regulations committed by a body corporate—

(a) is committed with the consent or connivance of any director, manager, secretary or other similar officer of the body corporate, or any person who was purporting to act in any such capacity, or

(b) is attributable to any neglect on the part of any such person,

that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.

(2) In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.

(3) Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference—

(a) in the case of a partnership, to a partner;

(b) in the case of an unincorporated body other than a partnership—

(i) where the body's affairs are managed by its members, to a member of the body;

(ii) in any other case, to a member of the governing body.

(4) Section 171(4) of CEMA (which is a provision similar to this regulation) does not apply to any offence under these Regulations to which that provision would, in the absence of this paragraph, apply.

Jurisdiction to try offences

112

(1) Where an offence under Part 4 (Finance), Part 7 (Aircraft), Part 8 (Ships), regulation 9(6) (confidentiality), 95 (finance: licensing offences), 97 (ships and aircraft: licensing offences), 99(6) (finance: reporting obligations), 101 (proliferation financing) or 104 (information offences in connection with Part 4) is committed in the United Kingdom—

(a) proceedings for the offence may be taken at any place in the United Kingdom, and

(b) the offence may for all incidental purposes be treated as having been committed at any such place.

(2) Where an offence under these Regulations is committed outside the United Kingdom—

(a) proceedings for the offence may be taken at any place in the United Kingdom, and

(b) the offence may for all incidental purposes be treated as having been committed at any such place.

(3) In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—

(a) in any sheriff court district in which the person is apprehended or is in custody, or

(b) in such sheriff court district as the Lord Advocate may determine.

(4) In paragraph (3) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act) .

Procedure for offences by unincorporated bodies

113

(1) Paragraphs (2) and (3) apply if it is alleged that an offence under these Regulations has been committed by an unincorporated body (as opposed to by a member of the body).

(2) Proceedings in England and Wales or Northern Ireland for such an offence must be brought against the body in its own name.

(3) For the purposes of proceedings for such an offence brought against an unincorporated body—

(a) rules of court relating to the service of documents have effect as if the body were a body corporate;

(b) the following provisions apply as they apply in relation to a body corporate—

(i) section 33 of the Criminal Justice Act 1925 and Schedule 3 to the Magistrates' Courts Act 1980 ;

(ii) section 18 of the Criminal Justice Act (Northern Ireland) 1945 and Article 166 of, and Schedule 4 to, the Magistrates' Courts (Northern Ireland) Order 1981 .

(4) A fine imposed on an unincorporated body on its conviction of an offence under these Regulations is to be paid out of the funds of the body.

Time limit for proceedings for summary offences

114

(1) Proceedings for an offence under these Regulations which is triable only summarily may be brought within the period of 12 months beginning with the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the prosecutor's knowledge.

(2) But such proceedings may not be brought by virtue of paragraph (1) more than 3 years after the commission of the offence.

(3) A certificate signed by the prosecutor as to the date on which the evidence in question came to the prosecutor's knowledge is conclusive evidence of the date on which it did so; and a certificate to that effect and purporting to be so signed is to be treated as being so signed unless the contrary is proved.

(4) In relation to proceedings in Scotland—

(a) section 136(3) of the Criminal Procedure (Scotland) Act 1995 (date of commencement of summary proceedings) applies for the purposes of this regulation as it applies for the purposes of that section, and

(b) references in this regulation to the prosecutor are to be treated as references to the Lord Advocate.

Trade enforcement: application of CEMA

115

(1) Where the Commissioners investigate or propose to investigate any matter with a view to determining—

(a) whether there are grounds for believing that a relevant offence has been committed, or

(b) whether a person should be prosecuted for such an offence,

the matter is to be treated as an assigned matter.

(2) In paragraph (1) “assigned matter” has the meaning given by section 1(1) of CEMA .

(3) In this regulation a “relevant offence” means an offence under—

(a) Part 6 (Trade),

(b) regulation 96 (trade: licensing offences),

(d) regulation 107(5) (general trade licences: inspection of records).

(3A) The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraph (3B), (3C) or (3D), unless the suspected offence has been the subject of—

(a) a referral to the Commissioners by the Secretary of State, or

(b) a decision by the Commissioners to treat the suspected offence as if it had been referred to them under sub-paragraph (a).

(3B) Paragraph (3A) applies to the suspected commission of an offence under any of the following provisions—

(a) regulation 43(4) (goods and technology for armed forces of the DPRK) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK;

(b) regulation 44(6) (armed forces goods and technology) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK;

(d) regulation 47(4) (sale etc. of certain goods) insofar as the offence does not relate to the import or export of goods;

(e) regulation 49(4) (supply and delivery of certain goods from the DPRK);

(f) regulation 50(5) and 50(6) (purchase etc. of certain goods and rights) insofar as the offence does not relate to the import or export of goods;

(g) regulation 51(4) (bank notes and coinage) insofar as the offence does not relate to the import or export of goods;

(h) regulation 52(5) (gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods;

(i) regulation 53(3) (technical assistance relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods;

(j) regulation 54(5) (financial services and funds relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods;

(k) regulation 55(4) and 55(5) (brokering services: non-UK activity relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods;

(l) regulation 56(3) (mining, manufacturing and computer services);

(m) regulation 57(4) (financial support for trade) insofar as the offence does not relate to the import or export of goods;

(n) regulation 58(3) (leasing or chartering of ships and aircraft);

(o) regulation 59(4) (crew services for ships and aircraft);

(p) regulation 60(3) (ship classification services);

(q) regulation 61(3) (bunkering or ship supply services).

(3C) Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 96(1), 96(2), 106(6) and 107(5) insofar as—

(a) the suspected offence relates to a licence issued under regulation 90 (trade licences), and

(b) the prohibited activity authorised by that licence would, if no licence had been issued, amount to an offence specified in paragraph (3B).

(3D) Paragraph (3A) also applies to the suspected commission of a relevant offence under regulation 62(2) (circumventing etc. prohibitions), insofar as the prohibited activity to which the suspected offence relates is the circumvention of, or enabling or facilitation of a contravention of, a prohibition in relation to an offence specified in paragraph (3B).

(4) Section 138 of CEMA (arrest of persons) applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence as it applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, an offence for which the person is liable to be arrested under the customs and excise Acts, but as if—

(a) any reference to an offence under, or for which a person is liable to be arrested under, the customs and excise Acts were to a relevant offence;

(b) in subsection (2), the reference to any person so liable were to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence.

(5) The provisions of CEMA mentioned in paragraph (6) apply in relation to proceedings for a relevant offence as they apply in relation to proceedings for an offence under the customs and excise Acts, but as if—

(a) any reference to the customs and excise Acts were to any of the provisions mentioned in paragraph (3)(a) to (d);

(b) in section 145(6), the reference to an offence for which a person is liable to be arrested under the customs and excise Acts were to a relevant offence;

(c) in section 151, the reference to any penalty imposed under the customs and excise Acts were to any penalty imposed under these Regulations in relation to a relevant offence;

(d) in section 154(2)—

(i) the reference to proceedings relating to customs or excise were to proceedings under any of the provisions mentioned in paragraph (3)(a) to (d), and

(ii) the reference to the place from which any goods have been brought included a reference to the place to which goods have been exported, supplied or delivered or the place to or from which technology has been transferred.

(6) The provisions of CEMA are sections 145, 146, 147, 148(1), 150, 151, 152, 154 and 155 (legal proceedings).

(7) Any term in this regulation that is defined in regulation 64 (interpretation of Part 6) bears the same meaning as in that regulation.

Trade offences in CEMA: modification of penalty

116

(1) Paragraph (2) applies where a person is guilty of an offence under section 50(2) of CEMA in connection with a prohibition mentioned in regulation 36, 44(2) or (3), 48 or 52(2) (imports).

(2) Where this paragraph applies, the reference to 7 years in section 50(4)(b) of CEMA is to be read as a reference to 10 years.

(3) Paragraph (4) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 35, 43(1), 44(1), 45, 51(1) or 52(1) (exports).

(4) Where this paragraph applies, the reference to 7 years in section 68(3)(b) of CEMA is to be read as a reference to 10 years.

(5) Paragraph (6) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 35, 36, 43(1), 44(1), (2) or (3), 45, 48, 51(1), or 52(1) or (2) (exports and imports).

(6) Where this paragraph applies, the reference to 7 years in section 170(3)(b) of CEMA is to be read as a reference to 10 years.

Application of Chapter 1 of Part 2 of Serious Organised Crime and Police Act 2005

117

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) applies to an offence under—

(a) Part 4 (Finance),

(b) regulation 70 (dealing with UN-designated ships subject to asset-freeze), or

Monetary penalties

118

Each prohibition in Part 6 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017 (monetary penalties).

PART 12 — Maritime enforcement

Exercise of maritime enforcement powers

119

(1) A maritime enforcement officer may, for a purpose mentioned in paragraph (2) or (3), exercise any of the maritime enforcement powers in relation to—

(a) a British ship in foreign waters or international waters,

(b) a ship without nationality in international waters, or

and a ship within sub-paragraph (a), (b) or (c) is referred to in this Part as “a relevant ship”.

(2) The maritime enforcement powers may be exercised for the purpose of enforcing any of the following—

(a) a prohibition in any of regulations 35 to 39 (trade sanctions relating to restricted goods and restricted technology) ...;

(b) a prohibition in any of regulations 43 to 52 (trade sanctions relating to goods and technology other than restricted goods and technology) , except for the prohibitions in regulation 50(3) (acquisition or transfer of fishing rights);

(c) a prohibition imposed by a condition of a trade licence in relation to a prohibition mentioned in sub-paragraph (a) or (b).

(3) The maritime enforcement powers may also be exercised in relation to a relevant ship for the purpose of—

(a) investigating the suspected carriage of relevant goods on the ship, or

(b) preventing the continued carriage on the ship of goods suspected to be relevant goods.

(4) In this Part, “the maritime enforcement powers” are the powers conferred by regulations 121 and 122.

(5) This regulation is subject to regulation 123 (restrictions on exercise of maritime enforcement powers).

Maritime enforcement officers

120

(1) The following persons are “maritime enforcement officers” for the purposes of this Part—

(a) a commissioned officer of any of Her Majesty's ships;

(b) a member of the Ministry of Defence Police (within the meaning of section 1 of the Ministry of Defence Police Act 1987 );

(i) who is a member of a police force in England and Wales,

(ii) within the meaning of section 99 of the Police and Fire Reform (Scotland) Act 2012 , or

(iii) who is a member of the Police Service of Northern Ireland or the Police Service of Northern Ireland Reserve;

(d) a special constable—

(i) appointed under section 27 of the Police Act 1996 ,

(ii) appointed under section 9 of the Police and Fire Reform (Scotland) Act 2012, or

(iii) in Northern Ireland, appointed by virtue of provision incorporating section 79 of the Harbours, Docks, and Piers Clauses Act 1847 ;

(e) a constable who is a member of the British Transport Police Force;

(f) a port constable, within the meaning of section 7 of the Marine Navigation Act 2013 , or a person appointed to act as a constable under provision made by virtue of section 16 of the Harbours Act 1964 ;

(g) a designated customs official within the meaning of Part 1 of the Borders, Citizenship and Immigration Act 2009 (see section 14(6) of that Act) ;

(h) a designated NCA officer who is authorised by the Director General of the National Crime Agency (whether generally or specifically) to exercise the powers of a maritime enforcement officer under this Part.

(2) In this regulation, “a designated NCA officer” means a National Crime Agency officer who is either or both of the following—

(a) an officer designated under section 10 of the Crime and Courts Act 2013 as having the powers and privileges of a constable;

(b) an officer designated under that section as having the powers of a general customs official.

Power to stop, board, search etc.

121

(1) This regulation applies if a maritime enforcement officer has reasonable grounds to suspect that a relevant ship is carrying prohibited goods or relevant goods.

(2) The officer may—

(a) stop the ship;

(b) board the ship;

(c) for the purpose of exercising a power conferred by paragraph (3) or regulation 122, require the ship to be taken to, and remain in, a port or anchorage in the United Kingdom or any other country willing to receive it.

(3) Where the officer boards a ship by virtue of this regulation, the officer may—

(a) stop any person found on the ship and search that person for—

(i) prohibited goods or relevant goods, or

(ii) any thing that might be used to cause physical injury or damage to property or to endanger the safety of any ship;

(b) search the ship, or any thing found on the ship (including cargo) for prohibited goods or relevant goods.

(4) The officer may—

(a) require a person found on a ship boarded by virtue of this regulation to provide information or produce documents;

(b) inspect and copy such information or documents.

(5) The officer may exercise a power conferred by paragraph (3)(a)(i) or (b) only to the extent reasonably required for the purpose of discovering prohibited goods or relevant goods.

(6) The officer may exercise the power conferred by paragraph (3)(a)(ii) in relation to a person only where the officer has reasonable grounds to believe that the person might use a thing to cause physical injury or damage to property or to endanger the safety of any ship.

(7) The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

Seizure power

122

(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 121 (power to stop, board, search etc.) or otherwise).

(2) The officer may seize any of the following which are found on the ship, in any thing found on the ship, or on any person found on the ship—

(a) goods which the officer has reasonable grounds to suspect are prohibited goods or relevant goods, or

(b) things within regulation 121(3)(a)(ii).

(3) The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

Restrictions on exercise of maritime enforcement powers

123

(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 119 in relation to—

(a) a British ship in foreign waters, or

(b) a foreign ship in international waters.

(2) In relation to a British ship in foreign waters other than the sea and other waters within the seaward limits of the territorial sea adjacent to any relevant British possession, the Secretary of State may give authority under paragraph (1)(a) only if the State in whose waters the power would be exercised consents to the exercise of the power.

(3) The Secretary of State may give authority under paragraph (1)(b) only if—

(a) the home state has requested the assistance of the United Kingdom for a purpose mentioned in regulation 119(2) or (3),

(b) the home state has authorised the United Kingdom to act for such a purpose, or

(c) the United Nations Convention on the Law of the Sea 1982 or a UN Security Council Resolution otherwise permits the exercise of the power in relation to the ship.

Interpretation of Part 12

124

(1) Subject to paragraph (2), any expression used in this Part and in section 19 or 20 of the Act has the same meaning in this Part as it has in section 19 or (as the case may be) section 20 of the Act.

(2) For the purpose of interpreting any reference to “prohibited goods” or “relevant goods” in this Part, any reference in section 19 or 20 of the Act to a “relevant prohibition or requirement” is to be read as a reference to any prohibition specified in regulation 119(2)(a) to (c).

PART 13 — Supplementary and final provision

Directions under Parts 7 and 8

125

(1) Paragraphs (4) to (6) apply in relation to a direction given under Part 7 (Aircraft) or Part 8 (Ships).

(2) A direction under regulation 65(7) or (9) may be given to any airport operator or to airport operators generally.

(3) A direction under regulation 72(3) may be given to any harbour authority or to harbour authorities generally.

(4) A person to whom a direction is given has a duty to comply with it.

(5) A direction may be of indefinite duration or a defined duration.

(6) A person who gives a direction may vary, revoke or suspend it at any time.

Notices

126

(1) This regulation applies in relation to a notice required by regulation 93 (licences: general provisions) or regulation 94 (Treasury directions: general provisions) to be given to a person.

(2) The notice may be given to an individual—

(a) by delivering it to the individual,

(b) by sending it to the individual by post addressed to the individual at his or her usual or last-known place of residence or business, or

(3) The notice may be given to a person other than an individual—

(a) by sending it by post to the proper officer of the body at its principal office, or

(b) by addressing it to the proper officer of the body and leaving it at that office.

(4) The notice may be given to the person by other means, including by electronic means, with the person's consent.

(5) In this regulation, the reference in paragraph (3) to a “principal office”—

(a) in relation to a registered company, is to be read as a reference to the company's registered office;

(b) in relation to a body incorporated or constituted under the law of a country other than the United Kingdom, includes a reference to the body's principal office in the United Kingdom (if any).

(6) In this regulation—

“proper officer”—in relation to a body other than a partnership, means the secretary or other executive officer charged with the conduct of the body's general affairs, andin relation to a partnership, means a partner or a person who has the control or management of the partnership business;

“registered company” means a company registered under the enactments relating to companies for the time being in force in the United Kingdom.

Article 20 of the Export Control Order 2008

127

Article 20 of the Export Control Order 2008 (embargoed destinations) is not to be taken to prohibit anything prohibited by Part 6 (Trade).

Trade: overlapping offences

128

A person is not to be taken to commit an offence under the Export Control Order 2008 if the person would, in the absence of this regulation, commit an offence under both—

(a) article 34, 35, 37 or 38 of that Order , and

(b) any provision of Part 6 (Trade) or regulation 96 (trade: licensing offences), 106(6) or 107(5) (information offences in connection with general trade licences).

Amendment of the United Nations and European Union Financial Sanctions (Linking) Regulations 2017

129

In the Schedule to the United Nations and European Union Financial Sanctions (Linking) Regulations 2017 , omit the following row from the table—

United Nations Security Council Resolution 1718 (2006)	Council Regulation (EU) 2017/1509 of 30th August 2017 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Regulation (EC) No 329/2007

Revocations

130

(1) Council Regulation (EU) No 2017/1509 of 30 August 2017 concerning restrictive measures against the Democratic People's Republic of Korea and repealing Regulation (EC) No 329/2007 is revoked.

(2) The North Korea (United Nations Sanctions) Order 2009 is revoked.

(3) The Democratic People's Republic of Korea (European Union Financial Sanctions) Regulations 2017 are revoked.

(4) The Export Control (North Korea Sanctions) Order 2018 is revoked.

Transitional provision: Treasury licences

131

(1) Paragraphs (2) to (5) apply to a licence or authorisation which—

(a) was granted, or deemed to be granted, by the Treasury under regulation 19 or 23 of the 2017 Regulations,

(b) was in effect immediately before the relevant date, and

(c) authorises conduct which would (on and after the relevant date, and in the absence of paragraphs (2) to (5)) be prohibited by Part 4 (Finance),

and such a licence or authorisation is referred to in this regulation as “an existing financial sanctions licence”.

(2) An existing financial sanctions licence which authorises an act which would otherwise be prohibited has effect on and after the relevant date as if it had been a licence issued by the Treasury under regulation 88(1) (Treasury licences).

(3) An existing financial sanctions licence which excepts a person from a requirement which would otherwise apply has effect on and after the relevant date as if it had been a direction issued by the Treasury under regulation 89 (Treasury directions).

(4) Any reference in an existing financial sanctions licence to the 2017 Regulations or the EU DPRK Regulation is to be treated on and after the relevant date as a reference to these Regulations.

(5) Any reference in an existing financial sanctions licence to a prohibition or requirement in—

(a) the 2017 Regulations,

(b) the EU DPRK Regulation, or

is to be treated on and after the relevant date as a reference to the corresponding prohibition or requirement in Part 4.

(6) Paragraph (7) or (8) applies where—

(a) an application for a licence or authorisation, or for the variation of a licence or authorisation, under the 2017 Regulations was made before the relevant date,

(b) the application is for authorisation of conduct which would (on and after the relevant date) be prohibited by Part 4, and

(7) If the application is for, or for the variation of, a licence or authorisation to authorise an act which would otherwise be prohibited, the application is to be treated on and after the relevant date as an application for a licence, or for the variation of a licence (as the case may be), under regulation 88(1).

(8) If the application is for, or for the variation of, a licence to except a person from a requirement which would otherwise apply, the application is to be treated on and after the relevant date as an application for a direction, or for the variation of a direction (as the case may be), under regulation 89.

(9) In this regulation—

“the 2017 Regulations” means the Democratic People's Republic of Korea (European Union Financial Sanctions) Regulations 2017;

“the relevant date” means—where regulations under section 56 of the Act provide that Part 4 comes into force at a specified time on a day, that time on that day;otherwise, the date on which Part 4 comes into force.

(10) In paragraphs (4) and (5), a reference to the 2017 Regulations includes a reference to the Democratic People's Republic of Korea (European Union Financial Sanctions) Regulations 2013 .

Transitional provision: trade licences

132

(1) Paragraph (2) applies in relation to each licence or authorisation granted by the Secretary of State which—

(a) was in effect immediately before the relevant date, and

(b) authorises an act—

(i) which would otherwise be prohibited by any provision of the Export Control Order 2008 except article 20 of that Order (embargoed destinations), or which requires an authorisation under or pursuant to the Dual-Use Regulation, and

(ii) which would (on and after the relevant date, and in the absence of paragraph (2)) be prohibited by Part 6 (Trade),

and such a licence or authorisation is referred to in this regulation as an “existing trade licence”.

(2) A licence is deemed to have been issued by the Secretary of State at the beginning of the relevant date under regulation 90 (trade licences)—

(a) disapplying every provision of Part 6 which would, in the absence of this paragraph, prohibit any act authorised by the existing trade licence, and

(b) otherwise in the same terms as the existing trade licence.

(3) Paragraphs (4) to (6) apply to a licence or authorisation granted by the Secretary of State which—

(a) was in effect immediately before the relevant date,

(b) is not an existing trade licence, and

(i) which would otherwise be prohibited by the EU DPRK Regulation, and

(ii) which would (on and after the relevant date, and in the absence of paragraphs (4) to (6)) be prohibited by Part 6,

and such a licence or authorisation is referred to in this regulation as “an existing trade sanctions licence”.

(4) An existing trade sanctions licence has effect on and after the relevant date as if it were a licence which had been issued by the Secretary of State under regulation 90.

(5) Any reference in an existing trade sanctions licence to a provision of the Export Control Order 2008 is to be treated on and after the relevant date as a reference to the corresponding provision of these Regulations (if any).

(6) Any reference in an existing trade sanctions licence to a prohibition in the EU DPRK Regulation is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 6.

(7) In this regulation, “the relevant date” means—

(a) where regulations under section 56 of the Act provide that Part 6 comes into force at a specified time on a day, that time on that day;

(b) otherwise, the date on which Part 6 comes into force.

Transitional provision: pending applications for trade licences

133

(1) Paragraph (2) applies where—

(a) an application was made before the relevant date for a licence or authorisation under or pursuant to the Export Control Order 2008 or the Dual-Use Regulation,

(b) the application is for authorisation of an act prohibited by Part 6 (Trade), and

(2) The application is to be treated on and after the relevant date as including an application for a licence under regulation 90 (trade licences).

(3) Paragraph (4) applies where—

(a) an application was made before the relevant date for a licence or authorisation under the Export Control (North Korea Sanctions) Order 2018 or the EU DPRK Regulation,

(b) the application is for authorisation of an act prohibited by Part 6, and

(4) The application is to be treated on and after the relevant date as an application for a licence under regulation 90.

(5) In this regulation “the relevant date” means—

(a) where regulations under section 56 of the Act provide that regulation 90 comes into force at a specified time on a day, that time on that day;

(b) otherwise, the date on which regulation 90 comes into force.

Transitional provision: prior obligations etc.

134

(1) Where—

(a) a person was named in Annex XV, XVI or XVII of the EU DPRK Regulation immediately before the relevant date, and

(b) the person is a designated person immediately before that date,

any reference in a provision mentioned in paragraph (3) to the date on which a person became a designated person or a non-UN designated person is to be read as a reference to the original listing date.

(2) Where, immediately before the relevant date, a person was named for the purposes of paragraph 8(d) of resolution 1718 by the Security Council or the Committee, the reference in each of the provisions mentioned in paragraph (3)(a) and (b) to the date on which a person became a designated person is to be read as a reference to the date on which the person was so named.

(3) The provisions referred to in paragraphs (1) and (2) are—

(a) regulation 81(5) (asset-freeze etc.: exceptions from prohibitions),

(b) paragraph 7A(b)(i) of Schedule 3 (pre-existing judicial decisions etc.), and

(4) In this regulation—

“designated person” has the same meaning as it has in Part 4 (Finance);

“original listing date” means the earlier of—the date on which the person was named in Annex XV, XVI or XVII of the EU DPRK Regulation; andif the person was also named in Annex V or Va of Council Regulation (EU) No 329/2007 of 27 August 2007 concerning restrictive measures against the Democratic People's Republic of Korea , the date on which the person was named in one of those Annexes;

“the relevant date” means—where regulations under section 56 of the Act provide that Part 4 comes into force at a specified time on a day, that time on that day;otherwise, the date on which Part 4 comes into force.

SCHEDULE 1 — Rules for interpretation of regulation 7(2)

Application of Schedule

1

(1) The rules set out in the following paragraphs of this Schedule apply for the purpose of interpreting regulation 7(2).

(2) They also apply for the purpose of interpreting this Schedule.

Joint interests

2

If two or more persons each hold a share or right jointly, each of them is treated as holding that share or right.

Joint arrangements

3

(1) If shares or rights held by a person and shares or rights held by another person are the subject of a joint arrangement between those persons, each of them is treated as holding the combined shares or rights of both of them.

(2) A “joint arrangement” is an arrangement between the holders of shares or rights that they will exercise all or substantially all the rights conferred by their respective shares or rights jointly in a way that is pre-determined by the arrangement.

(3) “Arrangement” has the meaning given by paragraph 12.

Calculating shareholdings

4

(1) In relation to a person who has a share capital, a reference to holding “more than 50% of the shares” in that person is to holding shares comprised in the issued share capital of that person of a nominal value exceeding (in aggregate) 50% of that share capital.

(2) In relation to a person who does not have a share capital—

(a) a reference to holding shares in that person is to holding a right or rights to share in the capital or, as the case may be, profits of that person;

(b) a reference to holding “more than 50% of the shares” in that person is to holding a right or rights to share in more than 50% of the capital or, as the case may be, profits of that person.

Voting rights

5

(1) A reference to the voting rights in a person is to the rights conferred on shareholders in respect of their shares (or, in the case of a person not having a share capital, on members) to vote at general meetings of the person on all or substantially all matters.

(2) In relation to a person that does not have general meetings at which matters are decided by the exercise of voting rights—

(a) a reference to holding voting rights in the person is to be read as a reference to holding rights in relation to the person that are equivalent to those of a person entitled to exercise voting rights in a company;

(b) a reference to holding “more than 50% of the voting rights” in the person is to be read as a reference to holding the right under the constitution of the person to block changes to the overall policy of the person or to the terms of its constitution.

6

In applying regulation 7(2) and this Schedule, the voting rights in a person are to be reduced by any rights held by the person itself.

Rights to appoint or remove members of the board

7

A reference to the right to appoint or remove a majority of the board of directors of a person is to the right to appoint or remove directors holding a majority of the voting rights at meetings of the board on all or substantially all matters.

8

A reference to a board of directors, in the case of a person who does not have such a board, is to be read as a reference to the equivalent management body of that person.

Shares or rights held “indirectly”

9

(1) A person holds a share “indirectly” if the person has a majority stake in another person and that other person—

(a) holds the share in question, or

(b) is part of a chain of persons—

(i) each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

(ii) the last of whom holds the share.

(2) A person holds a right “indirectly” if the person has a majority stake in another person and that other person—

(a) holds that right, or

(b) is part of a chain of persons—

(i) each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

(ii) the last of whom holds that right.

(3) For these purposes, a person (“A”) has a “majority stake” in another person (“B”) if—

(a) A holds a majority of the voting rights in B,

(b) A is a member of B and has the right to appoint or remove a majority of the board of directors of B,

(c) A is a member of B and controls alone, pursuant to an agreement with other shareholders or members, a majority of the voting rights in B, or

(d) A has the right to exercise, or actually exercises, dominant influence or control over B.

(4) In the application of this paragraph to the right to appoint or remove a majority of the board of directors, a person (“A”) is to be treated as having the right to appoint a director if—

(a) any person's appointment as director follows necessarily from that person's appointment as director of A, or

(b) the directorship is held by A itself.

Shares held by nominees

10

A share held by a person as nominee for another is to be treated as held by the other (and not by the nominee).

Rights treated as held by person who controls their exercise

11

(1) Where a person controls a right, the right is to be treated as held by that person (and not by the person who in fact holds the right, unless that person also controls it).

(2) A person “controls” a right if, by virtue of any arrangement between that person and others, the right is exercisable only—

(a) by that person,

(b) in accordance with that person's directions or instructions, or

12

“Arrangement” includes—

(a) any scheme, agreement or understanding, whether or not it is legally enforceable, and

(b) any convention, custom or practice of any kind.

Rights exercisable only in certain circumstances etc.

13

(1) Rights that are exercisable only in certain circumstances are to be taken into account only—

(a) when the circumstances have arisen, and for so long as they continue to obtain, or

(b) when the circumstances are within the control of the person having the rights.

(2) But rights that are exercisable by an administrator or by creditors while a person is subject to relevant insolvency proceedings are not to be taken into account while the person is subject to those proceedings.

(3) “Relevant insolvency proceedings” means—

(a) administration within the meaning of the Insolvency Act 1986 ,

(b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989 , or

(c) proceedings under the insolvency law of another country during which a person's assets and affairs are subject to the control or supervision of a third party or creditor.

(4) Rights that are normally exercisable but are temporarily incapable of exercise are to continue to be taken into account.

Rights attached to shares held by way of security

14

Rights attached to shares held by way of security provided by a person are to be treated for the purposes of this Schedule as held by that person—

(a) where apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in accordance with that person's instructions, and

(b) where the shares are held in connection with the granting of loans as part of normal business activities and apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in that person's interests.

Interpretation

1

For the purposes of this Schedule—

(a) a reference to any item includes that item whether it is new or used;

(b) a thing is specified in or by a Dual-Use code if it would be specified in or by that code in accordance with the Dual-Use Regulation;

(c) a reference to a “CAS No” followed by a numerical sequence is a reference to the CAS Registry Numbers (CAS numbers) assigned to chemicals by the Chemical Abstracts Service, a division of the American Chemical Society. In some instances chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers;

(d) a “Dual-Use code” means an alphanumeric code as it is used in Annex I to the Dual-Use Regulation; and

(e) “software” has the meaning given to it in the Dual-Use Regulation.

Principal element

2

(1) Any item (“A”) not listed in any of paragraphs 3 to 79 is included in this Schedule if—

(a) an item listed in any of paragraphs 3 to 79 is a principal element of A, and

(b) that principal element can be removed and used separately.

(2) Whether an item is a principal element of any other item shall be determined having regard to quantity, value, technological know-how involved and any other relevant factors.

Nuclear materials, facilities, and equipment

3

Hollow cathode lamps as follows—

(a) iodine hollow cathode lamps with windows in pure silicon or quartz;

(b) uranium hollow cathode lamps.

4

Faraday isolators in the wavelength range 500 nm-650 nm.

5

Optical gratings in the wavelength range 500 nm-650 nm.

6

Optical fibres in the wavelength range 500 nm-650 nm coated with anti-reflecting layers in the wavelength range 500 nm-650 nm and having a core diameter greater than 0.4 mm but not exceeding 2 mm.

7

Nuclear reactor vessel components and testing equipment, other than those specified in Dual-Use code 0A001, as follows—

(a) seals;

(b) internal components;

8

(1) Nuclear detection systems, other than those specified in Dual-Use codes 0A001.j. or 1A004.c., for detection, identification or quantification of radioactive materials or radiation of nuclear origin and specially designed components thereof.

(2) Sub-paragraph (1) does not include personal equipment.

9

Bellows-sealed valves other than those specified in Dual-Use codes 0B001.c.6., 2A226 or 2B350, made of aluminium alloy or stainless steel type 304, 304L or 316L.

10

(1) Laser mirrors, other than those specified in Dual-Use code 6A005.e., consisting of substrates having a thermal expansion coefficient of 10-6 K-1 or less at 20 ℃ (e.g. fused silica or sapphire).

(2) Sub-paragraph (1) does not include optical systems specially designed for astronomical applications, except if the mirrors contain fused silica.

11

Laser lenses, other than those specified in Dual-Use code 6A005.e.2, consisting of substrates having a thermal expansion coefficient of 10– 6 K– 1 or less at 20 °C (e.g. fused silica).

12

Pipes, piping, flanges, fittings made of, or lined with nickel, or nickel alloy containing more than 40 % nickel by weight, other than those specified in Dual-Use code 2B350.h.1.

13

Vacuum pumps other than those specified in Dual-Use code 0B002.f.2. or 2B231, as follows—

(a) turbo-molecular pumps having a flow-rate equal to or greater than 400 l/s;

(b) roots type vacuum roughing pumps having a volumetric aspiration flow-rate greater than 200 m³/h;

14

Shielded enclosures for the manipulation, storage and handling of radioactive substances (also known as hot cells).

15

(1) Natural uranium, depleted uranium or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, other than those specified in Dual-Use code 0C001.

(2) In this paragraph “natural uranium” and “depleted uranium” each have the meaning given to them in the Dual-Use Regulation.

16

Detonation chambers having a capacity of explosion absorption of more than 2.5 kg TNT equivalent.

17

Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) (CAS No 298-07-07) solvent in any quantity, with a purity greater than 90 %.

18

Fluorine gas (CAS No 7782-41-4), with a purity of at least 95 %.

19

Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials—

(a) copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching;

(b) fluorinated polyimides containing 10 % by weight or more of combined fluorine;

(d) polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®);

(e) fluoro-elastomers (e.g. Viton ®, Tecnoflon ®);

(f) polytetrafluoroethylene (PTFE).

20

Personal equipment for detecting radiation of nuclear origin, other than that specified in Dual-Use code 1A004.c., including personal dosimeters.

21

Electrolytic cells for fluorine production, other than those specified in Dual-Use code 1B225, with an output capacity greater than 100 g of fluorine per hour.

22

Catalysts, other than those specified in Dual-Use codes 1A225 or 1B231, containing platinum, palladium or rhodium, usable for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

23

(1) Aluminium and its alloys, other than those specified in Dual-Use codes 1C002.b.4. or 1C202.a., in crude or semi-fabricated form having either of the following characteristics—

(a) capable of an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or

(b) having a tensile strength of 415 MPa or more at 298 K (25 °C).

(2) In this paragraph, a reference to an alloy “capable of” something encompasses alloys before or after heat treatment.

24

(1) Magnetic metals, of all types and of whatever form, other than those specified in Dual-Use code 1C003.a. having an initial relative permeability of 120,000 or more and a thickness between 0.05 mm and 0.1 mm.

(2) For the purposes of sub-paragraph (1), the measurement of initial relative permeability means that measurement performed on fully annealed materials.

25

(1) Fibrous or filamentary materials or prepregs, other than those specified in Dual-Use codes 1C010.a., 1C010.b., 1C210.a. or 1C210.b., as follows—

(a) aramid fibrous or filamentary materials having either of the following characteristics—

(i) specific modulus exceeding 10 × 106 m; or

(ii) specific tensile strength exceeding 17 × 104 m;

(b) glass fibrous or filamentary materials having either of the following characteristics:

(i) specific modulus exceeding 3,18 × 106 m; or

(ii) specific tensile strength exceeding 76.2 × 103 m;

(c) thermoset resin-impregnated continuous yarns, rovings, tows or tapes with a width of 15 mm or less (once prepregs), made from glass fibrous or filamentary materials other than those specified in 26(1)(a)below;

(d) carbon fibrous or filamentary materials;

(e) thermoset resin-impregnated continuous yarns, rovings, tows, or tapes, made from carbon fibrous or filamentary materials;

(f) polyacrylonitrile (PAN) continuous yarns, rovings, tows or tapes;

(g) para-aramid fibrous or filamentary materials (Kevlar® and other Kevlar®-like fibres).

(2) In this paragraph the following terms have the meaning given to them in the Dual-Use Regulation—

“fibrous or filamentary materials”

“specific modulus”

“specific tensile strength”

“yarns”

“rovings”

“tows”

“tapes”.

26

(1) Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or carbon fibre preforms, as follows—

(a) made from fibrous or filamentary materials specified in paragraph 25;

(b) epoxy resin matrix impregnated carbon fibrous or filamentary materials (prepregs), specified in Dual-Use codes 1C010.a., 1C010.b. or 1C010.c., for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm;

(c) prepregs specified in Dual-Use codes 1C010.a., 1C010.b. or 1C010.c., when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160 °C) and a cure temperature lower than the glass transition temperature.

(2) In this paragraph the following terms have the meaning given to them in the Dual-Use Regulation—

“carbon fibre preforms”;

“fibrous or filamentary materials”;

“matrix”.

27

(1) Reinforced silicon carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in missiles, other than those specified in Dual-Use code 1C107.

(2) In this paragraph, “missiles” has the meaning given to it in the Dual-Use Regulation.

28

Tantalum, tantalum carbide, tungsten, tungsten carbide and alloys thereof, other than those specified in Dual-Use code 1C226, having both of the following characteristics—

(a) in forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and

(b) a mass greater than 5 kg.

29

(1) Elemental powders of cobalt, neodymium or samarium or alloys or mixtures thereof containing at least 20 % by weight of cobalt, neodymium or samarium, with a particle size less than 200 μm.

(2) In this paragraph “elemental powder” means a high purity powder of one element.

30

Pure tributyl phosphate (TBP) (CAS No 126-73-8) or any mixture having a TBP content of more than 5 % by weight.

31

(1) Maraging steel, other than those specified by Dual-Use codes 1C116 or 1C216.

(2) In this paragraph, “maraging steels” means iron alloys generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy.

32

Metals, metal powders and material as follows—

(a) tungsten and tungsten alloys, other than those specified in Dual-Use code 1C117, in the form of uniform spherical or atomized particles of 500 μm (micrometre) diameter or less with a tungsten content of 97 % by weight or more;

(b) molybdenum and molybdenum alloys, other than those specified in Dual-Use code 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a molybdenum content of 97 % by weight or more;

(c) tungsten materials in the solid form, other than those specified in Dual-Use code 1C226 having material compositions as follows—

(i) tungsten and alloys containing 97 % by weight or more of tungsten;

(ii) copper infiltrated tungsten containing 80 % by weight or more of tungsten; or

(iii) silver infiltrated tungsten containing 80 % by weight or more of tungsten.

33

Soft magnetic alloys, other than those specified in Dual-Use code 1C003, having a chemical composition as follows—

(a) iron content between 30 % and 60 %; and

(b) cobalt content between 40 % and 60 %.

34

Graphite, other than that specified in Dual-Use code 0C004 or 1C107.a., designed or specified for use in Electrical Discharge Machining (EDM) machines.

35

(1) Steel alloys in sheet or plate form, having any of the following characteristics—

(a) steel alloys capable of ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or

(b) nitrogen-stabilised duplex stainless steel.

(2) In this paragraph—

(a) “nitrogen-stabilised duplex stainless steel” means steel with a two-phase microstructure consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise the microstructure;

(b) a reference to an alloy “capable of” something encompasses alloys before or after heat treatment.

36

Carbon-Carbon Composite material.

37

Nickel alloys in crude or semi-fabricated form, containing 60 % by weight or more nickel.

38

(1) Titanium alloys in sheet or plate form capable of an ultimate tensile strength of 900 MPa or more at 293 K (20 °C).

(2) In this regulation, a reference to an alloy “capable of” something encompasses alloys before or after heat treatment

39

Titanium alloys, other than those specified in Dual-Use codes 1C002 and 1C202.

40

Zirconium and zirconium alloys, other than those specified in Dual-Use codes 1C011, 1C111 and 1C234.

41

Explosive materials other than those specified in Dual-Use code 1C239, or materials or mixtures containing more than 2 % by weight of such explosive materials, with a crystalline density higher than 1.5 g/cm³ and with a detonation speed higher than 5,000 m/s

Materials processing

42

(1) Vibration test systems, equipment and components thereof, other than those specified in Dual-Use code 2B116—

(a) vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0,1 g rms between 0,1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured “bare table”;

(b) digital controllers, combined with specially designed vibration test software, with a real-time control bandwidth greater than 5 kHz designed for use with vibration test systems specified in paragraph (a);

(c) vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured “bare table”, and usable in vibration test systems specified in paragraph (a);

(d) rest piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured “bare table”, and usable in vibration systems specified in paragraph (a).

(2) In this paragraph—

“bare table” means a flat table, or surface, with no fixture or fittings.

“real-time control bandwidth” means the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals.

43

Machine tools, other than those specified in Dual-Use codes 2B001 or 2B201 and any combination thereof, for removing (or cutting) metals, ceramics, or composites that, according to the manufacturer's technical specification, can be equipped with electronic devices for numerical control, having positioning accuracies of equal to or less (better) than 30 30 μm according to ISO 230/2 (1988) (or national equivalents) along any linear axis.

44

Components and numerical controls, specially designed for machine tools specified in Dual-Use codes 2B001, 2B201 or paragraph 43.

45

Balancing machines and related equipment as follows—

(a) balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics—

(i) not capable of balancing rotors/assemblies having a mass greater than 3 kg;

(ii) capable of balancing rotors/assemblies at speeds greater than 12 500 rpm;

(iii) capable of correcting unbalance in two planes or more; and

(iv) capable of balancing to a residual specific unbalance of 0,2 g × mm per kg of rotor mass;

(b) indicator heads (sometimes known as balancing instrumentation) designed or modified for use with machines specified in paragraph (a).

46

(1) Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, other than those specified in Dual-Use codes 2B225, having either of the following characteristics—

(a) a capability of penetrating a hot cell wall of 0.3 m or more (through the wall operation); or

(b) a capability of bridging over the top of a hot cell wall with a thickness of 0.3 m or more (over the wall operation).

(2) For the purposes of this paragraph, remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of master/slave type or operated by joystick or keypad.

47

Controlled atmosphere heat treatment furnaces or oxidation furnaces capable of operation at temperatures above 400 °C, excluding tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics.

48

(1) Pressure transducers, other than those defined in Dual-Use codes 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics—

(a) pressure sensing elements made of or protected by materials resistant to corrosion by uranium hexafluoride (UF₆); and

(b) having either of the following characteristics:

(i) a full scale of less than 200 kPa and an accuracy of better than ± 1 % of full scale; or

(ii) a full scale of 200 kPa or greater and an accuracy of better than 2 kPa.

(2) In this paragraph, the following terms have the meaning given to them in the Dual-Use Regulation—

“accuracy”;

“pressure transducer”;

“materials resistant to corrosion by uranium hexafluoride (UF6)”.

49

(1) Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, plate columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials—

(a) alloys with more than 25 % nickel and 20 % chromium by weight;

(b) fluoropolymers;

(d) graphite or carbon graphite;

(e) nickel or alloys with more than 40 % nickel by weight;

(f) tantalum or tantalum alloys;

(g) titanium or titanium alloys;

(h) zirconium or zirconium alloys; or

(i) stainless steel.

(2) In this paragraph, “carbon graphite” is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

50

(1) Industrial equipment and components, other than those specified in Dual-Use code 2B350.d., consisting of heat exchangers or condensers with a heat transfer surface area greater than 0.05 m2, and less than 30 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from any of the following materials—

(a) alloys with more than 25 % nickel and 20 % chromium by weight;

(b) fluoropolymers;

(d) graphite or carbon graphite;

(e) nickel or alloys with more than 40 % nickel by weight;

(f) tantalum or tantalum alloys;

(g) titanium or titanium alloys;

(h) zirconium or zirconium alloys;

(i) silicon carbide;

(j) titanium carbide; or

(k) stainless steel.

(2) Sub-paragraph (1) does not include vehicle radiators.

(3) For the purposes of this paragraph—

(a) the materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger;

(b) “carbon graphite” has the meaning given to it in the Dual-Use Regulation.

51

(1) Multiple-seal, and seal-less pumps, other than those specified in Dual-Use code 2B350.i, suitable for corrosive fluids, or vacuum pumps 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—

(a) alloys with more than 25 % nickel and 20 % chromium by weight;

(b) ceramics;

(d) fluoropolymers;

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

(f) graphite or carbon graphite;

(g) nickel or alloys with more than 40 % nickel by weight;

(h) tantalum or tantalum alloys;

(i) titanium or titanium alloys;

(j) zirconium or zirconium alloys;

(k) niobium (columbium) or niobium alloys;

(l) stainless steel;

(m) aluminium alloys; or

(n) rubber, including all kinds of natural and synthetic rubbers.

(2) For the purposes of this paragraph—

(a) the materials used for gaskets and seals and other implementations of sealing functions do not determine the status of control of the pump;

(b) “carbon graphite” has the meaning given to it in the Dual-Use Regulation.

52

(1) Centrifugal separators, other than those specified in Dual-Use code 2B352.c., capable of continuous separation without the propagation of aerosols and manufactured from—

(a) alloys with more than 25 % nickel and 20 % chromium by weight;

(b) fluoropolymers;

(d) nickel or alloys with more than 40 % nickel by weight;

(e) tantalum or tantalum alloys;

(f) titanium or titanium alloys; or

(g) zirconium or zirconium alloys.

(2) In this paragraph, centrifugal separators include decanters.

53

Sintered metal filters, other than those specified in Dual-Use code 2B352.d., made of nickel or nickel alloy with more than 40 % nickel by weight.

54

(1) Spin-forming machines and flow-forming machines, other than those specified by Dual-Use code 2B009, 2B109 or 2B209 and specially designed components therefor.

(2) For the purpose of sub-paragraph (1), machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines.

55

(1) Equipment and reagents, other than those specified in Dual-Use codes 2B350 or 2B352, as follows—

(a) fermenters capable of cultivation of pathogenic microorganisms or viruses, or capable of toxin production, without the propagation of aerosols, and having a total capacity of 10 l or more;

(b) agitators for fermenters as mentioned in (a);

(i) polymerase chain reaction (PCR)-equipment;

(ii) genetic sequencing equipment;

(iii) genetic synthesizers;

(iv) electroporation equipment;

(v) specific reagents associated with the equipment in (c)(i) to (iv);

(d) filters, micro-filters, nano-filters or ultra-filters usable in industrial or laboratory biology for continuous filtering, except filters specially designed or modified for medical or clear water production purposes and to be used in the framework of EU or UN officially supported projects;

(e) ultracentrifuges, rotors and adaptors for ultracentrifuges;

(f) freeze drying equipment.

(2) In this paragraph—

“fermenters” include bioreactors, chemostats and continuous-flow systems;

“Microorganisms” has the meaning given to it in the Dual-Use Regulation

56

Equipment, other than that specified in Dual-Use code 2B005, 2B105 or 3B001.d., for the deposition of metallic overlays as follows, and specially designed components and accessories therefor—

(a) chemical vapour deposition (CVD) production equipment;

(b) physical vapour deposition (PVD) production equipment;

57

Open tanks or containers, with or without agitators, with a total internal (geometric) volume greater than 0.5 m³ (500 litres), where all surfaces that come in direct contact with the chemical being processed or contained are made from any of the following materials—

(a) alloys with more than 25 % nickel and 20 % chromium by weight;

(b) fluoropolymers;

(d) nickel or alloys with more than 40 % nickel by weight;

(e) tantalum or tantalum alloys;

(f) titanium or titanium alloys;

(g) zirconium or zirconium alloys;

(h) niobium (columbium) or niobium alloys;

(i) stainless steel;

(j) wood; or

(k) rubber, including all kinds of natural and synthetic rubbers.

Electronics

58

High voltage direct current power supplies, other than those specified in Dual-Use code 0B001.j.5. or 3A227, having both of the following characteristics—

(a) capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and

(b) Current or voltage stability better than 0,1 % over a time period of four hours.

59

(1) Mass spectrometers, other than those specified in Dual-Use code 0B002.g. or 3A233, capable of measuring ions of 200 atomic mass units or more and having a resolution of better than 2 parts in 200, as follows, and ion sources therefor—

(a) inductively coupled plasma mass spectrometers (ICP/MS);

(b) glow discharge mass spectrometers (GDMS);

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